Anand Rathi Share And Stock Brokers Ltd

Integrated Filing — Corporate Governance (NSE XBRL)

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Filing Summary

Company
Anand Rathi Share and Stock Brokers Limited
Symbol
ARSSBL
Quarter Ended
31-Mar-2026
Submission
New

General Disclosures

Additional Disclosure Date
23-Apr-2026
Additional Disclosure Designation
CFO
Additional Disclosure Name Of Signatory
Tarak Kumarpal Shah
Additional Disclosure Place
Mumbai
Advertisements As Per Regulation471
Yes
Affirmations
All loans (or other form of debt), guarantees, comfort letters (by whatever name called) or securities in connection with any loan(s) (or other form of debt) given directly or indirectly by the listed entity to promoter(s), promoter group, director(s) (including their relatives), key managerial personnel (including their relatives) or any entity controlled by them are in the economic interest of the company.
Aggregate Amount Advanced During Six Months Of Any Loan Or Any Other Form Of Debt To KM Ps Or Any Other Entity Controlled By Them
0
Aggregate Amount Advanced During Six Months Of Any Loan Or Any Other Form Of Debt To Promoter Group Or Any Other Entity Controlled By Them
0
Aggregate Amount Advanced During Six Months Of Any Loan Or Any Other Form Of Debt To Promoter Or Any Other Entity Controlled By Them
0
Aggregate Amount Of Issuance During Six Months Of Any Guarantee Or Comfort To KM Ps Or Any Other Entity Controlled By Them
0
Aggregate Amount Of Issuance During Six Months Of Any Guarantee Or Comfort To Promoter Group Or Any Other Entity Controlled By Them
0
Aggregate Amount Of Issuance During Six Months Of Any Guarantee Or Comfort To Promoter Or Any Other Entity Controlled By Them
0
Aggregate Value Of Security Provided During Six Months Of Security In Connection With Loan Or Any Other Debt Avail By KM Ps Or Any Other Entity Controlled By Them
0
Aggregate Value Of Security Provided During Six Months Of Security In Connection With Loan Or Any Other Debt Avail By Promoter Group Or Any Other Entity Controlled By Them
0
Aggregate Value Of Security Provided During Six Months Of Security In Connection With Loan Or Any Other Debt Avail By Promoter Or Any Other Entity Controlled By Them
0
Annual Return As Provided Under Section92Of The Companies Act2013
Yes
Approval For Material Related Party Transactions
Yes
Approval Of The Board And Shareholders For Compensation Or Profit Sharing
Not Applicable
Audio Or Video Recordings And Transcripts Of Post Earinings Or Quarterly Calls
Yes
Balance Outstanding At The End Of Six Months Any Loan Or Any Other Form Of Debt To KM Ps Or Any Other Entity Controlled By Them
0
Balance Outstanding At The End Of Six Months Any Loan Or Any Other Form Of Debt To Promoter Group Or Any Other Entity Controlled By Them
0
Balance Outstanding At The End Of Six Months Any Loan Or Any Other Form Of Debt To Promoter Or Any Other Entity Controlled By Them
0
Balance Outstanding At The End Of Six Months Of Any Guarantee Or Comfort To KM Ps Or Any Other Entity Controlled By Them
0
Balance Outstanding At The End Of Six Months Of Any Guarantee Or Comfort To Promoter Group Or Any Other Entity Controlled By Them
0
Balance Outstanding At The End Of Six Months Of Any Guarantee Or Comfort To Promoter Or Any Other Entity Controlled By Them
0
Balance Outstanding At The End Of Six Months Of Security In Connection With Loan Or Any Other Debt Avail By KM Ps Or Any Other Entity Controlled By Them
0
Balance Outstanding At The End Of Six Months Of Security In Connection With Loan Or Any Other Debt Avail By Promoter Group Or Any Other Entity Controlled By Them
0
Balance Outstanding At The End Of Six Months Of Security In Connection With Loan Or Any Other Debt Avail By Promoter Or Any Other Entity Controlled By Them
0
Board Composition
Yes
Code Of Conduct
Yes
Company Remarks
Not Applicable
Compliance Certificate
Yes
Compliance Status
No
Compliance With Sub Regulation3Of Regulation46With Respect To Accuracy Of Disclosures On The Website And Timely Updation
Yes
Confirmation That The Disclosures Are In A Separate Section As Specified In Sub Regulation2Of Regulation46
Yes
Credit Rating Or Revision In Credit Rating Obtained
Yes
Date Of End Of Financial Year
31-Mar-2026
Date Of End Of Reporting Period
31-Mar-2026
Date Of Signing
23-Apr-2026
Date Of Start Of Financial Year
01-Apr-2025
Designation Of Person
Company Secretary and Compliance Officer
Designation Of Person Affirmations
Company Secretary and Compliance Officer
Designation Of Person For Annual Affirmations
