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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.

DEPOSITORIES: REACHED SETTLEMENT (CONSENT ORDER)

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person CENTRAL DEPOSITORY SERVICES (INDIA) LTD.

(PAN:AAACC6233A)  
  ALLEGED VIOLATION OF CLAUSE 1.2 OF SEBI CIRCULAR SEBI/HO/DDHS/CIR/P/103/2020 DATED 23/06/2020

ALLEGED VIOLATION OF CLAUSE 4.1 SEBI CIRCULAR SEBI/HO/DDHS/CIR/P/103/2020 DATED 23/062020

ALLEGED VIOLATION OF CLAUSE 2.2 OF CHAPTER XI: OPERATIONAL FRAME FOR TRANSACTIONS IN DEFAULTED DEBT SECURITIES POST MATURITY DATE/REDEMPTION DATE OF SEBI OPERATIONAL CIRCULAR FOR ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES, SECURITISED DEBT INSTRUMENTS, SECURITY RECEIPTS, MUNICIPAL DEBT SECURITIES AND COMMERCIAL PAPER DATED 10/08/2021

ALLEGED VIOLATION OF CLAUSE 5.1 OF CHAPTER XI: OPERATIONAL FRAME FOR TRANSACTIONS IN DEFAULTED DEBT SECURITIES POST MATURITY DATE/REDEMPTION DATE OF SEBI OPERATIONAL CIRCULAR FOR ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES, SECURITISED DEBT INSTRUMENTS, SECURITY RECEIPTS, MUNICIPAL DEBT SECURITIES AND COMMERCIAL PAPER DATED 10/08/2021  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,30,04,550 VIDE CONSENT ORDER)

27-AUG-2024
2 
History of entity/person NATIONAL SECURITIES DEPOSITORY LTD.

(PAN:AADCN9802F)  
  ALLEGED VIOLATION OF REGULATION 7(G) OF SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018

ALLEGED VIOLATION OF REGULATION 17 READ WITH CLAUSES (1), (5) AND (9) OF CODE OF CONDUCT AS SPECIFIED IN PART D OF THIRD SCHEDULE OF (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018

ALLEGED VIOLATION OF REGULATION 17 READ WITH CLAUSES (A), (G) AND (L) OF CODE OF CONDUCT AS SPECIFIED IN PART D OF THIRD SCHEDULE OF (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,12,00,000 VIDE CONSENT ORDER)

17-OCT-2024
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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