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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 13-JUL-2024

STOCK BROKERS: DIRECTED TRADING MEMBER TO REMOVE ALL TRANSACTIONS PERTAINS TO DERIVATIVES AND CURRENCY SEGMENTS

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person MOTILAL OSWAL FINANCIAL SERVICES LTD.  
DID NOT PAY LEDGER BALANCE

INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS  		DIRECTED TRADING MEMBER TO REMOVE ALL TRANSACTIONS PERTAINS TO DERIVATIVES AND CURRENCY SEGMENTS
AWARD AMOUNT: RS.3,70,000

DIRECTED TO PAY CREDIT BALANCE

CLAIM ADMITTED

17-MAR-2021 		nse vide its arbitration award dated 15/09/2021 disposed off the appeal as the parties agreed to settle the matter for rs.3.70 lac to be paid by appellant to the respondent  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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