Company Secretary and Compliance Officer
Designation Of Person For Quartely Affirmations
Company Secretary and Compliance Officer
Details Of Agreements Entered Into With The Media Companies And Or Their Associates
Not Applicable
Details Of Business
Yes
Details Of Establishment Of Vigil Mechanism Or Whistle Blower Policy
Yes
Disclosure Of Contact Details Of KMP Who Are Authorized For The Purpose Of Determining Materiality Under Sub Regulation5Of Regulation30
Yes
Disclosure Of Notes On Affirmations Explanatory Text Block
The Company has in place "Policy for determining Material Subsidiaries", which was adopted by the Board of Directors at its meeting held on November 15, 2024 and later amended on October 18, 2025. However, as on the present date, the Company does not have any Material Subsidiary.
Disclosure Of Notes On Annual Affirmations Explanatory Text Block
It is hereby clarified for the period ended March 31, 2026, Regulation 21 of the SEBI (LODR) Regulations, 2015 viz. provisions of Risk Management Committee, were not applicable to the Company as the Company was listed on September 30, 2025. However, the Company has voluntarily formed Risk Management Committee for its internal monitoring and complies with the composition as mentioned in SEBI (LODR) Regulations, 2015. Thus, in compliance status of 21(1),(2),(3),(4), yes has been mentioned. Further, it is clarified that Regulation 21(3A), 21(3B) and 21(3C) are not applicable for the said period.
Disclosure Of Notes On Website In Terms Of Listing Regulations Explanatory Text Block
The Company was listed on the Stock exchange(s) on September 30, 2025 (post conclusion of AGM). Therefore, the requirement of including Criteria of making payments to non-executive directors in Annual Report was "Not Applicable" on the Company. Hence, NA has been mentioned.
Disclosure Of Related Party Transactions On Consolidated Basis
Yes
Disclosure Web Link Of Annual Return As Provided Under Section92Of The Companies Act2013Is Placed
https://anandrathi.com/investors/Annual_Return/MGT-7_ARSSBL.pdf
Disclosure Web Link Of Audio Or Video Recordings And Transcripts Of Post Earinings Or Quarterly Calls Is Placed
https://anandrathi.com/investors
Disclosure Web Link Of Company At Advertisements As Per Regulation471Is Placed
https://anandrathi.com/investors
Disclosure Web Link Of Company At Details Of Non Compliance Of New Name And The Old Name Of The Listed Entity Is Placed
https://anandrathi.com/investors/Material_Document/2_ARSSBL-COI_signed-22_11_1991.pdf
Disclosure Web Link Of Company At Dividend Distribution Policy As Per Regulation43A1Is Placed
https://anandrathi.com/investors/Policies/Dividend-Distribution-Policy.pdf
Disclosure Web Link Of Company At Materiality Policy As Per Sub Regulation4Regulation30Is Placed
https://anandrathi.com/investors/Policies/Materiality-policy.pdf
Disclosure Web Link Of Company At Separate Audited Financial Statements Of Each Subsidiary Of The Listed Entity Is Placed
https://anandrathi.com/investors/Subsidiary_Financials/ARIVPL_Financials_March_2025_Final_Signed.pdf
Disclosure Web Link Of Company At Which Credit Rating Or Revision In Credit Rating Obtained Is Placed
https://anandrathi.com/investors
Disclosure Web Link Of Company At Which Details Of Business Is Placed
https://anandrathi.com/about-us
Disclosure Web Link Of Company At Which Details Of Establishment Of Vigil Mechanism Or Whistle Blower Policy Is Placed
https://anandrathi.com/investors/Policies/Vigil_Mechanism_Policy.pdf
Disclosure Web Link Of Company At Which Financial Results Is Placed
https://anandrathi.com/investors
Disclosure Web Link Of Company At Which Policy For Determining Material Subsidiaries Is Placed
https://anandrathi.com/investors/Policies/Determination_of_Material_Subsidiary.pdf
Disclosure Web Link Of Company At Which Policy On Dealing With Related Party Transactions Is Placed
https://anandrathi.com/investors/Policies/Policy_on_Related_Party_Transaction.pdf
Disclosure Web Link Of Company At Which Shareholding Pattern Is Placed
https://anandrathi.com/investors
Disclosure Web Link Of Compliance With Sub Regulation3Of Regulation46With Respect To Accuracy Of Disclosures On The Website And Timely Updation Is Placed
https://anandrathi.com/investors
Disclosure Web Link Of Confirmation That The Disclosures Are In A Separate Section As Specified In Sub Regulation2Of Regulation46Is Placed
https://anandrathi.com/investors/CorporateAnnouncement/Disclosure_under_46_and_62.pdf
Disclosure Web Link Of Disclosure Of Contact Details Of KMP Who Are Authorized For The Purpose Of Determining Materiality Under Sub Regulation5Of Regulation30Is Placed
