Intimation of receiving action taken letter regarding penalty levied by National Stock Exchange (NSE) for observation marked in Internal Audit Report for half year period Oct 2024 to March 2025.
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Swastika Investmart Ltd received a penalty letter from the National Stock Exchange (NSE) dated November 17, 2025. NSE imposed a monetary penalty of Rs. 1,50,000 based on operational non-compliances flagged in the company's Internal Audit Report for the half-year period October 2024 to March 2025. The specific violations included failure to maintain proper logs for sharing weekly Statement of Accounts with clients, non-availability of pre-trade evidence for 2 sample clients, and allowing trading in the account of a minor. The penalty was levied under NSE inspection circulars dated January 24, 2022, and September 2, 2022. The company has stated there is no impact on its financials, operations, or other activities.
The penalty amount of Rs. 1.5 lakh is immaterial and the company confirms no financial or operational impact. This is a minor regulatory compliance issue and is unlikely to affect the stock price or shareholder value materially.