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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
PERIOD COVERED : 30-NOV-2007 TO 07-AUG-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: VIOLATED SEBI SECURITIES CONTRACTS (REGULATIONS) RULES, 1957

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

(PAN:AAACM6094R)

(Member : NSE/BSE)  
  ALLEGED VIOLATION OF RULES 8(1)(F) AND 8(3)(F) OF SECURITIES CONTRACT (REGULATION) RULES, 1957

ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS

ALLEGED VIOLATION OF SEBI CIRCULAR ON CYBER SECURITY AND CYBER RESILIENCE DATED 03/12/2018

ALLEGED VIOLATION OF CLAUSE 7(A) OF ANNEXURE 1 TO SEBI CIRCULAR NO.MIRSD/DR-1/CIR-16/09 DATED 06/11/2009

ALLEGED VIOLATION OF SECTION 23D OF SC(R) ACT, 1956 READ WITH CLAUSE 1 OF SEBI CIRCULAR SMD/SED/CIR/93/23321 DATED 18/11/1993 AND CLAUSE 3 OF ANNEXURE OF SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016

ALLEGED VIOLATION OF CLAUSE 3.2 OF ANNEXURE OF SEBI CIRCULAR SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016

ALLEGED VIOLATION OF VARIOUS NSE CIRCULARS

ALLEGED VIOLATION OF CLAUSE A(5) OF SCHEDULE II FOR CODE OF CONDUCT READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992

ALLEGED VIOLATION OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,74,56,000 VIDE CONSENT ORDER)

25-OCT-2024 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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