https://anandrathi.com/investors/investcontacts/Investor_Contacts.pdf
Disclosure Web Link Of Disclosures Under Sub Regulation8Of Regulation30Is Placed
https://anandrathi.com/investors
Disclosure Web Link Of Employee Benefit Scheme Documents Framed In Terms Of SEBI Share Based Employee Benefits And Sweat Equity Regulations2021Is Placed
https://anandrathi.com/investors
Disclosure Web Link Of Memorandum Of Association And Articles Of Association Is Placed
https://anandrathi.com/investors/Material_Document/1_MOA_&_AOA.pdf
Disclosure Web Link Of Schedule Of Analyst Or Institutional Investor Meet And Presentation Prepared By Listed Entity For Analyst Or Institutional Investor Meet Is Placed
https://anandrathi.com/investors
Disclosure Web Link Of Statements Of Deviations Or Variations As Specified In Regulation32Is Placed
https://anandrathi.com/investors
Disclosures Under Sub Regulation8Of Regulation30
Yes
Dividend Distribution Policy As Per Regulation43A1
Yes
Employee Benefit Scheme Documents Framed In Terms Of SEBI Share Based Employee Benefits And Sweat Equity Regulations2021
Yes
Fees Or Compensation
Yes
Financial Results
Yes
Is SCORESID Available
Yes
ISIN
INE549H01021
Market Capitalisation As Per Immediate Previous Financial Year
Top 1000 listed entities
Materiality Policy As Per Sub Regulation4Regulation30
Yes
Memorandum Of Association And Articles Of Association
Yes
Minimum Information
Yes
MSEI Symbol
NOTLISTED
Name Of Signatory
Chetan Prajapati
Name Of Signatory Affirmations
Chetan Prajapati
Name Of Signatory For Annual Affirmations
Chetan Prajapati
Name Of Signatory For Quartely Affirmations
Chetan Prajapati
Name Of The Company
Anand Rathi Share and Stock Brokers Limited
New Name And The Old Name Of The Listed Entity
Yes
Other Corporate Governance Requirements With Respect To Subsidiary Of Listed Entity
Yes
Place
Mumbai
Plans For Orderly Succession For Appointments
Yes
Policy For Determining Material Subsidiaries
Yes
Policy For Related Party Transaction
Yes
Policy On Dealing With Related Party Transactions
Yes
Recommendation Of Board
Yes
Remarks Website Dissemination
It is hereby clarified for the period ended March 31, 2026, Regulation 21 of the SEBI (LODR) Regulations, 2015 viz. provisions of Risk Management Committee, were not applicable to the Company as the Company was listed on September 30, 2025. However, pursuant to the updated list of top 1,000 listed entities based on market capitalisation issued by Stock Exchanges, the Company now falls within this category. Accordingly, the relevant option for Market Capitalisation as per immediate previous financial year has been selected as Top 1000 listed entities and the Risk Management Committee marked as applicable.
Reporting Quarter
Yearly
Review Of Compliance Reports
Yes
Risk Assessment And Management
Yes
Schedule Of Analyst Or Institutional Investor Meet And Presentation Prepared By Listed Entity For Analyst Or Institutional Investor Meet
Yes
SCORES Registration ID
coma01293
Scrip Code
544530
Secretarial Compliance Report
Not Applicable
Separate Audited Financial Statements Of Each Subsidiary Of The Listed Entity
Yes
Shareholding Pattern
Yes
Statements Of Deviations Or Variations As Specified In Regulation32
Yes
Symbol
ARSSBL
The Listed Entity Has Approved Material Subsidiary Policy And The Corporate Governance Requirements With Respect To Subsidiary Of Listed Entity Have Been Complied
Yes
Type Of Any Guarantee Or Comfort Letter Of KM Ps Or Any Other Entity Controlled By Them
0
Type Of Any Guarantee Or Comfort Letter Of Promoter Group Or Any Other Entity Controlled By Them
0
Type Of Any Guarantee Or Comfort Letter Of Promoter Or Any Other Entity Controlled By Them
0
Type Of Company
Equity
Type Of Security Of KM Ps Or Any Other Entity Controlled By Them
0
Type Of Security Of Promoter Group Or Any Other Entity Controlled By Them
0
Type Of Security Of Promoter Or Any Other Entity Controlled By Them
0
Type Of Submission
Original
Vacancies In Respect Key Managerial Personnel
Not Applicable
Vigil Mechanism
Yes
Whether As Per Sub Regulation2ba Of Regulation27Of SEBILODR There Has Been Cyber Security Incidents During The Quarter
No
Whether Part A Of Annexure I Of The SEBI Circular Dated31December2024Related To Compliance Report On Corporate Governance Is Applicable To The Entity
Yes
Whether Part F Of Annexure I Of The SEBI Circular Dated31December2024Related To Disclosure Of Loans Or Guarantees Or Comfort Letters Or Securities Etc Is Applicable To The Entity
Yes

