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SOURCE OF INFORMATION : NATIONAL STOCK EXCHANGE OF INDIA LTD. LISTS/WEBSITE
PERIOD COVERED : 01-JAN-2000 TO 28-JAN-2026

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  
2
History of entity/person KRIPA SECURITIES PVT.LTD.  
  MISUTILISED CLIENTS FUNDS AND/OR SECURITIES

WRONG REPORTING OF MARGIN COLLECTED FROM CLIENTS IN F&O SEGMENT

DID NOT RECONCILE SECURITIES

DID NOT ISSUE STATEMENT OF ACCOUNT AND RETENTION STATEMENTS AT THE TIME OF SETTLEMENT OF CLIENT ACCOUNTS

DID NOT GENERATE AND/OR SEND RETENTION STATEMENT

MADE INCORRECT REPORTING OF DATA TO STOCK EXCHANGES

UPLOADED INCORRECT EMAIL ID AND MOBILE NUMBER OF CLIENTS

MISMATCH IN DATA SUBMITTED TOWARDS WEEKLY MONITORING OF CLIENT FUNDS

MADE INCORRECT REPORTING OF DATA TOWARDS CLIENT LEVEL CASH AND CASH EQUIVALENT BALANCES AND BANK ACCOUNT BALANCES

DELAY IN SUBMISSION OF DOCUMENTS AND DID NOT PROVIDE CLARIFICATION ON ALERTS SHARED WITH NOTICEE

FUNDED CLIENTS HAVING DEBIT BALANCES BY PROVIDING FURTHER EXPOSURE  		IMPOSED PENALTY FROM 03-JUN-2022 Rs.18,87,100

28-NOV-2025 		SAT: SAT VIDE ITS ORDER DATED 28/11/2025 ALLOWED THE APPEAL AND SET ASIDE PENALTIES AT SERIAL NO.1,2,5,6 & 9. MATTER REMITTED TO NSE IN TERMS OF PARAGRAPH NO.9,10,12 AND 13 FOR RE-CONSIDERATION AND SUSTAINED THE PENALTIES IN RESPECT OF SERIAL NO.4 AND 8. 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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