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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 01-JAN-1997 TO 21-NOV-2024

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.

STOCK BROKERS: VIOLATED BYE-LAWS/REGULATIONS/RULES OF NSE CLEARING LTD.

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person MONEYLICIOUS SECURITIES PVT.LTD.

(PAN:AAICM0935B)  

(Member : BSE)
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES

REPORTED WRONG NET WORTH TO EXCHANGE

DID NOT MAINTAIN MINIMUM NETWORTH  		IMPOSED PENALTY RS.3,00,000

25-NOV-2022
2 
History of entity/person MONEYLICIOUS SECURITIES PVT.LTD.

(PAN:AAICM0935B)  

(Member : NSE)
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES

REPORTED WRONG NET WORTH TO EXCHANGE

DID NOT MAINTAIN MINIMUM NETWORTH  		IMPOSED PENALTY RS.3,00,000

25-NOV-2022
3 
History of entity/person MONEYLICIOUS SECURITIES PVT.LTD.

(PAN:AAICM0935B)  

(Member : ICEX)
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES

REPORTED WRONG NET WORTH TO EXCHANGE

DID NOT MAINTAIN MINIMUM NETWORTH  		IMPOSED PENALTY RS.3,00,000

25-NOV-2022
4 
History of entity/person MONEYLICIOUS SECURITIES PVT.LTD.

(PAN:AAICM0935B)  

(Member : MCX)
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES

REPORTED WRONG NET WORTH TO EXCHANGE

DID NOT MAINTAIN MINIMUM NETWORTH  		IMPOSED PENALTY RS.3,00,000

25-NOV-2022
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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