| S.No. |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANEE SECURITIES PVT.LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 15-SEP-2020
15-SEP-2020
|
|
| 2 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 02-JUL-2021
02-JUL-2021
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 02-JUL-2021
|
|
| 3 |
|
|
GOLDSTREET SECURITIES LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 24-MAR-2020
24-MAR-2020
|
NSE VIDE ITS CIRCULAR DATED 23/09/2020 ORDER PASSED BY HON' SAT 0RDER DATED 09/09/2020 WITHDRAWN CIRCULAR DATED 24/03/2020
SAT: SAT VIDE ITS ORDER DATED 09/09/2020 ALLOWED THE APPEAL AND SET ASIDED ORDER ON PAYMENT OF COSTS OF RS.2.00 LACS TO BE PAID BY APPELLANT TO RESPONDENT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 4 |
|
|
GROVALUE SECURITIES PVT.LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 30-APR-2020
30-APR-2020
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 30-APR-2020
|
|
| 5 |
|
|
MODEX INTERNATIONAL SECURITIES LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 15-SEP-2020
15-SEP-2020
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 15-SEP-2020
|
|
| 6 |
|
|
MONEYFLO SECURITIES PVT.LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 24-AUG-2018
24-AUG-2018
|
|
| 7 |
|
|
MONEYFLO SECURITIES PVT.LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE
24-AUG-2018
|
|
| 8 |
|
|
ORIENT CAPITAL MARKETS PVT.LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 15-JAN-2009
15-APR-2010
|
|
| 9 |
|
|
QUANTUM GLOBAL SECURITIES LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 29-APR-2020
29-APR-2020
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 29-APR-2020
|
|
| 10 |
|
|
SUNCHAN SECURITIES LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 18-MAY-2009
15-APR-2010
|
|
| 11 |
|
|
VINEET SECURITIES PVT.LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 30-APR-2020
30-APR-2020
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 30-APR-2020
|
|
| 12 |
|
|
WELLINDIA SECURITIES LTD.
|
|
VIOLATED CHAPTER IV OF RULES OF NSE (MISCONDUCT, UNBUSINESSLIKE CONDUCT AND UNPROFESSIONAL CONDUCT)
|
DECLARED DEFAULTER BY STOCK EXCHANGE FROM 29-APR-2020
29-APR-2020
EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE FROM 29-APR-2020
|
SAT: SAT VIDE ITS ORDER DATED 17/11/2020 DISMISSED THE APPEAL
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
