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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 DEPOSITORIES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person CENTRAL DEPOSITORY SERVICES (INDIA) LTD.

(PAN:AAACC6233A)  
  ALLEGED VIOLATION OF CLAUSE 1.2 OF SEBI CIRCULAR SEBI/HO/DDHS/CIR/P/103/2020 DATED 23/06/2020

ALLEGED VIOLATION OF CLAUSE 4.1 SEBI CIRCULAR SEBI/HO/DDHS/CIR/P/103/2020 DATED 23/062020

ALLEGED VIOLATION OF CLAUSE 2.2 OF CHAPTER XI: OPERATIONAL FRAME FOR TRANSACTIONS IN DEFAULTED DEBT SECURITIES POST MATURITY DATE/REDEMPTION DATE OF SEBI OPERATIONAL CIRCULAR FOR ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES, SECURITISED DEBT INSTRUMENTS, SECURITY RECEIPTS, MUNICIPAL DEBT SECURITIES AND COMMERCIAL PAPER DATED 10/08/2021

ALLEGED VIOLATION OF CLAUSE 5.1 OF CHAPTER XI: OPERATIONAL FRAME FOR TRANSACTIONS IN DEFAULTED DEBT SECURITIES POST MATURITY DATE/REDEMPTION DATE OF SEBI OPERATIONAL CIRCULAR FOR ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES, SECURITISED DEBT INSTRUMENTS, SECURITY RECEIPTS, MUNICIPAL DEBT SECURITIES AND COMMERCIAL PAPER DATED 10/08/2021  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,30,04,550 VIDE CONSENT ORDER)

27-AUG-2024
2 
History of entity/person NATIONAL SECURITIES DEPOSITORY LTD.

(PAN:AADCN9802F)  
  ALLEGED VIOLATION OF REGULATION 7(G) OF SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018

ALLEGED VIOLATION OF REGULATION 17 READ WITH CLAUSES (1), (5) AND (9) OF CODE OF CONDUCT AS SPECIFIED IN PART D OF THIRD SCHEDULE OF (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018

ALLEGED VIOLATION OF REGULATION 17 READ WITH CLAUSES (A), (G) AND (L) OF CODE OF CONDUCT AS SPECIFIED IN PART D OF THIRD SCHEDULE OF (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,12,00,000 VIDE CONSENT ORDER)

17-OCT-2024
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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