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Co-Sponsors
SOURCE : NEWSPAPER ADS RELEASED BY FIU STOCK EXCHANGE LTD.

SOURCE OF INFORMATION : MINISTRY OF FINANCE - FINANCIAL INTELLIGENCE UNIT
PERIOD COVERED : 14-FEB-2013 TO 30-APR-2026

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: IMPOSED FINE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
101
History of entity/person VIRAJPETH PATTANA SAHAKARA BANK NIYAMITHA  
  DID NOT HAVE EFFECTIVE INTERNAL MECHANISM TO DETECT AND REPORT OF CASH TRANSACTIONS VIOLATING RULES 3(1)(A), 3(1)(B), 5(2), 7(2), 7(3) AND 7(4) OF PML (MAINTENANCE OF RECORDS) RULES, 2005

DELAY IN FILING OF CASH TRANSACTION REPORTS (CTRS) VIOLATING RULES 3(1)(A), 3(1)(B), 5(2), 7(2), 7(3) AND 7(4) OF PML (MAINTENANCE OF RECORDS) RULES, 2005

DID NOT FILE CASH TRANSACTION REPORTS (CTRS) VIOLATING RULES 3(1)(A), 3(1)(B), 5(2), 7(2), 7(3) AND 7(4) OF PML (MAINTENANCE OF RECORDS) RULES, 2005   		IMPOSED FINE RS.6,45,000

03-MAR-2021
102
History of entity/person WAY2WEALTH BROKERS PVT.LTD.  
  DID NOT PROPERLY RAISE ALERTS AND CONSIDER ADVERSE ORDERS OF SEBI FROM THE PERSPECTIVE OF AML TRANSACTIONAL MONITORING AND REPORTING OBLIGATIONS

DID NOT PROPERLY RAISE, INVESTIGATE ALERTS, HANDLE THE ALERTS AND FILE THE SAME AS SUSPICIOUS TRANSACTIONS REPORTS (STRS) WITH FIU-IND   		DIRECTED TO FILE CERTIFICATION UNDER SIGNATURE OF DESIGNATED DIRECTOR AND PRINCIPAL OFFICER THAT DIRECTED MEASURES WOULD BE IMPLEMENTED WITHIN THE PERIOD PRESCRIBED

IMPOSED FINE RS.1,00,000

10-NOV-2022
103
History of entity/person YES BANK LTD.  
  DID NOT EVOLVE INTERNAL MECHANISM TO REPORT INTEGRALLY CONNECTED TRANSACTIONS   IMPOSED FINE RS.3,00,000

11-JAN-2016 		NOT APPEARING IN THE LIST DATED 30-JUN-2018
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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