Additional Disclosures

Entry D_MeetingBOD1
Whether Requirement Of Quorum Met
Yes
Entry D_MeetingBOD2
Whether Requirement Of Quorum Met
Yes
Entry D_MeetingBOD3
Whether Requirement Of Quorum Met
Yes
Entry D_MeetingComit1
Whether Requirement Of Quorum Met
Yes
Entry D_MeetingComit2
Whether Requirement Of Quorum Met
Yes
Entry D_MeetingComit3
Whether Requirement Of Quorum Met
Yes
Entry D_MeetingComit4
Whether Requirement Of Quorum Met
Yes
Entry D_MeetingComit5
Whether Requirement Of Quorum Met
Yes
Entry D_MeetingComit6
Whether Requirement Of Quorum Met
Yes
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Board Composition — Entity Disclosures

The Composition Of Board Of Directors Is In Terms Of Sebi Regulations2015
Yes
Chairperson Related to MD / CEO
Yes
Regular Chairperson
Yes

Composition of Board of Directors

SrTitleDirectorPANDINCategory 1Category 2Category 3Date of BirthDisqualifiedStatusSpecial ResolutionInitial AppointmentRe-appointmentTenure (months)Listed DirectorshipsIndependent DirectorshipsAudit / Stakeholder MembershipsAudit / Stakeholder Chair Posts
1MrPradeep Navratan Gupta******00040117Executive DirectorChairperson related to PromoterMD20-Jul-1967NoActiveNot Applicable22-Nov-199101-Mar-20262041
2MrsPriti Pradeep Gupta******00030350Non-Executive - Non Independent DirectorNot Applicable23-Nov-1970NoActiveNot Applicable15-Jan-201808-Jul-20251000
3MrRoop Kishor Bhootra******00033180Executive DirectorNot Applicable09-Jul-1973NoActiveNot Applicable15-Jul-201715-Nov-20231020
4MrVishal Laddha******00033628Executive DirectorNot Applicable23-Mar-1970NoActiveNot Applicable15-Jul-201715-Nov-20231010
5MrVijay Kumar Agarwal******00058548Non-Executive - Independent DirectorNot Applicable29-Jun-1957NoActiveNot Applicable19-Sep-202419-Sep-202418.121173
6MrSuresh Mannalalji Kakani******06664365Non-Executive - Independent DirectorNot Applicable29-Apr-1962NoActiveNot Applicable05-Nov-202405-Nov-202416.261110
7MrSuresh Kishinchand Khatanhar******03022106Non-Executive - Independent DirectorNot Applicable25-Aug-1963NoActiveNot Applicable14-Nov-202414-Nov-202416.171122
8MrsSudha Pravin Navandar******02804964Non-Executive - Independent DirectorNot Applicable02-Nov-1966NoActiveNot Applicable29-Nov-202429-Nov-202416.026684

