Submission of Annual Secretarial Compliance Report for the financial year ended on 31st March, 2026.
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Swastika Investmart Ltd (BSE: 530585) submitted its Annual Secretarial Compliance Report for FY 2025-26, audited by L.N. Joshi & Co., Practicing Company Secretaries. The company, a diversified SEBI-registered intermediary (stock broker, merchant banker, investment adviser, research analyst, portfolio manager), maintained broad compliance across all major SEBI regulations including LODR, PIT, Depositories, and SBEB regulations. The report documents 15 minor operational deviations across the year involving procedural errors such as incorrect reporting of collateral segregation, delayed submissions, mismatched CTCL terminal details, and minor operational discrepancies noticed by NSDL and stock exchanges. Total penalties levied amounted to approximately Rs. 10.3 lakh across all 15 observations. All penalties have been paid and the secretarial auditor confirmed all observations stand closed with corrective measures implemented. No disqualification of directors, no material subsidiaries, and no major non-compliance was reported.
The company has resolved all 15 identified compliance deviations and paid all fines. The pattern of penalties reflects minor operational and procedural gaps (mostly back-office technical issues) rather than any governance failure or misuse of client funds. The stock remains compliant with its regulatory obligations, though investors should note the recurring nature of reporting-related deviations as the company scales its broking operations.