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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
UPDATED TILL : 28-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.

DEPOSITORIES: DIRECTED TO DISGORGE

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)  
  DID NOT EXERCISE OVERSIGHT OVER THEIR DEPOSITORY PARTICIPANTS   DIRECTED PROMOTERS OF CDSL TO TAKE APPROPRIATE ACTION INCLUDING REVAMPING OF MANAGEMENT

27-APR-2006

DIRECTED TO DISGORGE RS.12,89,76,079

21-NOV-2006 		DIRECTED TO DISGORGE AN AMOUNT OF RS.12,89,76,078.83 (SEVERALLY) AND RS.25,79,52,157.65 (JOINTLY WITH KARVY STOCK BROKING PVT.LTD. AND PRATIK STOCK VISION PVT.LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER

SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 21/11/2006 SET ASIDE WITH NO ORDER AS TO COSTS

AS SAT HAS BEEN ALREADY SET ASIDE SEBI ADJUDICATION ORDER, MATTER DISPOSED OFF, VIDE ORDER DATED 01/12/2009  
2
History of entity/person NATIONAL SECURITIES DEPOSITORY LTD.

(PAN:AADCN9802F)  
  DID NOT EXERCISE OVERSIGHT OVER THEIR DEPOSITORY PARTICIPANTS   DIRECTED PROMOTERS OF NSDL TO TAKE APPROPRIATE ACTION INCLUDING REVAMPING OF MANAGEMENT

27-APR-2006

DIRECTED TO DISGORGE RS.45,01,09,226

21-NOV-2006 		DIRECTED TO DISGORGE AN AMOUNT OF RS.45,01,09,225.90 (SEVERALLY) AND RS.90,02,18,451.80 (JOINTLY WITH IDBI BANK LTD., JHAVERI SECURITIES PVT. LTD., KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., HDFC BANK LTD., KARVY STOCK BROKING LTD., ING VYSYA BANK LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER

SAT: ORDER STAYED

SAT: IMPUGNED ORDER DATED 21/11/2006 SET ASIDE,NO ORDER AS TO COSTS

SAT: DIRECTED SEBI TO CONCLUDE INVESTIGATIONS WITH NO ORDER TO COSTS

AD-INTERIM EX-PARTE ORDER CUM SCN DATED 27/04/2006 DISPOSED OFF, VIDE ORDER DATED 02/02/2010  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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