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Regulatory Actions Covered By This Website

REGULATORY ACTIONS IN CHRONOLOGICAL ORDER

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

ENTITY

S.
No.		 DATE OF ORDER ENTITY PERSON COMPETENT AUTHORITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 19-DEC-2022
History of entity/person ROSY BLUE COMTRADE PVT.LTD.   
  ICEX  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED STOCK BROKER MEMBERSHIP

19-DEC-2022 		ICEX VIDE ITS CIRCULAR DATED 19/12/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
2 02-DEC-2022
History of entity/person R.J.COMMODITIES   
  ICEX  RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE  CANCELLED STOCK BROKER MEMBERSHIP

02-DEC-2022 		ICEX VIDE ITS CIRCULAR DATED 02/12/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
3 21-NOV-2022
History of entity/person MARWADI COMMODITY BROKER PVT.LTD.   
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

21-NOV-2022 		ICEX VIDE ITS CIRCULAR DATED 21/11/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
4 21-NOV-2022
History of entity/person MARWADI SHARES & FINANCE LTD. 

(Old Name : MARWADI SHARES & FINANCE PVT.LTD.)  
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

21-NOV-2022 		ICEX VIDE ITS CIRCULAR DATED 21/11/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
5 15-NOV-2022
History of entity/person GEOJIT FINANCIAL SERVICES LTD. 

(New Name : GEOJIT BNP PARIBAS FINANCIAL SERVICES LTD.)

(Old Name : GEOJIT SECURITIES LTD.)  
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

15-NOV-2022 		ICEX VIDE ITS CIRCULAR DATED 15/11/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
6 15-NOV-2022
History of entity/person MASTER CAPITAL SERVICES LTD. 

(Old Name : MASTER TRUST LTD.)  
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

15-NOV-2022 		ICEX VIDE ITS CIRCULAR DATED 15/11/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
7 26-AUG-2022
History of entity/person RADAR VISION LTD.   
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

26-AUG-2022 		ICEX VIDE ITS CIRCULAR DATED 26/08/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
8 19-AUG-2022
History of entity/person STAMPEDE CAPITAL LTD. 

(New Name : GACM TECHNOLOGIES LTD.)

(Old Name : BRILLIANT SECURITIES LTD.)  
  ICEX  EXPELLED BY OTHER STOCK EXCHANGE  EXPELLED FROM MEMBERSHIP BY STOCK EXCHANGE

19-AUG-2022 		 
9 07-JUL-2022
History of entity/person ADROIT COMMODITIES SERVICES PVT.LTD.   
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
10 07-JUL-2022
History of entity/person BHAIJEE PORTFOLIO LTD. 

(New Name : BHAIJEE PORTFOLIO PVT.LTD.)  
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
11 07-JUL-2022
History of entity/person ECONO BROKING PVT.LTD. 

(Old Name : BANSAL FINSTOCK PVT.LTD.)  
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
12 07-JUL-2022
History of entity/person GRD SECURITIES LTD.   
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
13 07-JUL-2022
History of entity/person GRM SECURITIES PVT.LTD.   
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
14 07-JUL-2022
History of entity/person KUNVARJI COMMODITIES BROKERS PVT.LTD.   
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
15 07-JUL-2022
History of entity/person MONEYLICIOUS SECURITIES PVT.LTD.   
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
16 07-JUL-2022
History of entity/person P R B SECURITIES PVT.LTD.   
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
17 07-JUL-2022
History of entity/person SAFAL CAPITAL INDIA LTD.   
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
18 07-JUL-2022
History of entity/person SALASAR COMMITRADE PVT.LTD.   
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
19 07-JUL-2022
History of entity/person SHAH INVESTOR'S HOME LTD.   
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
20 07-JUL-2022
History of entity/person VERTEX COMMODITIES & FINPRO PVT.LTD.   
  ICEX  VIOLATED RULES AND BYE LAWS OF EXCAHNGE  CANCELLED STOCK BROKER MEMBERSHIP

07-JUL-2022 		ICEX VIDE ITS CIRCULAR DATED 07/07/2022 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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