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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.

FOREIGN INSTITUTIONAL INVESTORS: SHOW CAUSE NOTICE ISSUED

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.

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