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 SECURITIES AND EXCHANGE BOARD OF INDIA - CONSENT ORDERS
Period covered
  
From To/Uptil
CDSL Depository Participants
  30/10/2007  01/09/2010
 
  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

  
 
   

Failed to exercise due skill and diligence

  
 
   

Failed to redress investor/creditors complaints

  
 
   

Indulged in unauthorised carry forward transactions

  
 
   

Manipulated IPOs of various companies

  
 
   

Manipulated market and/or indulged in unfair trade practices

  
 
   

Violated code of conduct

  
 
   

Violated SEBI (depositories and participants) act, 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

  
 
   

Violation of cdsl byelaws /communique/ operating instructions

  
 
   

Violations specified in earlier SEBI orders/circulars

  
Companies
  30/10/2007  01/09/2010
 
  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)

  
 
  Reasons for Action
 
 
   

Acted as sub-broker without SEBI registration

  
 
   

Adopted improper accounting practices

  
 
   

Allowed wrong utilization of issue proceeds

  
 
   

Delayed/failed to deliver/transfer securities

  
 
   

Failed to exercise due skill and diligence

  
 
   

Failed to pay penalty amount imposed by SEBI

  
 
   

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

  
 
   

Not complied with norms, rules, byelaws and regulations of SEBI/stock exchange

  
 
   

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 (pfutp) REGULATIONS,1995

  
 
   

Violated SEBI (prohibition of insider trading) REGULATIONS,1992

  
 
   

Violated SEBI preferential issue guidelines

  
 
   

Violated SEBI public issue guidelines

  
 
   

Violated SEBI takeover code,1997

  
 
   

Violations specified in earlier SEBI orders/circulars

  
Debenture Trustees
  30/10/2007  01/09/2010
 
  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  01/09/2010
 
  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  01/09/2010
 
  Actions by SEBI
 
 
   

Reached settlement (consent order)

  
 
  Reasons for Action
 
 
   

Failed to 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

  
 
   

Violation of SEBI (disclosure and investor protection) GUIDELINES,1992

  
Mutual Funds
  30/10/2007  01/09/2010
 
  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  01/09/2010
 
  Actions by SEBI
 
 
   

Reached settlement (consent order)

  
 
  Reasons for Action
 
 
   

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

  
 
   

Executed fictitious/fraudulent/structured/unauthorised transactions

  
 
   

Failed to exercise due skill and diligence

  
 
   

Failed to redress investor/creditors complaints

  
 
   

Indulged in unauthorised carry forward transactions

  
 
   

Manipulated IPOs of various companies

  
 
   

Manipulated market and/or indulged in unfair trade practices

  
 
   

Misused/defaulted in maintaining client accounts

  
 
   

Violated code of conduct

  
 
   

Violated SEBI (depositories and participants) act, 1996

 
 
   

Violated SEBI public issue guidelines

  
 
   

Violated SEBI regulation regarding dematerialisation/depository participants

  
Persons
  30/10/2007  01/09/2010
 
  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)

  
 
  Reasons for Action
 
 
   

Acted as sub-broker without SEBI registration

  
 
   

Adopted improper accounting practices

  
 
   

Allowed wrong utilization of issue proceeds

  
 
   

Delayed/failed to deliver/transfer securities

  
 
   

Failed to exercise due skill and diligence

  
 
   

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

  
 
   

Not complied with norms, rules, byelaws and regulations of SEBI/stock exchange

  
 
   

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

  
 
   

Violated code of conduct

  
 
   

Violated listing agreement

  
 
   

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

  
 
   

Violations specified in earlier SEBI orders/circulars

  
Portfolio Managers
  30/10/2007  01/09/2010
 
  Actions by SEBI
 
 
   

Reached settlement (consent order)

  
 
  Reasons for Action
 
 
   

Manipulated market and/or indulged in unfair trade practices

  
 
   

Violated code of conduct

  
Un-authorised Portfolio Managers
  30/10/2007  01/09/2010
 
  Actions by SEBI
 
 
   

Reached settlement (consent order)

  
 
  Reasons for Action
 
 
   

Acted as portfolio manager without SEBI registration

  
Registrars
  30/10/2007  01/09/2010
 
  Actions by SEBI
 
 
   

Reached settlement (consent order)

  
 
  Reasons for Action
 
 
   

Committed irregularities in maintenance of client registration/database

  
 
   

Delayed/failed to deliver/transfer securities

  
 
   

Failed to exercise due skill and diligence

  
 
   

Failed to maintain proper books of accounts/records

  
 
   

Failed to redress investor/creditors complaints

  
 
   

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

 
Stock Brokers
  30/10/2007  01/09/2010
 
  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 to be suspended from registration as stock broker)

  
 
  Reasons for Action
 
 
   

Acted as sub-broker without SEBI registration

  
 
   

Activated sub-broker terminals before getting 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

  
 
   

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 maintain base minimum capital

  
 
   

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 exercise due skill and diligence

  
 
   

Failed to file FIR in respect of stolen/fake/forged shares

  
 
   

Failed to maintain proper books of accounts/records

  
 
   

Failed to obtain prior permission from SEBI for change in firm's/company's constitution

  
 
   

Failed to pay dividends to shareholders

  
 
