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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.

NSDL DEPOSITORY PARTICIPANTS: COMMITTED IRREGULARITIES IN MAINTENANCE OF CLIENT REGISTRATION/DATABASE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person MOTILAL OSWAL SECURITIES LTD.   (Depository Participant : NSDL)
  ALLEGED FAILURE IN ADHERE TO KNOW YOUR CLIENTS DIRECTIVES/INSTRUCTIONS/GUIDELINES WHILE OPENING 697 DEMAT ACCOUNTS WITH COMMON ADDRESSES  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

06-MAY-2010
2 
History of entity/person NORTHEAST BROKING SERVICES LTD.   (Depository Participant : NSDL)
  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
3 
History of entity/person TRANSWORLD SECURITIES LTD.   (Depository Participant : NSDL)
  ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES

ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS

ALLEGED FAILURE IN TAKING PROOF OF IDENTITY AND ADDRESS OF ITS CLIENTS WHILE OPENING BENEFICIARY ACCOUNTS

ALLEGED FAILURE IN MAINTENANCE OF NOMINATION REGISTER

ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES

ALLEGED FAILURE IN APPOINTMENT OF NCFM CERTIFIED PERSONS IN SOME OF ITS BRANCHES

ALLEGED DELAY IN SUBMISSION OF ANNUAL ACCOUNTS AND NETWORTH CERTIFICATE TO NSDL

ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)

27-MAY-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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