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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.

CDSL DEPOSITORY PARTICIPANTS: VIOLATED SEBI (CERTIFICATION OF ASSOCIATED PERSONS IN SECURITIES MARKETS) REGULATIONS, 2007

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person BERKELEY SECURITIES LTD.   (Depository Participant : CDSL)
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS

DISCREPANCIES IN STOCK RECONCILIATION

PASSED PENALTY ON SHORT COLLECTION OF UNFRONT MARGINS

DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)

SUBMITTED INCORRECT DETAILS OF OFFICE PIN CODE OF TERMINAL

DISCREPANCIES IN CALCULATION OF NET WORTH

MADE INCORRECT REPORTING OF TRADING OF DEMAT ACCOUNTS TO STOCK EXCHANGE

DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS

MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS

CHARGED EXCESS BROKERAGE

SUBMITTED INCORRECT DATA PERTAINING TO CLIENT UNPAID SECURITIES ACCOUNT TO STOCK EXCHANGE

DID NOT MAKE DISCLOSURE OF SUSPICIOUS TRANSACTION ALERTS GENERATED IN BSE E-BOSS PORTAL

DID NOT HAVE CYBER SECURITY AND CYBER RESILIENCE

ENGAGED IN BUSINESS OTHER THAN SECURITIES

DID NOT HAVE VALID NCFM/NISM CERTIFICATE  		IMPOSED PENALTY RS.9,00,000

10-JUL-2024 		SEBI VIDE ITS NOTICE DATED 11/11/2024 DIRECTED TO PAY RS.9,46,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
2 
History of entity/person SSJ FINANCE & SECURITIES PVT.LTD.   (Depository Participant : CDSL)
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE

MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS

DELAY IN UPLOADING KNOW YOUR CLIENTS (KYC) DOCUMENTS TO KRA PROCESSES

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES

DID NOT REPORT FUND AND SECURITIES BALANCES

WRONG REPORTING OF STOCK HOLDING TO STOCK EXCHANGES

DID NOT SUBMIT NET WORTH CERTIFICATE TO STOCK EXCHANGES

DID NOT VERIFY PANS ON KRA SITE

DID NOT HAVE VALID NCFM/NISM CERTIFICATE  		IMPOSED PENALTY RS.5,00,000

23-MAR-2023
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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