Committee Disclosures

Entry CompComit122
Date of Appointment
18-Aug-2016
Entry CompComit123
Date of Appointment
15-Jul-2017
Entry CompComit124
Date of Appointment
08-Jul-2021
Entry CompComit125
Date of Appointment
15-Nov-2024
Entry CompComit14
Date of Appointment
15-Jan-2025
Entry CompComit15
Date of Appointment
15-Jul-2017
Entry CompComit16
Date of Appointment
29-Nov-2024
Entry CompComit17
Date of Appointment
18-Oct-2025
Entry CompComit41
Date of Appointment
15-Nov-2024
Entry CompComit42
Date of Appointment
15-Nov-2024
Entry CompComit43
Date of Appointment
15-Nov-2024
Entry CompComit44
Date of Appointment
26-Jul-2025
Entry CompComit68
Date of Appointment
03-Jun-2025
Entry CompComit69
Date of Appointment
19-Sep-2024
Entry CompComit70
Date of Appointment
19-Sep-2024
Entry CompComit95
Date of Appointment
15-Nov-2024
Entry CompComit96
Date of Appointment
15-Nov-2024
Entry CompComit97
Date of Appointment
15-Nov-2024
Entry CompComit98
Date of Appointment
02-Aug-2023
Entry CompComit99
Date of Appointment
02-Nov-2023
Entry MainD
Composition And Role Of Risk Management Committee
Yes
Composition Of Audit Committee
Yes
Composition Of Nomination And Remuneration Committee
Yes
Composition Of Stakeholder Relationship Committee
Yes
Composition Of Various Committees Of Board Of Directors
Yes
Disclosure Web Link Of Company At Which Composition Of Various Committees Of Board Of Directors Is Placed
https://anandrathi.com/investors/Board-and-Committee-Composition/Board_and_Committee_Composition.pdf
Memberships In Committees
Yes
Prior Or Omnibus Approval Of Audit Committee For All Related Party Transactions
Yes
Risk Management Committee
Yes
Role Of Audit Committee And Information To Be Reviewed By The Audit Committee
Yes
Role Of Nomination And Remuneration Committee
Yes
Role Of Stakeholders Relationship Committee
Yes
The Committee Members Have Been Made Aware Of Their Powers Role And Responsibilities As Specified In Sebi Regulations2015
Yes
The Composition Of Audit Committee Is In Terms Of Sebi Regulations2015
Yes
The Composition Of The Nomination And Remuneration Committee Is In Terms Of Sebi Regulations2015
Yes
The Composition Of The Risk Management Committee Is In Terms Of Sebi Regulations2015
Yes
The Composition Of The Stakeholders Relationship Committee Committee Is In Terms Of Sebi Regulations2015
Yes
Whether The Audit Committee Has A Regular Chairperson
Yes
Whether The Corporate Social Responsibility Committee Has A Regular Chairperson
Yes
Whether The Nomination And Remuneration Committee Has A Regular Chairperson
Yes
Whether The Risk Management Committee Has A Regular Chairperson
Yes
Whether The Stakeholders Relationship Committee Has A Regular Chairperson
Yes

Audit Committee

Additional Position
Chairperson
Director DIN
03022106
Member Name
Suresh Kishinchand Khatanhar
Position
Non-Executive - Independent Director

Audit Committee

Additional Position
Member
Director DIN
00033180
Member Name
Roop Kishor Bhootra
Position
Executive Director

Audit Committee

Additional Position
Member
Director DIN
00058548
Member Name
Vijay Kumar Agarwal
Position
Non-Executive - Independent Director

Audit Committee

Additional Position
Member
Director DIN
06664365
Member Name
Suresh Mannalalji Kakani
Position
Non-Executive - Independent Director

Audit Committee

Audit Committee

Audit Committee

Corporate Social Responsibility Committee

Additional Position
Chairperson
Director DIN
00040117
Member Name
Pradeep Navratan Gupta
Position
Executive Director

Corporate Social Responsibility Committee

Additional Position
Member
Director DIN
00033180
Member Name
Roop Kishor Bhootra
Position
Executive Director

Corporate Social Responsibility Committee

Additional Position
Member
Director DIN
00030350
Member Name
Priti Pradeep Gupta
Position
Non-Executive - Non Independent Director

Corporate Social Responsibility Committee

Additional Position
Member
Director DIN
06664365
Member Name
Suresh Mannalalji Kakani
Position
Non-Executive - Independent Director

Nomination and remuneration committee

Additional Position
Chairperson
Director DIN
00058548
Member Name
Vijay Kumar Agarwal
Position
Non-Executive - Independent Director

Nomination and remuneration committee

Additional Position
Member
Director DIN
06664365
Member Name
Suresh Mannalalji Kakani
Position
Non-Executive - Independent Director

