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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 07-AUG-2025

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.

DEPOSITORY PARTICIPANTS: REACHED SETTLEMENT (CONSENT ORDER)

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41
History of entity/person SUSHIL FINANCIAL SERVICES PVT.LTD.

(PAN:AAACS8454K)

(Depository Participants : CDSL,Member : NSE/BSE)  
  ALLEGED DEALING WITH A CLIENT WHO WAS RESTRAINED FROM DEALING IN SECURITIES MARKET BY SEBI VIOLATING REGULATIONS 27(XV) AND 27(XVII) OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 READ WITH CLAUSES A(1) A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II UNDER REGULATION 7 OF STOCK BROKER REGULATIONS   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)

24-NOV-2010 		 
42
History of entity/person TR CAPITAL LTD.

(Depository Participants : CDSL)  
  ALLEGED FAILURE TO MAINTAIN PROOF OF DISPATCH OF HOLDING AND TRANSACTIONS STATEMENTS TO CLIENTS AND MAINTAIN ARMS LENGTH RELATIONSHIP BETWEEN ITS BROKING ACTIVITY AND OPERATIONS AS DEPOSITORY PARTICIPANT VIOLATING REGULATION 49(1) (C) OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996, INSTRUCTIONS 16.4 AND 16.8 OF CENTRAL DEPOSITORY SERVICES INDIA LTD. AND CLAUSES 1,3,4,11, 16 AND 20 OF THIRD SCHEDULE OF CODE OF CONDUCT FOR PARTICIPANTS READ WITH REGULATION 20AA OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,20,000 VIDE CONSENT ORDER)

22-MAR-2019 		 
43
History of entity/person TRANSWORLD SECURITIES LTD.

(Depository Participants : NSDL,Member : NSE/BSE)  
  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 		 
44
History of entity/person VENTURA SECURITIES LTD.

(PAN:AAACV1361J)

(Depository Participants : NSDL,Member : BSE/NSE/OTC)  
  ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF JAGSONPAL PHARMACEUTICALS LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

29-DEC-2008 		 
45
History of entity/person WELLWORTH SHARE & STOCK BROKING LTD.

(Depository Participants : CDSL)  
  FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES   DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS

27-APR-2006

REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)

23-JUL-2008 		ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO REMIT A SUM OF RS.50,000 AS PER CONSENT ORDER DATED 23/07/2008  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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