   

Failed to pay fee to SEBI/exchange

  
 
   

Failed to redress investor/creditors complaints

  
 
   

Failed to report off-the-floor/spot transactions to the exchange

  
 
   

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 the exchange terminals

  
 
   

Manipulated IPOs of various companies

  
 
   

Manipulated market and/or indulged in unfair trade practices

  
 
   

Misused/defaulted in maintaining client accounts

  
 
   

Not complied with norms, rules, byelaws and regulations of SEBI/stock exchange

  
 
   

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

  
 
   

Violated code of conduct

  
 
   

Violated listing agreement

  
 
   

Violated scra ACT,1956

  
 
   

Violated SEBI (depositories and participants) act, 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

  
 
   

Violations specified in earlier SEBI orders/circulars

  
Sub-brokers
  30/10/2007  01/09/2010
 
  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

  
 
   

Executed fictitious/fraudulent/structured/unauthorised transactions

  
 
   

Failed to exercise due skill and diligence

  
 
   

Failed to maintain proper books of accounts/records

  
 
   

Indulged in unauthorised trading in futures & options

  
 
   

Involved in unauthorised operations on the exchange terminals

  
 
   

Manipulated IPOs of various companies

  
 
   

Manipulated market and/or indulged in unfair trade practices

  
 
   

Misused/defaulted in maintaining client accounts

  
 
   

Not complied with norms, rules, byelaws and regulations of SEBI/stock exchange

  
 
   

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  01/09/2010
 
  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  01/09/2010
 
  Actions by SEBI
 
 
   

Reached settlement (consent order)

  
 
  Reasons for Action
 
 
   

Violated SEBI takeover code,1997

  
 REGULATORY ACTIONS PRESENTLY COVERED BY THIS WEBSITE
Period covered
  
From To/Uptil
BANKS
Alphabetical Chronological
 
 29/03/2000  12/09/2008
BOMBAY STOCK EXCHANGE LTD.
Alphabetical Chronological
 
 05/06/1995  27/08/2010
CENTRAL BOARD OF EXCISE & CUSTOMS
Alphabetical Chronological
 
 01/04/2003  17/02/2010
CENTRAL BUREAU OF INVESTIGATION
Alphabetical Chronological
 
 05/04/2001  01/09/2010
CENTRAL DEPOSITORY SERVICES (INDIA) LTD.
Alphabetical Chronological
 
   16/08/2010
COMPANY LAW BOARD
Alphabetical Chronological
 
DEBT RECOVERY TRIBUNALS
Alphabetical Chronological
 
 16/08/2000  07/07/2010
DELHI STOCK EXCHANGE LTD.
Alphabetical Chronological
 
 31/03/2002  30/03/2010
EMPLOYEES' PROVIDENT FUND ORGANISATION
Alphabetical Chronological
 
   31/03/2005
EXCISE AND TAXATION DEPARTMENT
Alphabetical Chronological
 
 01/04/1969  31/03/2007
INSTITUTE OF CHARTERED ACCOUNTANTS OF INDIA
Alphabetical Chronological
 
INSURANCE REGULATORY & DEVELOPMENT AUTHORITY
Alphabetical Chronological
 
 16/08/2002  25/08/2010
INTER-CONNECTED STOCK EXCHANGE
Alphabetical Chronological
 
   08/12/2009
MINISTRY OF CORPORATE AFFAIRS - VANISHING COMPANIES
Alphabetical Chronological
 
   20/01/2010
MINISTRY OF CORPORATE AFFAIRS, OFFICIAL LIQUIDATORS
Alphabetical Chronological
 
   08/04/2007
MINISTRY OF CORPORATE AFFAIRS, REGISTRARS OF COMPANIES
Alphabetical Chronological
 
MINISTRY OF CORPORATE AFFAIRS, SERIOUS FRAUD INVESTIGATION OFFICE
Alphabetical Chronological
 
   31/08/2010
MINISTRY OF CORPORATE AFFAIRS, SIMPLIFIED EXIT SCHEME
Alphabetical Chronological
 
MINISTRY OF FINANCE, DEPARTMENT OF REVENUE
Alphabetical Chronological
 
   01/09/2010
NATIONAL HOUSING BANK
Alphabetical Chronological
 
   31/08/2010
NATIONAL SECURITIES DEPOSITORY LTD.
Alphabetical Chronological
 
   20/08/2010
NATIONAL STOCK EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 
 01/01/2000  04/08/2010
RESERVE BANK OF INDIA
Alphabetical Chronological
 
 01/08/1996  01/09/2010
SECURITIES AND EXCHANGE BOARD OF INDIA (For only consent orders click here)
Alphabetical Chronological
 
 01/01/1997  01/09/2010
 OTHER SOURCES IN THE OFFING
 
ASSOCIATION OF MUTUAL FUNDS OF INDIA
BOARD FOR INDUSTRIAL & FINANCIAL RECONSTRUCTION
COURTS
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
 

 

DISCLAIMER
THE GOVERNMENT OF INDIA (MINISTRY OF CORPORATE AFFAIRS)
BEARS NO RESPONSIBILITY FOR THE INFORMATION THAT IS PUT ON THIS WEBSITE.

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