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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 16-DEC-2025

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: PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A STOCK BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person SMC GLOBAL SECURITIES LTD.

(PAN:AAACS0581R)

(Member : NSE)  
  DID NOT COLLECT MARGIN IN APPROVED FORM/MODE AND DEFAULTED IN REPORTING OF MARGINS TO STOCK EXCHANGES   PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A STOCK BROKER FROM 23-AUG-2013 TO 22-NOV-2013

DIRECTED NOT TO LAUNCH ANY NEW SCHEMES FROM 23-AUG-2013 TO 22-NOV-2013

02-AUG-2013 		SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS

SAT: SAT VIDE ITS ORDER DATED 16/06/2016 PERMITTED APPELLANT TO WITHDRAW THE MISC. APPLICATION AND APPEAL WITH LIBERTY TO MOVE AN APPLICATION BEFORE SEBI SEEKING REDRESSAL OF GRIEVANCES. NO COSTS

SEBI VIDE ITS ORDER DATED 09/08/2016 DIRECTED NSE TO RECONSIDER THE COMPLAINTS OF APPLICANTS AFRESH TAKING INTO ACCOUNT THE FINDING CONTAINED IN ORDERS OF SEBI AND EXAMINING ALL THE EVIDENCES INCLUDING THOSE FURNISHED BY THEM AS ANNEXURES TO APPEAL NO.182/2016. FURTHER DIRECTED NSE TO DISPOSE OFF THE COMPLAINTS IN ACCORDANCE WITH RULES, REGULATIONS AND BYE-LAWS WITHIN TWO MONTHS  
22
History of entity/person TRANSPARENT SHARES & SECURITIES PVT.LTD.

(Member : NSE/BSE)  
  APPLIED IN IPO OF EDSERV SOFTSYSTEMS LTD. ON BEHALF OF ITS CLIENTS

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1), A(4) AND A(5) OF CODE OF CONDUCT FOR STOCK BROKERS UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF EDSERV SOFTSYSTEMS LTD.   		PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A STOCK BROKER FROM 04-APR-2013 TO 10-APR-2013

04-APR-2013 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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