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  • MINISTRY OF FINANCE - FINANCIAL INTELLIGENCE UNIT
Regulatory Actions Covered By This Website

MINISTRY OF FINANCE - FINANCIAL INTELLIGENCE UNIT

If you wish to see Regulator wise orders, please click here
   
 PERIOD COVERED
FROMTO/UPTIL
Companies 14/02/2013 28/02/2025
Actions by FIU
Categorized as high risk financial institutions  
Directed to advise to implement stringent pROCedures for screening of employees as mandate by RBI master direction of “know your clients”  
Directed to conduct audit by external agency of the pROCesses put in place by reporting entity to raise/pROCess/investigate/close alerts  
Directed to conduct re-examination of SEBI orders issued in connection with clients in past three years to ensure that they were properly pROCessed, underlying transactions and clients were assessed  
Directed to ensure aml staff adequately trained to monitor for new and emerging types of crime from the perspective of ‘pROCeeds of crime’ including reference to orders/queries/reports relating to regulatory and law enforcement actions  
Directed to ensure suitable training in aml/cft for the concerned staff  
Directed to file certification under signature of designated director and principal officer that directed measures would be implemented within the period prescribed  
Directed to prioritize prompt and efficient response to requests from fiu-ind  
Directed to provide certification within ninety days under signature of designated director  
Directed to put in place and adopt suitable aml/cft policy as well as robust mechanism for risk assessment with regard to aml/cft  
Directed to put in place suitable policy and mechanism to ensure that robust and meaningful risk assessment or re-assessment of customers conducted subsequent to order of SEBI/leas/other government agencies  
Directed to reassess its internal mechanism and transaction monitoring approach  
Directed to re-examine system for detecting and reporting suspicious transactions  
Directed to review and revise policies and approach regarding income ranges and related kyc information of clients  
Directed to review its mechanism and ensure that improvements made to address the observation made in show cause notice  
Directed to undertake comprehensive review of its due diligence pROCedures  
Imposed fine  
Warned & cautions to exercise in future  
Warned/directed to pay due  
Reasons for Action
Committed professional misconduct as chartered accounts act, 1949  
Defaulted in reporting of required information  
Defaulted in setting up adequate mechanism to report required information  
Did not appoint director and/or principal officer  
Did not exercise due skill,care & diligence  
Did not furnish/provide information  
Violated prevention of money laundering act, 2002 and/or pml rules, 2005  
Persons 14/02/2013 28/02/2025
Actions by FIU
Imposed fine  
Reasons for Action
Did not furnish/provide information  
REGULATORY ACTIONS PRESENTLY COVERED BY THIS WEBSITEPERIOD COVERED
FROMTO/UPTIL
ACE DERIVATIVES & COMMODITY STOCK EXCHANGE LTD. (since closed)
Alphabetical Chronological
 19/05/2011  31/12/2019
ASSOCIATION OF MUTUAL FUNDS OF INDIA,THE
Alphabetical Chronological
 30/09/2013  28/02/2025
BANKS
Alphabetical Chronological
 29/03/2000  01/03/2025
BOARD FOR INDUSTRIAL & FINANCIAL RECONSTRUCTION (since dissolved)
Alphabetical Chronological
 31/12/1987  31/10/2005
BSE LTD.
Alphabetical Chronological
 05/06/1995  12/03/2025
CENTRAL BOARD OF INDIRECT TAXES & CUSTOMS
Alphabetical Chronological
 01/04/2003  31/12/2024
CENTRAL BUREAU OF INVESTIGATION
Alphabetical Chronological
 05/04/2001  12/03/2025
CENTRAL DEPOSITORY SERVICES (INDIA) LTD.
Alphabetical Chronological
