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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
PERIOD COVERED : 01-JAN-1997 TO 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.

STOCK BROKERS: DEFAULTED IN MAINTENANCE OF RECORDS OF INVESTOR'S COMPLAINTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person RELIGARE SECURITIES LTD.  

(Member : NSE)
  DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT MAINTAIN RECORDS OF INVESTORS’ COMPLAINTS

DID NOT CONDUCT INTERNAL AUDIT OF BRANCH OPERATIONS AS PER SEBI CIRCULAR NO MIRSD/DPS-III/CIR-9/07 DATED 03/07/2007

CONDUCTED DEPOSITORY OPERATIONS WITHOUT NCFM QUALIFIED PERSONNEL AT BRANCHES

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN COLLECTION OF INTRODUCERS DETAILS

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN HANDLING AND PROCESSING MODIFICATION REQUESTS

DID NOT EXERCISE DUE DILIGENCE AND CARE IN PROCESSING VARIOUS FORMS AND REQUESTS SUBMITTED AT BRANCH LEVEL  		IMPOSED PENALTY RS.2,00,000

10-NOV-2010 		SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED
2 
History of entity/person RELIGARE SECURITIES LTD.  

(Member : BSE)
  DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT MAINTAIN RECORDS OF INVESTORS’ COMPLAINTS

DID NOT CONDUCT INTERNAL AUDIT OF BRANCH OPERATIONS AS PER SEBI CIRCULAR NO MIRSD/DPS-III/CIR-9/07 DATED 03/07/2007

CONDUCTED DEPOSITORY OPERATIONS WITHOUT NCFM QUALIFIED PERSONNEL AT BRANCHES

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN COLLECTION OF INTRODUCERS DETAILS

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN HANDLING AND PROCESSING MODIFICATION REQUESTS

DID NOT EXERCISE DUE DILIGENCE AND CARE IN PROCESSING VARIOUS FORMS AND REQUESTS SUBMITTED AT BRANCH LEVEL  		IMPOSED PENALTY RS.2,00,000

10-NOV-2010 		SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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