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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 21-NOV-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: FAILED TO MAINTAIN PROPER BOOKS OF ACCOUNTS/RECORDS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person C.D.INTEGRATED SERVICES LTD.   (Depository Participant : NSDL)
  ENGAGED IN BUSINESS OTHER THAN SECURITIES

PROVIDED FUND TO SUBSIDIARIES FOR TRADING PURPOSES

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS

SUBMITTED INCORRECT INCREASED NET-WORTH TO STOCK EXCHANGE

DID NOT UPLOAD DETAILS OF CLIENT TO STOCK EXCHANGE UNDER FUNDS AND SECURITIES MODULE OF ENHANCED SUPERVISION

DEFAULTED IN MAINTENANCE OF CLIENT LEDGER  		IMPOSED PENALTY RS.5,00,000

14-AUG-2020
2 
History of entity/person RELIGARE SECURITIES LTD.   (Depository Participant : NSDL)
  DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT MAINTAIN RECORDS OF INVESTORS’ COMPLAINTS

DID NOT CONDUCT INTERNAL AUDIT OF BRANCH OPERATIONS AS PER SEBI CIRCULAR NO MIRSD/DPS-III/CIR-9/07 DATED 03/07/2007

CONDUCTED DEPOSITORY OPERATIONS WITHOUT NCFM QUALIFIED PERSONNEL AT BRANCHES

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN COLLECTION OF INTRODUCERS DETAILS

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN HANDLING AND PROCESSING MODIFICATION REQUESTS

DID NOT EXERCISE DUE DILIGENCE AND CARE IN PROCESSING VARIOUS FORMS AND REQUESTS SUBMITTED AT BRANCH LEVEL  		IMPOSED PENALTY RS.2,00,000

10-NOV-2010 		SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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