If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 21-NOV-2024

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

ALL CDSL DEPOSITORY PARTICIPANTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21 
History of entity/person SOUTH INDIAN BANK LTD.,THE   (Depository Participant : CDSL)
  ALLEGED VIOLATION OF SECTIONS 14(3), 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996

ALLEGED VIOLATION OF REGULATIONS 42(2),42(3),49(C),54(4),CLAUSES 1,2,3,4,15 AND 16 OF CODE OF CONDUCT PRESCRIBED UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)

31-MAR-2010
22 
History of entity/person SUSHIL FINANCIAL SERVICES PVT.LTD.   (Depository Participant : CDSL)
  ALLEGED DEALING WITH A CLIENT WHO WAS RESTRAINED FROM DEALING IN SECURITIES MARKET BY SEBI VIOLATING REGULATIONS 27(XV) AND 27(XVII) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 READ WITH CLAUSES A(1) A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II UNDER REGULATION 7 OF STOCK BROKER REGULATIONS  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)

24-NOV-2010
23 
History of entity/person TR CAPITAL LTD.   (Depository Participant : CDSL)
  ALLEGED FAILURE TO MAINTAIN PROOF OF DISPATCH OF HOLDING AND TRANSACTIONS STATEMENTS TO CLIENTS AND MAINTAIN ARMS LENGTH RELATIONSHIP BETWEEN ITS BROKING ACTIVITY AND OPERATIONS AS DEPOSITORY PARTICIPANT VIOLATING REGULATION 49(1) (C) OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996, INSTRUCTIONS 16.4 AND 16.8 OF CENTRAL DEPOSITORY SERVICES INDIA LTD. AND CLAUSES 1,3,4,11, 16 AND 20 OF THIRD SCHEDULE OF CODE OF CONDUCT FOR PARTICIPANTS READ WITH REGULATION 20AA OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,20,000 VIDE CONSENT ORDER)

22-MAR-2019
24 
History of entity/person WELLWORTH SHARE & STOCK BROKING LTD.   (Depository Participant : CDSL)
  FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES  DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS

27-APR-2006

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)

23-JUL-2008 		ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO REMIT A SUM OF RS.50,000 AS PER CONSENT ORDER DATED 23/07/2008
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
First Previous Last
Page 2 of 2

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2024
No part of this site may be reproduced without the explicit permission of the owners.

top