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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: DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE

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 NORTHEAST BROKING SERVICES LTD.   (Depository Participant : CDSL)
  ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE, AND DILIGENCE WHILE ACCEPTING DEMAND DRAFTS FROM CLIENTS RESULTING IN MISUSE OF DEMAND DRAFTS BY EMPLOYEES

ALLEGED WRONGFUL CREDIT OF PAYMENTS RECEIVED FROM ONE CLIENT TO ANOTHER CLIENT

ALLEGED FAILURE IN ENSURING DELIVERY OF WEB LOGIN IDS AND PASSWORDS TO CLIENTS RESULTING IN NON-RECEIPT OF ELECTRONIC CONTRACT NOTES BY CLIENTS

ALLEGED FAILURE IN REPORTING TO NSE REGARDING FUNDING OF CLIENTS  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,00,000 VIDE CONSENT ORDER)

03-FEB-2011
3 
History of entity/person PRABHUDAS LILLADHER PVT.LTD.   (Depository Participant : CDSL)
  ALLEGED INDULGENCE IN CREATION OF MISLEADING APPEARANCE OF TRADING THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF DSQ SOFTWARE LTD. AND DSQ BIOTECH LTD.

ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SECURITIES MARKET  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,05,00,000 VIDE CONSENT ORDER)

16-FEB-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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