Annual Secretarial Compliance Under Regulation 24(A)
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▲ positive · ▼ negative · ● neutral filings · teal = economic event · numbered = multiple that day (click to pick). Times IST.
Anand Rathi Share and Stock Brokers Limited has filed its Annual Secretarial Compliance Report for FY 2025-26 under SEBI Regulation 24A. The report, certified by Practicing Company Secretary Ms. Shruti Somani, confirms overall compliance with SEBI regulations but lists 17 deviations in Annexure A. Key violations include a Rs 90.20 lakh settlement order for alleged front-running in KPIT Technologies scrip, a Rs 10 lakh SEBI penalty for cyber security compliance issues, and multiple smaller penalties from NSE, BSE, and CDSL for issues including non-settlement of client funds, improper margin reporting, and incorrect PAN entries. Total penalties paid amount to approximately Rs 1.18 crore, all of which the company states have been paid with corrective actions taken.
The company has resolved all noted penalties but the frequency of violations indicates ongoing compliance challenges in its broking operations. Investors should note regulatory scrutiny on client fund handling and reporting processes, though all fines have been settled.