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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: PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person SOUTH GUJARAT SHARES & SHAREBROKERS LTD.  
MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

MISUTILISED CLIENTS FUNDS TO USED FOR MARGIN OBLIGATION TO DEBIT BALANCE AND PROPRIETARY TRADING

MADE INCORRECT REPORTING OF CLIENT LEVEL CASH CASH EQUIVALENT BALANCES  		IMPOSED PENALTY Rs.15,74,000

20-FEB-2023

PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS 		SAT: SAT VIDE ITS ORDER DATED 20/02/2023 DISMISSED THE APPEAL. NO COSTS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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