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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.

DEPOSITORIES: DIRECTED NSDL TO CONDUCT AN INDEPENDENT ASSESSMENT OF EXISTING SYSTEMS AND PROCESSESS AND IDENTIFY REMEDIAL MEASURES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person NATIONAL SECURITIES DEPOSITORY LTD.  
  FAILED TO COMMUNICATE COMPLETE INFORMATION ON NET WORTH OF DEPOSITORY PARTICIPANT IN MATTER OF RAJNARAYAN CAPITAL MARKET SERVICES LTD.

FAILED TO COMPLETE TERMINATION PROCESS OF DEPOSITORY PARTICIPANT PROMPTLY IN MATTER OF RAJNARAYAN CAPITAL MARKET SERVICES LTD.

FAILED TO PREVENT OR STOP UNAUTHORIZED TRANSFER OF SECURITIES OF BENEFICIAL OWNERS IN MATTER OF RAJNARAYAN CAPITAL MARKET SERVICES LTD.  		DIRECTED NSDL TO CONDUCT AN INDEPENDENT ASSESSMENT OF EXISTING SYSTEMS AND PROCESSESS AND IDENTIFY REMEDIAL MEASURES

04-DEC-2008 		SAT: DIRECTED SEBI THAT OBSERVATIONS MADE IN ORDER DATED 04/12/2008 SHALL STAND EXPUNGED AS THEY ARE ADVERSE TO APPLICANT

SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS

SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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