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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: PROVIDED WRONG/INCOMPLETE INFORMATION TO SEBI/DID NOT CO-OPERATE WITH SEBI IN INVESTIGATIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ABHIPRA CAPITAL LTD.   (Depository Participant : NSDL)
  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 SHRI PARASRAM HOLDINGS PVT.LTD.   (Depository Participant : NSDL)
  ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS

ALLEGED SUBMISSION OF FALSE INFORMATION TO INSPECTION OFFICIALS

ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT

ALLEGED NON-DISCLOSURE OF PROPRIETARY TRADING TO CLIENTS

DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED TRANSFER OF TRADES FROM ONE PRO-ACCOUNT TO ANOTHER PRO-ACCOUNT

ALLEGED FAILURE IN MAINTAINING DUE DILIGENCE IN MAINTENANCE OF DETAILS OF BRANCHES AND TRADING TERMINALS

ALLEGED FAILURE IN MAINTAINING DUE DILIGENCE WHILE OPENING BENEFICIAL OWNER ACCOUNTS

ALLEGED INDULGENCE IN WITHDRAWAL OF LARGE CASH AND DEPOSIT IN GROUP COMPANY

ALLEGED FAILURE IN FRAMING ANY POLICY FRAMEWORK AND DID NOT APPOINT ANY PRINCIPAL OFFICER UNDER ANTI MONEY LAUNDERING STANDARDS

ALLEGED DISCREPANCIES IN DISTRIBUTION OF NEAT/CTSL TERMINALS AND ILLEGAL DISTRIBUTION OF TRADING TERMINALS AT BRANCHES

ALLEGED OPERATING TERMINALS FROM UNDISCLOSED PREMISES AND BY UNAUTHORISED USERS AT BRANCHES

ALLEGED PERMISSION TO DEALERS WITHOUT NCFM CERTIFICATION TO DEAL IN DERIVATIVE TRADING

ALLEGED FAILURE IN REDRESSAL OF INVESTOR COMPLAINTS IN STIPULATED PERIOD  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.53,00,000 VIDE CONSENT ORDER)

06-SEP-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.

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