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SECURITIES AND EXCHANGE BOARD OF INDIA - CONSENT ORDERS

Period covered

From

To/Uptil

Bankers

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reasons for Action

Violated SEBI (prohibition of insider trading) regulations, 1992

CDSL Depository Participants

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reasons for Action

Committed irregularities in maintenance of client registration/database

Defaulted/failed to collect margins/BMC from clients/sub-brokers

Delayed/failed to deliver/transfer securities

Did not exercise due skill and diligence

Did not redress investor/creditors complaints

Indulged in unauthorised carry forward transactions

Indulged in unauthorised fund-based activities

Manipulated IPOs of various companies

Manipulated market and/or indulged in unfair trade practices

Misused/defaulted in maintaining client accounts

Violated CDSL byelaws /communique/ operating instructions

Violated code of conduct

Violated SEBI (depositories and participants) regulations, 1996

Violated SEBI (stock brokers & sub brokers) regulations, 1992

Violated SEBI depositories act, 1996

Violated SEBI public issue guidelines

Violated SEBI regulation regarding dematerialisation/depository participants

Violations specified in earlier SEBI orders/circulars

Companies

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reached settlement (consent order) (agreed voluntarily for lock-in of one year on five lac shares allotted pursuant to conversion of warrants allotted on preferential basis)

Reached settlement (consent order) (agreed voluntarily not to be associated with /accessing capital market /intermediaries)

Reached settlement (consent order) (agreed voluntarily not to buy/sell/ deal in securities/ specified scrips directly/indirectly)

Reached settlement (consent order) (directed not to invest in listed securities (other than mutual fund))

Reached settlement (consent order) (directed to implement a policy of rotation of statutory auditors)

Reasons for Action

Acted as sub-broker without SEBI registration

Adopted improper accounting practices

Allowed wrong utilization of issue proceeds

Committed irregularities in contract notes

Delayed/failed to deliver/transfer securities

Did not exercise due skill and diligence

Did not pay penalty amount imposed by SEBI

Did not redress investor/creditors complaints

Induced investors through false/misleading representation

Indulged in unauthorised trading in futures & options

Introduced unlisted shares in the market

Manipulated IPOs of various companies

Manipulated market and/or indulged in unfair trade practices

Provided wrong/incomplete information to SEBI/did not co-operate with SEBI in investigations

Violated code of conduct

Violated listing agreement

Violated SEBI (disclosure and investor protection) guidelines, 2000

Violated SEBI (mutual funds) regulations, 1996

Violated SEBI (PFUTP) regulations, 1995

Violated SEBI (portfolio managers) regulations, 1993

Violated SEBI (prohibition of insider trading) regulations, 1992

Violated SEBI preferential issue guidelines

Violated SEBI public issue guidelines

Violated SEBI takeover code, 1997

Violated securities contracts (regulation) act, 1956

Violations specified in earlier SEBI orders/circulars

Debenture Trustees

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reasons for Action

Violated SEBI (debenture trustees) regulations, 1993

Violated SEBI (disclosure and investor protection) guidelines, 2000

Foreign Institutional Investors

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reasons for Action

Violated SEBI (foreign institutional investors) regulations 1995

Violated SEBI takeover code, 1997

Merchant Bankers

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reasons for Action

Did not exercise due skill and diligence

Manipulated market and/or indulged in unfair trade practices

Violated code of conduct

Violated SEBI (buyback of securities) regulations, 1998

Violated SEBI (disclosure and investor protection) guidelines, 2000

Violated SEBI (merchant banker) regulations, 1992

Violated SEBI act, 1992

Violated SEBI takeover code, 1997

Mutual Funds

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reasons for Action

Manipulated market and/or indulged in unfair trade practices

Violated SEBI (mutual funds) regulations, 1996

NSDL Depository Participants

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reasons for Action

Charged excess/different rates of brokerage

Committed irregularities in contract notes

Committed irregularities in maintenance of client registration/database

Dealt with un-registered brokers/sub-brokers/entities

Defaulted/failed to collect margins/BMC from clients/sub-brokers

Delayed/failed to deliver/transfer securities

Delayed/failed to make payment to clients

Did not exercise due skill and diligence

Did not redress investor/creditors complaints

Director of stock broking firm acted as sub broker of his own firm through his corporate entity