Nomination and remuneration committee

Additional Position
Member
Director DIN
03022106
Member Name
Suresh Kishinchand Khatanhar
Position
Non-Executive - Independent Director

Nomination and remuneration committee

Additional Position
Member
Director DIN
00030350
Member Name
Priti Pradeep Gupta
Position
Non-Executive - Non Independent Director

Nomination and remuneration committee

Nomination and remuneration committee

Risk Management Committee

Additional Position
Chairperson
Director DIN
00033180
Member Name
Roop Kishor Bhootra
Position
Executive Director

Risk Management Committee

Additional Position
Member
Director DIN
00058548
Member Name
Vijay Kumar Agarwal
Position
Non-Executive - Independent Director

Risk Management Committee

Additional Position
Member
Director DIN
03022106
Member Name
Suresh Kishinchand Khatanhar
Position
Non-Executive - Independent Director

Risk Management Committee

Additional Position
Member
Director DIN
99999999
Member Name
Roshan Moondra
Notes
During the quarter under review, Mr. Roshan Moondra was re-designated as Associate Director - Operations and IT. He is not the Director, but an employee of the Company. Further, he oversees day to day operations of the Risk Management Committee and therefore is the member of the Committee.
Position
Associate Director - Operations & IT

Risk Management Committee

Additional Position
Member
Director DIN
99999999
Member Name
A. B. Rathi
Notes
Not a Director, but an employee of the Company. Further, he oversees day to day operations of the Risk Management Committee and therefore is the member of the Committee.
Position
Senior Vice President

Stakeholders Relationship Committee

Additional Position
Chairperson
Director DIN
03022106
Member Name
Suresh Kishinchand Khatanhar
Position
Non-Executive - Independent Director

Stakeholders Relationship Committee

Additional Position
Member
Director DIN
00033180
Member Name
Roop Kishor Bhootra
Position
Executive Director

Stakeholders Relationship Committee

Additional Position
Member
Director DIN
00033628
Member Name
Vishal Laddha
Position
Executive Director

