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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: PROVIDED WRONG/INCOMPLETE INFORMATION TO SEBI/DID NOT CO-OPERATE WITH SEBI IN INVESTIGATIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person HSBC INVESTMENT SERVICES (NETHERLANDS) N.V.  
  DID NOT INFORM ABOUT LOCATION WHERE PARTICIPATORY NOTES WERE DESIGNED

DID NOT INFORM THE POINT AT WHICH ITS BROKER HSBC SECURITIES CAME TO KNOW ISSUANCE OF PARTICIPATORY NOTES

DID NOT SUBMIT NAMES, ADDRESS, TELEPHONE NO.,CLIENT REGISTRATION FORM  		IMPOSED PENALTY RS.10,00,000

22-DEC-2006 		SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.10,00,000 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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