| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
BANK OF RAJASTHAN LTD.,THE
(Depository Participants : CDSL)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 20A, 41,42(1) AND 58 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996 IN MATTER OF BANK OF RAJASTHAN LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,000, ADMINISTRATION CHARGES RS.5,000 VIDE CONSENT ORDER)
17-FEB-2009
|
|
| 42 |
|
|
BEELINE BROKING LTD.
(PAN:AAGCB0134P)
(Depository Participants : NSDL,Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
FUNDED CLIENTS OUTSIDE OF MARGIN TRADING FACILITY BEYOND T+2+5 DAYS
DID NOT ISSUANCE OF CONTRACT NOTES IN TIME
|
IMPOSED PENALTY RS.15,00,000
30-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 03/01/2023 DIRECTED TO PAY RS.3,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 03/02/2023 CONDONED THE DELAY OF 62 DAYS IN FILING OF APPEAL AND RESPONDENT FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILE WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 01/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/03/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 19/06/2023 DIRECTED TO FILE PHYSICAL COPY OF THE REJOINDER WITHIN TWO WEEKS
SAT: SAT VIDE ITS ORDER DATED 31/01/2025 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.15 LAC FROM RS.30 LAC TO BE PAID BY FIRST NOTICEE. NO COSTS
SEBI VIDE ITS ORDER DATED 16/04/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6186 OF 2023 DATED 03/01/2023
SEBI VIDE ITS ORDER DATED 16/04/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6187 OF 2023 DATED 03/01/2023
|
| 43 |
|
|
BEELINE BROKING LTD.
(PAN:AAGCB0134P)
(Depository Participants : NSDL,Member : NSE/BSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MISUSED PLEDGING OF CLIENT’S SECURITIES
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
DID NOT HAVE PROOF OF ORDER ACCEPTANCE VERIFICATION
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
DID NOT ADHERE TO DELIVERY INSTRUCTION SLIP (DIS) AND TRANSFER RELATED ASPECT
|
IMPOSED PENALTY RS.12,00,000
15-SEP-2021
|
|
| 44 |
|
|
BEELINE BROKING LTD.
(PAN:AAGCB0134P)
(Depository Participants : NSDL,Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
FUNDED CLIENTS OUTSIDE OF MARGIN TRADING FACILITY BEYOND T+2+5 DAYS
DID NOT ISSUANCE OF CONTRACT NOTES IN TIME
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 03/01/2023 DIRECTED TO PAY RS.31,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 03/02/2023 CONDONED THE DELAY OF 62 DAYS IN FILING OF APPEAL AND RESPONDENT FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILE WITHIN THREE WEEKS THEREAFTER
|
| 45 |
|
|
BERKELEY SECURITIES LTD.
(PAN:AADCB7787M)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
DISCREPANCIES IN STOCK RECONCILIATION
PASSED PENALTY TO CLIENTS ON SHORT/NON-COLLECTION AND/OR REPORTING OF UPFRONT MARGINS
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
SUBMITTED INCORRECT DETAILS OF OFFICE PIN CODE OF TERMINAL
DISCREPANCIES IN CALCULATION OF NET WORTH
MADE INCORRECT REPORTING OF TRADING OF DEMAT ACCOUNTS TO STOCK EXCHANGE
DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
CHARGED EXCESS BROKERAGE
SUBMITTED INCORRECT DATA PERTAINING TO CLIENT UNPAID SECURITIES ACCOUNT TO STOCK EXCHANGE
DID NOT MAKE DISCLOSURE OF SUSPICIOUS TRANSACTION ALERTS GENERATED IN BSE E-BOSS PORTAL
DID NOT HAVE CYBER SECURITY AND CYBER RESILIENCE
ENGAGED IN BUSINESS OTHER THAN SECURITIES
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
|
IMPOSED PENALTY RS.9,00,000
10-JUL-2024
|
SEBI VIDE ITS NOTICE DATED 11/11/2024 DIRECTED TO PAY RS.9,46,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 04/12/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8299 OF 2024 DATED 11/11/2024
|
| 46 |
|
|
BHANSALI VALUE CREATIONS PVT.LTD.
