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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 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.

CDSL DEPOSITORY PARTICIPANTS: MISUSED/DEFAULTED IN MAINTAINING CLIENT ACCOUNTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person NORTHEAST BROKING SERVICES LTD.   (Depository Participant : CDSL)
  ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE, AND DILIGENCE WHILE ACCEPTING DEMAND DRAFTS FROM CLIENTS RESULTING IN MISUSE OF DEMAND DRAFTS BY EMPLOYEES

ALLEGED WRONGFUL CREDIT OF PAYMENTS RECEIVED FROM ONE CLIENT TO ANOTHER CLIENT

ALLEGED FAILURE IN ENSURING DELIVERY OF WEB LOGIN IDS AND PASSWORDS TO CLIENTS RESULTING IN NON-RECEIPT OF ELECTRONIC CONTRACT NOTES BY CLIENTS

ALLEGED FAILURE IN REPORTING TO NSE REGARDING FUNDING OF CLIENTS  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,00,000 VIDE CONSENT ORDER)

03-FEB-2011
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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