Executed fictitious/fraudulent/structured/unauthorised transactions

Inadequate resources/infrastructure/systems

Indulged in unauthorised carry forward transactions

Indulged in unauthorised fund-based activities

Involved in unauthorised operations on exchange terminals

Manipulated IPOs of various companies

Manipulated market and/or indulged in unfair trade practices

Misused/defaulted in maintaining client accounts

Provided wrong/incomplete information to SEBI/did not co-operate with SEBI in investigations

Violated anti money laundering standards

Violated code of conduct

Violated SEBI (depositories and participants) regulations, 1996

Violated SEBI public issue guidelines

Violated SEBI regulation regarding dematerialisation/depository participants

Withdrawn large cash and deposit in group company

Persons

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reached settlement (consent order) (agreed voluntarily not to be associated with /accessing capital market /intermediaries)

Reached settlement (consent order) (agreed voluntarily not to buy/sell/ deal in securities/ specified scrips directly/indirectly)

Reached settlement (consent order) (agreed voluntarily not to buy/sell/ deal in securities/ specified scrips or access securities market directly/indirectly in proprietary account)

Reached settlement (consent order) (agreed voluntarily not to hold directorship in any listed company)

Reached settlement (consent order) (directed not to invest in listed securities (other than mutual fund))

Reasons for Action

Acted as sub-broker without SEBI registration

Adopted improper accounting practices

Allowed wrong utilization of issue proceeds

Committed irregularities in contract notes

Delayed/failed to deliver/transfer securities

Did not exercise due skill and diligence

Failed to maintain proper books of accounts/records

Induced investors through false/misleading representation

Indulged in unauthorised trading in futures & options

Introduced unlisted shares in the market

Manipulated IPOs of various companies

Manipulated market and/or indulged in unfair trade practices

Provided wrong/incomplete information to SEBI/did not co-operate with SEBI in investigations

Violated code of conduct

Violated listing agreement

Violated SEBI (mutual funds) regulations, 1996

Violated SEBI (prohibition of insider trading) regulations, 1992

Violated SEBI act, 1992

Violated SEBI preferential issue guidelines

Violated SEBI public issue guidelines

Violated SEBI takeover code, 1997

Violated securities contracts (regulation) act, 1956

Violations specified in earlier SEBI orders/circulars

Portfolio Managers

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reasons for Action

Manipulated market and/or indulged in unfair trade practices

Violated code of conduct

Violations specified in earlier SEBI orders/circulars

Un-authorised Portfolio Managers

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reasons for Action

Acted as portfolio manager without SEBI registration

Registrars

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reasons for Action

Committed irregularities in maintenance of client registration/database

Delayed/failed to deliver/transfer securities

Did not exercise due skill and diligence

Did not redress investor/creditors complaints

Failed to maintain proper books of accounts/records

Provided wrong/incomplete information to SEBI/did not co-operate with SEBI in investigations

Violated SEBI (registrar & share transfer agent) regulations, 1993

Violations specified in earlier SEBI orders/circulars

Stock Brokers

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reached settlement (consent order) (agreed voluntarily not to activate certificate of registration as stock broker)

Reached settlement (consent order) (agreed voluntarily not to buy/sell/ deal in securities/ specified scrips directly/indirectly)

Reached settlement (consent order) (agreed voluntarily not to register new clients for a period of 45 days)

Reached settlement (consent order) (agreed voluntarily to be suspended from registration as stock broker)

Reached settlement (consent order) (agreed voluntarily to spend a sum of Rs.1 crore on investor education and awareness programme and on development of meterials focusing on making investors more aware of their rights in connection with internet based trading in securities market within 6 months from date of receipt of this consent order)