(PAN:AAECB3879K)
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
DID NOT MAINTAIN CALL RECORDING AND DID NOT HAVE FACILITY FOR PRE TRADE AUTHORIZATION
DID NOT MAINTAIN EVIDENCE/PRE TRADE AUTHORIZATION/CONFIRMATION IN RESPECT OF ORDERS PLACED BY CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.3,00,000
31-OCT-2023
|
|
| 47 |
|
|
BNP PARIBAS
(PAN:AAACB4868Q)
(Depository Participants : NSDL)
|
|
|
OPENED VARIOUS DEMAT ACCOUNTS SHARING COMMON ADDRESSES
|
DIRECTED NSDL TO CONDUCT INSPECTION
27-APR-2006
|
|
| 48 |
|
|
BOI SHAREHOLDING LTD.
(Depository Participants : NSDL/CDSL)
|
|
|
DID NOT ADHERE TO ANTI-MONEY LAUNDERING CIRCULAR, BENEFICIAL OWNERSHIP CIRCULAR AND ADDENDUM TO AML CIRCULAR VIOLATING CLAUSE 11 OF THIRD SCHEDULE OF CODE OF CONDUCT FOR PARTICIPANTS READ WITH REGULATION 20AA OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
IMPOSED PENALTY RS.6,00,000
31-JUL-2017
|
SAT: SAT VIDE ITS ORDER DATED 12/04/2018 REDUCED THE PENALTY AMOUNT TO RS.6 LACS FROM RS.40 LACS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 20/01/2021 DISPOSED OFF PRESENT APPEAL AND DIRECTED SEBI TO CONSIDER AND DECIDE REVIEW APPLICATION OF THE APPELLANTS WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 22/04/2021 DISMISSED THE APPEAL
|
| 49 |
|
|
BRH WEALTH KREATORS LTD.
(CIN:100717
PAN:AACCB5141L)
(Depository Participants : NSDL)
|
|
|
NO LONGER PARTICIPANTS OF ANY DEPOSITORIES AS PER SECTION 12(3) OF SEBI ACT, 1992 READ WITH REGULATION 30A OF SEBI (INTERMEDIARIES) REGULATIONS, 2008
|
CANCELLED REGISTRATION AS DEPOSITORY PARTICIPANT
14-FEB-2022
|
|
| 50 |
|
|
BRICS SECURITIES LTD.
(Depository Participants : CDSL,Member : NSE/BSE)
|
|
|
|
PARAG SHAH
|
|
|
SUNIL KUMAR BANG
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE ACTING AS A SEBI REGISTERED INTERMEDIARY
|
IMPOSED PENALTY RS.10,00,000
13-AUG-2007
|
SAT: APPEAL FAILED WITH NO ORDER AS TO COSTS
|
| 51 |
|
|
BRIGHT SHARES & STOCKS PVT.LTD.
(PAN:AAACB8551A)
(Depository Participants : NSDL)
|
|
|
NO LONGER A PARTICIPANT OF ANY DEPOSITORY
|
CANCELLED REGISTRATION AS DEPOSITORY PARTICIPANT
30-AUG-2024
|
|
| 52 |
|
|
C D INTEGRATED SERVICES LTD.
(PAN:AABCC2483R)
(Depository Participants : NSDL,Member : BSE/NSE)
|
|
|
ENGAGED IN BUSINESS OTHER THAN SECURITIES
PROVIDED FUND TO SUBSIDIARIES FOR TRADING PURPOSES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT UPDATE CLIENTS EMAIL IDS AND MOBILE NUMBERS
SUBMITTED INCORRECT INCREASED NET-WORTH TO STOCK EXCHANGE
DID NOT UPLOAD DETAILS OF CLIENT TO STOCK EXCHANGE UNDER FUNDS AND SECURITIES MODULE OF ENHANCED SUPERVISION
DEFAULTED IN MAINTENANCE OF CLIENT LEDGER
|
IMPOSED PENALTY RS.5,00,000
14-AUG-2020
|
|
| 53 |
|
|
CAPSTOCKS & SECURITIES (INDIA) PVT.LTD.