Stakeholders Relationship Committee

Entry MainD
Gap Between The Meetings Of The Risk Management Committee
Not Applicable
Meeting Of Audit Committee
Yes
Meeting Of Board Of Directors
Yes
Meeting Of Independent Directors
Yes
Meeting Of Nomination And Remuneration Committee
Yes
Meeting Of Risk Management Committee
Not Applicable
Meeting Of Stakeholders Relationship Committee
Yes
Quorum Of Board Meeting
Yes
Quorum Of Nomination And Remuneration Committee Meeting
Yes
Quorum Of Risk Management Committeemeeting
Not Applicable
The Meetings Of The Board Of Directors And The Above Committees Have Been Conducted In The Manner As Specified In Sebi Regulations2015
Yes
Entry MeetingBOD1
Dates Of Meeting In The Previous Quarter
18-Oct-2025
Number Of Directors Present In Meeting Of Board Of Directors
7
Number Of Independent Directors Attending The Meeting
3
Total Number Of Directors As On Date Of The Meeting
8
Entry MeetingBOD2
Dates Of Meeting If Any In The Relevant Quarter
14-Jan-2026
Maximum Gap Between Any Two Consecutive Meetings
87
Number Of Directors Present In Meeting Of Board Of Directors
8
Number Of Independent Directors Attending The Meeting
4
Total Number Of Directors As On Date Of The Meeting
8
Entry MeetingBOD3
Dates Of Meeting If Any In The Relevant Quarter
26-Feb-2026
Maximum Gap Between Any Two Consecutive Meetings
42
Number Of Directors Present In Meeting Of Board Of Directors
7
Number Of Independent Directors Attending The Meeting
4
Total Number Of Directors As On Date Of The Meeting
8
Entry MeetingComit1
Dates Of Meeting Of The Committee In The Previous Quarter
18-Oct-2025
Number Of Director Present In Meeting Of Committee All Directors Including Independent Director
3
Number Of Independent Director Attending Meeting Of Committee
2
Number Of Member Attending Meeting Of Committee
0
Total Number Of Directors As On Date Of The Meeting
3
Entry MeetingComit2
Dates Of Meeting Of The Committee In The Relevant Quarter
14-Jan-2026
Maximum Gap Between Any Two Consecutive Meetings
87
Number Of Director Present In Meeting Of Committee All Directors Including Independent Director
4
Number Of Independent Director Attending Meeting Of Committee
3
Number Of Member Attending Meeting Of Committee
0
Total Number Of Directors As On Date Of The Meeting
4
Entry MeetingComit3
Dates Of Meeting Of The Committee In The Relevant Quarter
26-Feb-2026
Maximum Gap Between Any Two Consecutive Meetings
42
Number Of Director Present In Meeting Of Committee All Directors Including Independent Director
4
Number Of Independent Director Attending Meeting Of Committee
3
Number Of Member Attending Meeting Of Committee
0
Total Number Of Directors As On Date Of The Meeting
4
Entry MeetingComit4
Dates Of Meeting Of The Committee In The Relevant Quarter
14-Jan-2026
Number Of Director Present In Meeting Of Committee All Directors Including Independent Director
4
Number Of Independent Director Attending Meeting Of Committee
3
Number Of Member Attending Meeting Of Committee
0
Total Number Of Directors As On Date Of The Meeting
4
Entry MeetingComit5
Dates Of Meeting Of The Committee In The Relevant Quarter
26-Feb-2026
Maximum Gap Between Any Two Consecutive Meetings
42
Number Of Director Present In Meeting Of Committee All Directors Including Independent Director
3
Number Of Independent Director Attending Meeting Of Committee
3
Number Of Member Attending Meeting Of Committee
0
Total Number Of Directors As On Date Of The Meeting
4
Entry MeetingComit6
Dates Of Meeting Of The Committee In The Relevant Quarter
14-Jan-2026
Number Of Director Present In Meeting Of Committee All Directors Including Independent Director
3
Number Of Independent Director Attending Meeting Of Committee
1
Number Of Member Attending Meeting Of Committee
0
Total Number Of Directors As On Date Of The Meeting
3
Entry MainD
Contact Information Of The Designated Officials Of The Listed Entity Who Are Responsible For Assisting And Handling Investor Grievances
Yes
Disclosure Web Link Of Company At Which Contact Information Of The Designated Officials Of The Listed Entity Who Are Responsible For Assisting And Handling Investor Grievances Is Placed
https://anandrathi.com/investors/investcontacts/Investor_Contacts.pdf
Disclosure Web Link Of Company At Which Email Address For Grievance Redressal And Other Relevant Details Is Placed
https://anandrathi.com/investors/investcontacts/Investor_Contacts.pdf
Email Address For Grievance Redressal And Other Relevant Details
Yes
No Of Investor Complaints Disposed Off During The Period
3
No Of Investor Complaints During The Period
0
No Of Investor Complaints Received During The Period
3
Whether Part B Of Annexure I Of The SEBI Circular Dated31December2024Related To Investor Grievance Redressal Report Is Applicable To The Entity
Yes
Entry MainI
No Of Investor Complaints
0
Entry PY_I
No Of Investor Complaints
0
Composition Of Board Of Directors Of Unlisted Material Subsidiary
Not Applicable
Reason For Part C Of Annexure I Of The SEBI Circular Dated31December2024Related To Disclosure Of Acquisition Of Shares Or Voting Rights In Unlisted Companies Is Not Applicable To The Entity
There has been no acquisition of shares or voting rights by the Company aggregating to 5% or more of the shares or voting rights in an unlisted company or any change in holding exceeding 2% of the total shareholding or voting rights in the said unlisted company
