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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.

NSDL DEPOSITORY PARTICIPANTS: DELAYED/FAILED TO MAKE PAYMENT TO CLIENTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person GUINESS SECURITIES LTD.   (Depository Participant : NSDL)
  DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED MISUTILISATION OF CLIENTS FUNDS

ALLEGED FAILURE IN MAKING PAYMENTS OF CORPORATE BENEFITS TO CLIENTS WITHIN STIPULATED TIME

ALLEGED FAILURE IN REDRESSAL OF INVESTOR COMPLAINTS IN STIPULATED PERIOD

ALLEGED CHARGING OF HIGHER BROKERAGE FROM CLIENTS TOWARDS PURCHASED AND SALE OF SHARES

ALLEGED INDULGENCE IN FUND-BASED ACTIVITIES BY LENDING AND BORROWING FUNDS FOR TRANACTIONS OF CLIENTS AND CHARGING INTEREST

ALLEGED NON-COLLECTION OF MARGINS FROM CLIENTS AND PERMITTED THEM TO TRADE WITHOUT SUFFICIENT CASH BALANCE  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)

02-AUG-2011
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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