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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 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.

COMPANIES: VIOLATED SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person CITIBANK N.A.

(PAN:AAACC0462F)  
  ALLEGED VIOLATION OF REGULATION 32(1) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019

ALLEGED VIOLATION OF CLAUSE 3 OF CODE OF CONDUCT OF THIRD SCHEDULE UNDER REGULATION 37 OF SEBI (DEPOSITORIES & PARTICIPANT) REGULATIONS, 2018 AND PARA 2 OF PART A & PARA 8 OF PART A OF OPERATIONAL GUIDELINES  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.40,20,000 VIDE CONSENT ORDER)

27-AUG-2024
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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