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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 21-NOV-2024

STOCK BROKERS: DIRECTED TO PAY COMPENSATION AND/OR COST OF DIVIDEND

S.No. ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person IDBI CAPITAL MARKETS & SECURITIES LTD.  
DEFICIENCY IN RENDERING OF SERVICE  DIRECTED TO PAY COMPENSATION AND/OR COST OF DIVIDEND
AWARD AMOUNT: RS.40,000

DIRECTED TO ENSURE STRICT COMPLIANCE WITH APPLICABLE NSE AND SEBI CIRCULARS AND MAINTAIN PROPER RECORDS OF APPELLANT’S KNOW YOUR CLIENTS (KYC) DOCUMENTS

24-MAY-2024 		 
2
History of entity/person KOTAK SECURITIES LTD.  
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS

DID NOT RELEASE CAPITAL GAINS BONDS  		DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.12,10,000

CLAIM ADMITTED

DIRECTED TO TRANSFER THE BONDS

DIRECTED TO PAY COMPENSATION AND/OR COST OF DIVIDEND

26-FEB-2024 		nse vide its arbitration award dated 30/09/2024 allowed 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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