(PAN:AABCC6234A)
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES
DISCREPANCIES IN CLIENT REGISTRATION PROCESS (KYC, KRA AND CKYCR PROCESS)
DID NOT HAVE CALL RECORDING SYSTEM FOR PREVENTION OF UNAUTHORIZED TRADING
DISCREPANCIES IN ISSUANCE OF DELIVERY INSTRUCTION SLIPS AND EXECUTIONS
DID NOT CAPTURE DETAILS OF RECEIVED DATE IN ACCOUNT MODIFICATION FORM
|
IMPOSED PENALTY RS.7,00,000
31-MAY-2021
|
|
| 54 |
|
|
CENTRAL BANK OF INDIA
(Depository Participants : CDSL)
|
|
|
ALLEGED FAILURE IN COMPLIANCE WITH REGULATIONS 41,42(20,CLAUSES 4,15 AND 16 OF CODE OF CONDUCT UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
ALLEGED FAILURE IN COMPLIANCE WITH SECTIONS 19B AND 19G OF SEBI DEPOSITORIES ACT, 1996
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.SEBI/MRD/DOP/CIR-22/2004 DATED 14/07/2004
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-29/2004 DATED 24/08/2004
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-17/06 DATED 27/10/2006
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-22/06 DATED 18/12/2006
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.SEBI/MRD/DOP/DEP/CIR-03/2007 DATED 13/02/2007
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
16-FEB-2010
|
|
| 55 |
|
|
CENTURION BANK OF PUNJAB 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
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
29-JUL-2009
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 21/02/2007
AD-INTERIM EX PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.8,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 27/07/2009
|
| 56 |
|
|
CHAROTAR NAGARIK SAHAKARI BANK LTD.
(Depository Participants : NSDL)
|
|
|
SURRENDERED CERTIFICATE OF REGISTRATION AS DEPOSITORY PARTICIPANT OF NSDL
|
CANCELLED REGISTRATION AS DEPOSITORY PARTICIPANT
25-AUG-2004
|
|
| 57 |
|
|
CITIBANK N.A.
(PAN:AAACC0462F)
(Depository Participants : NSDL)
|
|
|
OPENED VARIOUS DEMAT ACCOUNTS SHARING COMMON ADDRESSES
|
DIRECTED NSDL TO CONDUCT INSPECTION
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
|
|
| 58 |
|
|
CLICK2TRADE CAPITAL LTD.
(CIN:U74899UP1995PLC044229
PAN:AAACR1086J)
(Depository Participants : CDSL)
|
|
|
NO LONGER A PARTICIPANT OF ANY DEPOSITORY
|
CANCELLED REGISTRATION AS DEPOSITORY PARTICIPANT
30-AUG-2024
|
|
| 59 |
|
|
COMPOSITE INVESTMENTS PVT.LTD.
(PAN:AAACC7373B)
(Depository Participants : CDSL,Member : NSE/BSE/MSEI)
|
|
|
WRONG NOMENCLATURE IN CLIENT AND SETTLEMENT BANK ACCOUNTS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES
DID NOT OBTAIN RUNNING ACCOUNTS AUTHORIZATION FORMS
DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS
FUNDED CLIENTS OUTSIDE OF MARGIN TRADING FACILITY BEYOND T+2+5 DAYS
DID NOT UPLOAD CORRECT AND COMPLETE DETAILS OF CLIENTS TO UCC DATABASE
DISCREPANCIES IN CALCULATION OF NET WORTH
DID NOT FETCH KYC DETAILS FROM KRA
DID NOT DONE SECOND LEVEL AUTHENTICATION
WRONG REASON FOR UPDATION FOR OFF MARKET TRANSFERS IN 2 INSTANCES
DID NOT SUBMIT CONCURRENT AUDIT REPORT IN CDSL PRESCRIBED FORMAT
DELAY IN SETTLING ACCOUNTS OF INACTIVE CLIENTS
|
IMPOSED PENALTY RS.5,00,000
29-SEP-2020
|
|
| 60 |
|
|
CONCEPT SECURITIES PVT.LTD.
(PAN:AACCR7642A)
(Depository Participants : CDSL,Member : BSE/NSE/MCX)
|
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE
MAPPED SINGLE EMAIL ID AND MOBILE NUMBER FOR MULTIPLE CLIENTS
DID NOT UPLOAD DETAILS OF CLIENT TO STOCK EXCHANGE UNDER FUNDS AND SECURITIES MODULE OF ENHANCED SUPERVISION
|
IMPOSED PENALTY RS.4,00,000
18-MAR-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 13
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