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SOURCE OF INFORMATION : RESERVE BANK OF INDIA WEBSITE & NEWSPAPERS
PERIOD COVERED : 01-AUG-1996 TO 13-JUL-2024

ALL PRIMARY DEALER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BNP PARIBAS
  SURRENDERED CERTIFICATE OF REGISTRATION   CANCELLED CERTIFICATE OF REGISTRATION

24-APR-2001 		 
2
History of entity/person CEAT FINANCIAL SERVICES LTD.
  DID NOT ADHERE TO PROVISIONS OF RBI ACT, 1934   REJECTION OF APPLICATION FOR RENEWAL OF REGISTRATION

18-SEP-2001 		 
3
History of entity/person DSP MERRILL LYNCH SECURITIES TRADING LTD.
  SURRENDERED CERTIFICATE OF REGISTRATION   CANCELLED CERTIFICATE OF REGISTRATION

19-JUN-2009 		 
4
History of entity/person STANDARD CHARTERED-UTI SECURITIES (INDIA) PVT.LTD.
  DID NOT FULFIL MINIMUM ELIGIBILITY CRITERIA   WITHDRAWN AUTHORIZATION AS PRIMARY DEALER

01-AUG-2006 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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