| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
BANK OF RAJASTHAN LTD.,THE
(Depository Participant : CDSL)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 20A, 41,42(1) AND 58 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996 IN MATTER OF BANK OF RAJASTHAN LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,000, ADMINISTRATION CHARGES RS.5,000 VIDE CONSENT ORDER)
17-FEB-2009
|
|
| 2 |
|
|
CENTRAL BANK OF INDIA
(Depository Participant : CDSL)
|
|
|
ALLEGED FAILURE IN COMPLIANCE WITH REGULATIONS 41,42(20,CLAUSES 4,15 AND 16 OF CODE OF CONDUCT UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED FAILURE IN COMPLIANCE WITH SECTIONS 19B AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.SEBI/MRD/DOP/CIR-22/2004 DATED 14/07/2004
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-29/2004 DATED 24/08/2004
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-17/06 DATED 27/10/2006
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-22/06 DATED 18/12/2006
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.SEBI/MRD/DOP/DEP/CIR-03/2007 DATED 13/02/2007
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
16-FEB-2010
|
|
| 3 |
|
|
DEVELOPMENT CREDIT BANK LTD.
(Depository Participant : CDSL)
|
|
|
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-22/06 DATED 18/12/2006
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-29/2004 DATED 24/08/2004
ALLEGED FAILURE IN COMPLIANCE WITH SECTION 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED FAILURE IN COMPLIANCE WITH REGULATIONS 42(2),54(4),CLAUSES 4,15 AND 16 OF CODE OF CONDUCT UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED FAILURE IN COMPLIANCE WITH CLAUSES 5.3.3,13.8.1 AND 7.1.3 OF ANNEXURE B TO CDSL BYE LAWS, COMMUNIQUE NO.278 DATED 11/06/2003 AND OPERATING INSTRUCTIONS NOS.2.2.3, 2.4.6, 2.4.15, 2.4.25,3.4, 3.4.2,16.3,10.5.3,8.5.2 AND 4.4.15
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
02-MAR-2010
|
|
| 4 |
|
|
INDIA INFOLINE LTD.
(Depository Participant : CDSL)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 20A, 49, 54(4) AND 61 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996 IN MATTER OF INDIA INFOLINE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.75,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
05-JUN-2009
|
SAT: SAT VIDE ITS ORDER DATED 23/08/2023 ALLOWED APPELLANT A WEEK TO FILE REJOINDER
|
| 5 |
|
|
RTG SHARE BROKING LTD.
(Depository Participant : CDSL)
|
|
|
ALLEGED VIOLATION OF SEBI MASTER CIRCULAR NO.CIR/ISD/AML/3/2010 DATED 31/12/2010 & CIR/ISD/AML/1/2008 DATED 19/12/2008 AND CLAUSE 11 OF SCHEDULE III OF CODE OF CONDUCT READ WITH REGULATION 20AA AND 64 OF SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,55,000 VIDE CONSENT ORDER)
08-FEB-2018
|
|
| 6 |
|
|
SHILPA STOCK BROKER PVT.LTD.
(Depository Participant : CDSL)
|
|
|
ALLEGED FAILURE IN FURNISHING OF INFORMATION , DELAY IN DEMATERIALISATION OR ISSUE OF CERTIFICATE OF SECURITIES VIOLATING REGULATION 19A, 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED FAILURE IN OPENING OF SEPARATE ACCOUNTS IN NAME OF EACH BENEFICIAL OWNER AND DID NOT FURNISH DETAILS OF SURRENDER OF SECURITIES TO ISSUER ALONGWITH CERTIFICATE OF SECURITY VIOLATING REGULATION 42(1) AND 54(4) OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
10-FEB-2010
|
|
| 7 |
|
|
SOUTH INDIAN BANK LTD.,THE
(Depository Participant : CDSL)
|
|
|
ALLEGED VIOLATION OF SECTIONS 14(3), 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED VIOLATION OF REGULATIONS 42(2),42(3),49(C),54(4),CLAUSES 1,2,3,4,15 AND 16 OF CODE OF CONDUCT PRESCRIBED UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
31-MAR-2010
|
|
| 8 |
|
|
TR CAPITAL LTD.
(Depository Participant : CDSL)
|
|
|
ALLEGED FAILURE TO MAINTAIN PROOF OF DISPATCH OF HOLDING AND TRANSACTIONS STATEMENTS TO CLIENTS AND MAINTAIN ARMS LENGTH RELATIONSHIP BETWEEN ITS BROKING ACTIVITY AND OPERATIONS AS DEPOSITORY PARTICIPANT VIOLATING REGULATION 49(1) (C) OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996, INSTRUCTIONS 16.4 AND 16.8 OF CENTRAL DEPOSITORY SERVICES INDIA LTD. AND CLAUSES 1,3,4,11, 16 AND 20 OF THIRD SCHEDULE OF CODE OF CONDUCT FOR PARTICIPANTS READ WITH REGULATION 20AA OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,20,000 VIDE CONSENT ORDER)
22-MAR-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
