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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: VIOLATIONS SPECIFIED IN EARLIER SEBI/NSE ORDERS/CIRCULARS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person CENTRAL BANK OF INDIA   (Depository Participant : CDSL)
  ALLEGED FAILURE IN COMPLIANCE WITH REGULATIONS 41,42(20,CLAUSES 4,15 AND 16 OF CODE OF CONDUCT UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996

ALLEGED FAILURE IN COMPLIANCE WITH SECTIONS 19B AND 19G OF SEBI DEPOSITORIES ACT, 1996

ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.SEBI/MRD/DOP/CIR-22/2004 DATED 14/07/2004

ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-29/2004 DATED 24/08/2004

ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-17/06 DATED 27/10/2006

ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-22/06 DATED 18/12/2006

ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.SEBI/MRD/DOP/DEP/CIR-03/2007 DATED 13/02/2007  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

16-FEB-2010
2 
History of entity/person DEVELOPMENT CREDIT BANK LTD.   (Depository Participant : CDSL)
  ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-22/06 DATED 18/12/2006

ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-29/2004 DATED 24/08/2004

ALLEGED FAILURE IN COMPLIANCE WITH SECTION 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996

ALLEGED FAILURE IN COMPLIANCE WITH REGULATIONS 42(2),54(4),CLAUSES 4,15 AND 16 OF CODE OF CONDUCT UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996

ALLEGED FAILURE IN COMPLIANCE WITH CLAUSES 5.3.3,13.8.1 AND 7.1.3 OF ANNEXURE B TO CDSL BYE LAWS, COMMUNIQUE NO.278 DATED 11/06/2003 AND OPERATING INSTRUCTIONS NOS.2.2.3, 2.4.6, 2.4.15, 2.4.25,3.4, 3.4.2,16.3,10.5.3,8.5.2 AND 4.4.15  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)

02-MAR-2010
3 
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
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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