Reasons for Action

Acted as sub-broker without SEBI registration

Activated sub-broker terminals before getting SEBI registration

Charged excess/different rates of brokerage

Committed irregularities in contract notes

Committed irregularities in maintenance of client registration/database

Dealt in cash with clients

Dealt with un-registered brokers/sub-brokers/entities

Dealt with un-registered remisier

Defaulted/failed to collect margins/BMC from clients/sub-brokers

Defaulted/irregularities in pay-in obligations

Delayed/failed to deliver/transfer securities

Delayed/failed to make payment to clients

Did not comply with norms, rules, byelaws and regulations of SEBI/stock exchange

Did not exercise due skill and diligence

Did not file FIR in respect of stolen/fake/forged shares

Did not maintain base minimum capital

Did not obtain prior permission from SEBI for change in firm's/company's constitution

Did not pay dividends to shareholders

Did not pay fees to SEBI/exchange

Did not redress investor/creditors complaints

Did not report off-the-floor/spot transactions to the exchange

Director of stock broking firm acted as sub broker of his own firm through his corporate entity

Engaged in non-securities business

Evaded carry forward margin/margin money

Executed fictitious/fraudulent/structured/unauthorised transactions

Failed to enter into agreement with sub-brokers

Failed to maintain proper books of accounts/records

Inadequate resources/infrastructure/systems

Induced investors through false/misleading representation

Indulged in unauthorised carry forward transactions

Indulged in unauthorised fund-based activities

Indulged in unauthorised trading in futures & options

Involved in unauthorised operations on exchange terminals

Manipulated IPOs of various companies

Manipulated market and/or indulged in unfair trade practices

Misused/defaulted in maintaining client accounts

Provided wrong/incomplete information to SEBI/did not co-operate with SEBI in investigations

Violated anti money laundering standards

Violated code of conduct

Violated listing agreement

Violated SEBI (depositories and participants) regulations, 1996

Violated SEBI (PFUTP) regulations, 1995

Violated SEBI (prohibition of insider trading) regulations, 1992

Violated SEBI (stock brokers & sub brokers) regulations, 1992

Violated SEBI act, 1992

Violated SEBI depositories act, 1996

Violated SEBI preferential issue guidelines

Violated SEBI public issue guidelines

Violated SEBI regulation regarding dematerialisation/depository participants

Violated SEBI takeover code, 1997

Violated securities contracts (regulation) act, 1956

Violations specified in earlier SEBI orders/circulars

Withdrawn large cash and deposit in group company

Sub-brokers

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reached settlement (consent order) (agreed voluntarily not to buy/sell/ deal in securities/ specified scrips directly/indirectly)

Reached settlement (consent order) (agreed voluntarily to be suspended from registration as sub-broker)

Reasons for Action

Acted as sub-broker without SEBI registration

Committed irregularities in contract notes

Committed irregularities in maintenance of client registration/database

Dealt in cash with clients

Dealt with un-registered brokers/sub-brokers/entities

Defaulted/failed to collect margins/BMC from clients/sub-brokers

Delayed/failed to deliver/transfer securities

Delayed/failed to make payment to clients

Did not comply with norms, rules, byelaws and regulations of SEBI/stock exchange

Did not exercise due skill and diligence

Executed fictitious/fraudulent/structured/unauthorised transactions

Failed to maintain proper books of accounts/records

Indulged in unauthorised trading in futures & options

Involved in unauthorised operations on exchange terminals

Manipulated IPOs of various companies

Manipulated market and/or indulged in unfair trade practices

Misused/defaulted in maintaining client accounts

Provided wrong/incomplete information to SEBI/did not co-operate with SEBI in investigations

Violated code of conduct

Violated SEBI (PFUTP) regulations, 1995

Violated SEBI (stock brokers & sub brokers) regulations, 1992

Un-authorised Sub-brokers

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reached settlement (consent order) (agreed voluntarily not to buy/sell/ deal in securities/ specified scrips directly/indirectly)

