If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors

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.

FOREIGN INSTITUTIONAL INVESTORS: DIRECTED NOT TO ISSUE/SUBSCRIBE OR OTHERWISE TRANSACT IN ANY FRESH/NEW OFFSHORE DERIVATIVE INSTRUMENTS TILL SUCH TIME IT PROVIDES TRUE AND CORRECT REPORTING OF ITS TRANSACTIONS TO SEBI

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person SOCIETE GENERALE  
  DID NOT PROVIDE TRUE, FAIR AND COMPLETE DETAILS OF ODIS/PNS ACTIVITY UNDERTAKEN BUT ALSO PROVIDE PRIMA FACIE INCORRECT INFORMATION TO SEBI

DID NOT ASCERTAIN WHETHER ENTITY TO WHICH ODIS ISSUED ONWARD ARE REGULATED

DID NOT EXERCISE DUE DILIGENCE IN OBSERVANCE OF “KNOW YOUR CLIENT” DIRECTIVES/INSTRUCTIONS/GUIDELINES  		SHOW CAUSE NOTICE ISSUED

DIRECTED NOT TO ISSUE/SUBSCRIBE OR OTHERWISE TRANSACT IN ANY FRESH/NEW OFFSHORE DERIVATIVE INSTRUMENTS TILL SUCH TIME IT PROVIDES TRUE AND CORRECT REPORTING OF ITS TRANSACTIONS TO SEBI

15-JAN-2010 		SEBI VIDE ITS ORDER DATED 30/12/2010 REVOKED EX-PARTE INTERIM ORDER DATED 15/01/2010 AND DIRECTED SOCIETE GENERALE TO ISSUE OFFSHORE DERIVATIVE INSTRUMENTS STRICTLY IN COMPLIANCE WITH THE REGULATORY REGIME. ANY MISREPRESENTATION OR WRONG REPORTING BY SOCIETE GENERALE OF ITS OFFSHORE DERIVATIVE INSTRUMENTS ACTIVITY,IN FUTURE, WOULD BE VIEWED SERIOUSLY
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.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2024
No part of this site may be reproduced without the explicit permission of the owners.

top