Whether Part C Of Annexure I Of The SEBI Circular Dated31December2024Related To Disclosure Of Acquisition Of Shares Or Voting Rights In Unlisted Companies Is Applicable To The Entity
No
Reason For Part E Of Annexure I Of The SEBI Circular Dated31December2024Related To Disclosure Of Updates To Ongoing Tax Litigations Or Disputes Is Not Applicable To The Entity
No tax litigation has been initiated against the company
Whether Part E Of Annexure I Of The SEBI Circular Dated31December2024Related To Disclosure Of Updates To Ongoing Tax Litigations Or Disputes Is Applicable To The Entity
No
Entry I_ImpositionOfFineOrPenalty1
Authority
National Stock Exchange of India Limited
Date Of Receipt Of Direction Or Order Including Any Ad Interim Or Interim Orders Or Any Other Communication From The Authority
19-Feb-2026
Financial / Operational Impact
There is no material impact on financials, operations or other activities of the Company.
Nature And Details Of The Action Taken Or Order Passed
The member have not kept appropriate evidence in respect of the order placed by their clients.
Violation Details
Violations in terms of the Exchange Circular No. NSE/INSP/53530 dated September 02, 2022, and / or NSE/INSP/70746 dated October 10, 2025 and Penalty of Rs. 25,000/-
Entry I_ImpositionOfFineOrPenalty2
Authority
National Stock Exchange of India Limited
Date Of Receipt Of Direction Or Order Including Any Ad Interim Or Interim Orders Or Any Other Communication From The Authority
27-Feb-2026
Financial / Operational Impact
There is no material impact on financials, operations or other activities of the Company.
Nature And Details Of The Action Taken Or Order Passed
The member have not kept appropriate evidence in respect of the order placed by their clients and has not maintained pre order confirmation of trades.
Violation Details
Violations in terms of the Exchange Circular No. NSE/INSP/53530 dated September 02, 2022, and / or NSE/INSP/70746 dated October 10, 2025 and Penalty of Rs. 25,000/-
Entry I_ImpositionOfFineOrPenalty3
Authority
Securities and Exchange Board of India
Date Of Receipt Of Direction Or Order Including Any Ad Interim Or Interim Orders Or Any Other Communication From The Authority
17-Mar-2026
Financial / Operational Impact
There is no material impact on financials, operations or other activities of the Company.
Nature And Details Of The Action Taken Or Order Passed
Application Programming Interface of the Company remained integrated with certain algo platforms where description of algo strategies contained guaranteed returns/consistent profit and the act of association with aforesaid algo platforms was allegedly found to be in violation of Clause 4.2 of SEBI Circular SEBI/HO/MIRSD/DOP/P/CIR/2022/117 dated September 02, 2022 and Clause A (2) & A(5) of Schedule II for Code of Conduct read with Regulation 9 of SEBI (Stock Brokers) Regulations, 1992.
Violation Details
Violation of Clause 4.2 of SEBI Circular SEBI/HO/MIRSD/DOP/P/CIR/2022/117 dated September 02, 2022 and Clause A (2) & A(5) of Schedule II for Code of Conduct read with Regulation 9 of SEBI (Stock Brokers) Regulations, 1992 and Penalty of Rs. 1,00,000/-
Entry I_ImpositionOfFineOrPenalty4
Authority
BSE Limited
Date Of Receipt Of Direction Or Order Including Any Ad Interim Or Interim Orders Or Any Other Communication From The Authority
22-Jan-2026
Financial / Operational Impact
There is no material impact on financials, operations or other activities of the Company.
Nature And Details Of The Action Taken Or Order Passed
Non adherence to leverage and exposure pertaining to Margin Trading facility
Violation Details
Total of 9 instances were identified where Trading Member have exceeded maximum permissable exposure limit prescribed for the broker under Margin Trading Facility and Penalty of Rs. 10,000 was levied.
Entry I_ImpositionOfFineOrPenalty5
Authority
National Stock Exchange of India Limited
Date Of Receipt Of Direction Or Order Including Any Ad Interim Or Interim Orders Or Any Other Communication From The Authority
30-Jan-2026
Financial / Operational Impact
There is no material impact on financials, operations or other activities of the Company.
Nature And Details Of The Action Taken Or Order Passed
Penalty for 1. Non-Settlement of client funds 2. Delays in submission of minutes: Nomination & Remuneration Committee (Oct 21 & Nov 15, 2024) – 108 days; Board meeting (Jan 15, 2025) – 97 days; Audit Committee – 103 days.
Violation Details
The Exchange observed that Member failed to settle client funds in all 16,679 instances (100%), totaling to Rs. 1,75,45,236.87 as of October 4, 2025 and therefore penalty of Rs. 87,700 was levied.
Entry I_ImpositionOfFineOrPenalty6
Authority
BSE Limited
Date Of Receipt Of Direction Or Order Including Any Ad Interim Or Interim Orders Or Any Other Communication From The Authority
22-Feb-2026
Financial / Operational Impact
There is no material impact on financials, operations or other activities of the Company.
Nature And Details Of The Action Taken Or Order Passed
Non-compliance with respect to Margin Trading Reporting Alerts of Stock Broker for reporting dates December 16, 2025 and December 29, 2025.
Violation Details
The Exchange observed that the Company has accepted the non-compliance and attributed the same to inadvertent error while calculating the borrowing amount and therefore Penalty of Rs. 2,000 was levied
Entry MainD
Whether Part D Of Annexure I Of The SEBI Circular Dated31December2024Related To Disclosure Of Imposition Of Fine Or Penalty Is Applicable To The Entity
Yes