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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 : 29-APR-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.

COMPANIES: DIRECTED TO RETURN FUNDS RS.348.76 CRORE TO KARVY STOCK BROKING LTD.

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person KARVY CAPITAL LTD.

(PAN:AAACG4544N)  

(Along with : KARVY STOCK BROKING LTD.)
  PLEDGED SECURITIES WITHOUT KNOWLEDGE OF CLIENTS

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

TRANSFERRED FUNDS WITH ASSOCIATE COMPANY

DID NOT MAINTAIN CONTINUOUS NETWORTH  		DIRECTED TO RETURN FUNDS RS.348.76 CRORE TO KARVY STOCK BROKING LTD.

DIRECTED TO COOPERATE WITH NSE IN REFUND OF FUNDS AND SECURITIES OF THE CLIENTS OF KARVY STOCK BROKING LTD.

28-APR-2023 		SAT: SAT VIDE ITS ORDER DATED 15/09/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE

SAT: SAT VIDE ITS ORDER DATED 11/10/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 12/12/2023 CONDONED THE DELAY IN FILING OF APPEAL
2 
History of entity/person KARVY STOCK BROKING LTD.

(PAN:AABCK5190K)  

(Along with : KARVY CAPITAL LTD.)
  PLEDGED SECURITIES WITHOUT KNOWLEDGE OF CLIENTS

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

TRANSFERRED FUNDS WITH ASSOCIATE COMPANY

DID NOT MAINTAIN CONTINUOUS NETWORTH  		DIRECTED TO RETURN FUNDS RS.348.76 CRORE TO KARVY STOCK BROKING LTD.

DIRECTED TO COOPERATE WITH NSE IN REFUND OF FUNDS AND SECURITIES OF THE CLIENTS OF KARVY STOCK BROKING LTD.

28-APR-2023
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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