|
S.No.
|
ENTITY |
PERSONS |
REGULATORY CHARGES
|
REGULATORY ACTION(S) / DATE OF ORDER
|
FURTHER DEVELOPMENTS
|
|
101
|
|
UNAVA NAGRIK SAHAKARI BANK LTD.,THE
|
|
|
DID NOT ADHERE TO ANTI MONEY LAUNDERING (AML) DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
IMPOSED PENALTY RS.1,00,000 FROM 26-MAY-2011
26-MAY-2011
|
|
|
102
|
|
|
URBAN CO-OPERATIVE BANK LTD.,BASTI
|
|
|
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES OF RBI ON EXPOSURE DIRECTIVES/INSTRUCTIONS/GUIDELINES AND STATUTORY/OTHER RESTRICTIONS
ALLOWED OPERATIONS AND DID NOT CLOSE SEVERAL ACCOUNTS OPEN USING OTP BASED E-KYC IN NON-FACE-TO-FACE MODE, EVEN AFTER EXPIRY OF ONE YEAR WITHOUT CONDUCTING CUSTOMER DUE DILIGENCE PROCEDURE
DID NOT ADHERE TO ANTI MONEY LAUNDERING (AML) DIRECTIVES/INSTRUCTIONS/GUIDELINES
VIOLATED DIRECTIVES/INSTRUCTIONS/GUIDELINES OF RBI ON OPENING OF ON-SITE ATMS
|
IMPOSED PENALTY RS.10,00,000 FROM 17-OCT-2018
17-OCT-2018
|
|
|
103
|
|
|
URBAN CO-OPERATIVE BANK LTD.,BUDAUN,THE
|
|
|
DID NOT ADHERE TO INSTRUCTIONS OF RBI ON SUPERVISORY ACTION FRAMEWORK (SAF)
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES OF RBI ON PRUDENTIAL INTER-BANK (GROSS) EXPOSURE LIMITS AND/OR INTER-BANK COUNTER PARTY EXPOSURE LIMITS
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES OF RBI ON PROFESSIONAL DIRECTOR
ALLOWED OPERATIONS AND DID NOT CLOSE SEVERAL ACCOUNTS OPEN USING OTP BASED E-KYC IN NON-FACE-TO-FACE MODE, EVEN AFTER EXPIRY OF ONE YEAR WITHOUT CONDUCTING CUSTOMER DUE DILIGENCE PROCEDURE
DID NOT ADHERE TO ANTI MONEY LAUNDERING (AML) DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT FURNISH ANY CREDIT INFORMATION TO EVEN CREDIT INFORMATION COMPANY (CIC) OF WHICH IT WAS A MEMBER
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES OF RBI TO CARRY OUT CONCURRENT AUDIT OF INVESTMENT PORTFOLIO
|
IMPOSED PENALTY RS.5,00,000 FROM 01-MAR-2019
01-MAR-2019
|
|
|
104
|
|
|
VYAVASAYIK EVAM AUDYOGIK SAHAKARI BANK LTD.
|
|
|
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES OF RBI ON OPERATIONAL MATTERS
ALLOWED OPERATIONS AND DID NOT CLOSE SEVERAL ACCOUNTS OPEN USING OTP BASED E-KYC IN NON-FACE-TO-FACE MODE, EVEN AFTER EXPIRY OF ONE YEAR WITHOUT CONDUCTING CUSTOMER DUE DILIGENCE PROCEDURE
DID NOT ADHERE TO ANTI MONEY LAUNDERING (AML) DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES OF RBI ON INSPECTION COMPLIANCE
|
IMPOSED PENALTY RS.5,00,000 FROM 02-APR-2014
02-APR-2014
|
|
|
105
|
|
|
VYAVASAYIK EVAM AUDYOGIK SAHAKARI BANK LTD.
|
|
|
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES OF RBI ON MAXIMUM LIMITS ON UNSECURED ADVANCES/LOANS
ALLOWED OPERATIONS AND DID NOT CLOSE SEVERAL ACCOUNTS OPEN USING OTP BASED E-KYC IN NON-FACE-TO-FACE MODE, EVEN AFTER EXPIRY OF ONE YEAR WITHOUT CONDUCTING CUSTOMER DUE DILIGENCE PROCEDURE
DID NOT ADHERE TO ANTI MONEY LAUNDERING (AML) DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES OF RBI ON INSPECTION COMPLIANCE
|
IMPOSED PENALTY RS.5,00,000 FROM 18-OCT-2012
18-OCT-2012
|
|
|
106
|
|
|
VYAVSAYIK SAHKARI BANK LTD.
|
|
|
ALLOWED OPERATIONS AND DID NOT CLOSE SEVERAL ACCOUNTS OPEN USING OTP BASED E-KYC IN NON-FACE-TO-FACE MODE, EVEN AFTER EXPIRY OF ONE YEAR WITHOUT CONDUCTING CUSTOMER DUE DILIGENCE PROCEDURE
DID NOT ADHERE TO ANTI MONEY LAUNDERING (AML) DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
IMPOSED PENALTY RS.1,00,000 FROM 10-DEC-2015
10-DEC-2015
|
|
|
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
|
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