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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.

COMPANIES: VIOLATED SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 1996

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
History of entity/person ORBIS FINANCIAL CORP.LTD.

(PAN:AAACF9386P)  
  ALLEGED FAILURE TO FOLLOW PRESCRIBED PROCESS FOR GRANTING REGISTRATION TO FOREIGN PORTFOLIO INVESTORS (FPIS) AND DID NOT PROVIDE PHYSICAL COPY OF CUSTOMER ACQUISITION FORM DURING INSPECTION VIOLATING PARA 2 OF PART A OF OPERATIONAL GUIDELINES & CLAUSE 3 OF CODE OF CONDUCT OF SEBI (DEPOSITORIES AND PARTICIPANTS) ACT, 1996  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,62,500 VIDE CONSENT ORDER)

23-JUL-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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