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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 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: DEFAULTED/FAILED TO COLLECT MARGINS/BMC FROM CLIENTS/SUB-BROKERS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person KOTAK SECURITIES LTD.   (Depository Participant : CDSL)
  EXTENDED “DELAYED PAYMENT FACILITY” SIMILAR TO “MARGIN TRADING FACILITY” TO ITS CLIENTS  IMPOSED PENALTY RS.10,00,000

24-DEC-2008

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)

07-SEP-2009 		SAT: ORDER DATED 24/12/2008 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.12,00,000 TOWARDS SETTLEMENT CHARGES AND RS.25,000 TOWARDS LEGAL EXPENSES AS PER CONSENT ORDER
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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