Reasons for Action

Acted as sub-broker without SEBI registration

Manipulated market and/or indulged in unfair trade practices

Violated SEBI public issue guidelines

Venture Capital Funds

30/10/2007

11/05/2013

Actions by SEBI

Reached settlement (consent order)

Reasons for Action

Violated SEBI (venture capital funds) regulations, 1996

Violated SEBI takeover code, 1997

REGULATORY ACTIONS PRESENTLY COVERED BY THIS WEBSITE

Period covered

From

To/Uptil

ASSOCIATION OF MUTUAL FUNDS OF INDIA,THE

30/04/2013

BANKS

29/03/2000

12/09/2008

BSE LTD.

05/06/1995

16/05/2013

CENTRAL BOARD OF EXCISE & CUSTOMS

01/04/2003

30/04/2013

CENTRAL BUREAU OF INVESTIGATION

05/04/2001

16/05/2013

CENTRAL DEPOSITORY SERVICES (INDIA) LTD.

15/03/2004

01/05/2013

COMPANY LAW BOARD

COURTS

25/02/2011

DEBT RECOVERY TRIBUNALS

16/08/2000

20/04/2013

DELHI STOCK EXCHANGE LTD.

31/03/2002

30/03/2010

EMPLOYEES' PROVIDENT FUND ORGANISATION

31/03/2012

EXCISE AND TAXATION DEPARTMENT

01/04/1969

31/03/2007

INSTITUTE OF CHARTERED ACCOUNTANTS OF INDIA

INSURANCE REGULATORY & DEVELOPMENT AUTHORITY

16/08/2002

16/05/2013

INTER-CONNECTED STOCK EXCHANGE

08/12/2009

MCX STOCK EXCHANGE LTD.

01/03/2013

MINISTRY OF CORPORATE AFFAIRS, EASY EXIT SCHEME

MINISTRY OF CORPORATE AFFAIRS, OFFICIAL LIQUIDATORS

08/04/2007

MINISTRY OF CORPORATE AFFAIRS, REGISTRARS OF COMPANIES

MINISTRY OF CORPORATE AFFAIRS, SERIOUS FRAUD INVESTIGATION OFFICE

30/04/2013

MINISTRY OF CORPORATE AFFAIRS, SIMPLIFIED EXIT SCHEME

MINISTRY OF CORPORATE AFFAIRS, VANISHING COMPANIES

20/01/2010

MINISTRY OF FINANCE, DEPARTMENT OF REVENUE

03/01/2011

NATIONAL COMMODITY & DERIVATIVES EXCHANGE LTD.

09/04/2011

NATIONAL HOUSING BANK

30/04/2013

NATIONAL SECURITIES DEPOSITORY LTD.

19/11/2004

03/05/2013

NATIONAL STOCK EXCHANGE OF INDIA LTD.

01/01/2000

06/05/2013

RESERVE BANK OF INDIA

01/08/1996

16/05/2013

SECURITIES AND EXCHANGE BOARD OF INDIA (For only consent orders click here)

01/01/1997

11/05/2013

OTHER SOURCES IN THE OFFING


	BOARD FOR INDUSTRIAL & FINANCIAL RECONSTRUCTION
	CREDIT INFORMATION BUREAU (INDIA) LTD.
	ECONOMIC OFFENCES WING
	ENFORCEMENT DIRECTORATE
	ENVIRONMENT POLLUTION BOARD
	FINANCIAL INSTITUTIONS
	INCOME TAX DEPARTMENT
	INSTITUTE OF COMPANY SECRETARIES OF INDIA,THE
	INSTITUTE OF COST AND WORKS ACCOUNTANTS OF INDIA
	LABOUR DEPARTMENT
	RATING AGENCIES
	SERVICE TAX
	STATE FINANCIAL CORPORATIONS
	STATE INDUSTRIAL DEVELOPMENT CORPORATIONS

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