 15/03/2004  28/02/2025
COMPANY LAW BOARD
Alphabetical Chronological
 01/04/2000  30/06/2008
DEBT RECOVERY TRIBUNALS
Alphabetical Chronological
 16/08/2000  03/02/2025
DELHI STOCK EXCHANGE LTD. (since dissolved)
Alphabetical Chronological
 31/03/2002  30/09/2020
DEPARTMENT OF INCOME TAX
Alphabetical Chronological
 15/04/2015  28/02/2025
EMPLOYEES' PROVIDENT FUND ORGANISATION
Alphabetical Chronological
 31/03/2005  23/09/2021
INDIAN CLEARING CORP.LTD.
Alphabetical Chronological
 25/09/2012  28/02/2025
INDIAN COMMODITY EXCHANGE LTD. (since de-recognised)
Alphabetical Chronological
 10/06/2006  12/03/2025
INSOLVENCY & BANKRUPTCY BOARD OF INDIA - NATIONAL COMPANY LAW TRIBUNAL
Alphabetical Chronological
 17/01/2017  12/03/2025
INSTITUTE OF CHARTERED ACCOUNTANTS OF INDIA
Alphabetical Chronological
 28/10/2004  12/03/2025
INSURANCE REGULATORY & DEVELOPMENT AUTHORITY OF INDIA
Alphabetical Chronological
 16/08/2002  12/03/2025
INTER-CONNECTED STOCK EXCHANGE
Alphabetical Chronological
 17/04/2004  28/02/2025
METROPOLITAN STOCK EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 20/05/2010  12/03/2025
MINISTRY OF CORPORATE AFFAIRS, EASY EXIT SCHEME
Alphabetical Chronological
 15/12/2010  03/08/2014
MINISTRY OF CORPORATE AFFAIRS, OFFICIAL LIQUIDATORS
Alphabetical Chronological
 27/04/1946  31/03/2018
MINISTRY OF CORPORATE AFFAIRS, PERSONS DISQUALIFIED FROM DIRECTORSHIP
Alphabetical Chronological
 31/08/2017  31/12/2024
MINISTRY OF CORPORATE AFFAIRS, REGISTRARS OF COMPANIES
Alphabetical Chronological
 27/01/2001  04/09/2015
MINISTRY OF CORPORATE AFFAIRS, SERIOUS FRAUD INVESTIGATION OFFICE
Alphabetical Chronological
 02/09/2009  28/02/2025
MINISTRY OF CORPORATE AFFAIRS, SIMPLIFIED EXIT SCHEME
Alphabetical Chronological
 06/05/2003  23/10/2009
MINISTRY OF CORPORATE AFFAIRS, VANISHING COMPANIES
Alphabetical Chronological
 30/01/2006  28/02/2025
MINISTRY OF FINANCE - FINANCIAL INTELLIGENCE UNIT
Alphabetical Chronological
 14/02/2013  28/02/2025
MINISTRY OF FINANCE - FORWARD MARKETS COMMISSION (since merged with SEBI)
Alphabetical Chronological
 23/07/2011  12/03/2025
MULTI COMMODITY EXCHANGE CLEARING CORP.LTD.
Alphabetical Chronological
 09/11/2018  12/03/2025
MULTI COMMODITY EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 08/04/2011  12/03/2025
NATIONAL COMMODITY & DERIVATIVES EXCHANGE LTD.
Alphabetical Chronological
 30/03/2011  12/03/2025
NATIONAL COMMODITY CLEARING LTD.
Alphabetical Chronological
 14/05/2008  12/03/2025
NATIONAL FINANCIAL REPORTING AUTHORITY
Alphabetical Chronological
 22/07/2020  12/03/2025
NATIONAL HOUSING BANK
Alphabetical Chronological
 01/03/2006  28/02/2025
NATIONAL SECURITIES DEPOSITORY LTD.
Alphabetical Chronological
 19/11/2004  28/02/2025
NATIONAL SPOT EXCHANGE LTD.
Alphabetical Chronological
 22/08/2013  28/02/2025
NATIONAL STOCK EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 01/01/2000  12/03/2025
NSE CLEARING LTD.
Alphabetical Chronological
 19/09/2013  12/03/2025
RESERVE BANK OF INDIA
Alphabetical Chronological
 01/08/1996  12/03/2025
SECURITIES AND EXCHANGE BOARD OF INDIA (For only consent orders click here)
Alphabetical Chronological
 01/01/1997  12/03/2025
UNITED NATIONS SECURITY COUNCIL
Alphabetical Chronological
 02/04/2018  31/12/2024
OTHER SOURCES IN THE OFFING
CREDIT INFORMATION BUREAU (INDIA) LTD.
ECONOMIC OFFENCES WING
ENFORCEMENT DIRECTORATE
ENVIRONMENT POLLUTION BOARD
FINANCIAL INSTITUTIONS
INSTITUTE OF COMPANY SECRETARIES OF INDIA,THE
INSTITUTE OF COST AND WORKS ACCOUNTANTS OF INDIA
LABOUR DEPARTMENT
RATING AGENCIES
SERVICE TAX
STATE FINANCIAL CORPORATIONS
STATE INDUSTRIAL DEVELOPMENT CORPORATIONS

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

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