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 13-JUL-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.

CDSL DEPOSITORY PARTICIPANTS: VIOLATED CODE OF CONDUCT

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ABHIPRA CAPITAL LTD.   (Depository Participant : CDSL)
  DID NOT EXERCISE DUE CARE AND DILIGENCE

DID NOT REDRESS INVESTOR COMPLAINTS

NON-COOPERATION WITH SEBI IN INVESTIGATIONS

VIOLATED SEBI CODE OF CONDUCT  		DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS

17-AUG-2007

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)

08-APR-2009 		INTERIM ORDER DATED 17/08/2007 MODIFIED AND ALLOWED TO OPEN NEW DP ACCOUNTS

COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
2 
History of entity/person MPSE SECURITIES LTD.   (Depository Participant : CDSL)
  ALLEGED FAILURE IN ENTERING INTO AGREEMENT WITH CLIENT AS REQUIRED UNDER CLAUSE D (2) OF CODE OF CONDUCT FOR BROKERS AS SPECIFIED UNDER REGULATION 7 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992

ALLEGED NON MAINTENANCE OF AGREEMENT AS REQUIRED UNDER CLAUSE 1(N) OF REGULATION 17 OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992

ALLEGED DEFAULT IN MAINTAINING TRIPARTILE AGREEMENT BETWEEN BROKER-SUB BROKER AND CLIENTS AS REQUIRED VIDE SEBI CIRCULAR NO.SEBI/MRD/DOPS/CIR-11/2005 DATED 12/05/2005  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,25,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)

15-JUN-2009
3 
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
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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