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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 02-JUL-2025

COMPANIES: MISUSED/DEFAULTED IN MAINTAINING CLIENT ACCOUNTS

S.No. ENTITY PERSON REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANAND RATHI SHARE & STOCK BROKERS LTD.  
  DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

SHORTFALL OF CLIENTS FUNDS AND SECURITIES  		IMPOSED PENALTY FROM 06-JUN-2020 Rs.20,00,000

24-APR-2025 		SAT: SAT VIDE ITS ORDER DATED 24/04/2025 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.20 LAC FROM RS.59.97 LAC. 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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