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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.

NSDL DEPOSITORY PARTICIPANTS: VIOLATED SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

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

(PAN:AAACG9843L)   (Depository Participant : NSDL)
  MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

DID NOT MAINTAIN CONTINUOUS NETWORTH

FALSIFIED BOOKS AND WRONGLY REPORTED TO STOCK EXCHANGE

PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME

DID NOT FURNISH INFORMATION/DATA TO SEBI VIOLATING OF REGULATION 21(1) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992  		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-DEC-2018 TO 18-DEC-2025

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-DEC-2018 TO 18-DEC-2025

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-DEC-2018 TO 18-DEC-2025

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

19-DEC-2018 		SEBI VIDE ITS ORDER DATED 31/07/2019 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD INTERIM ORDER DATED 19/12/2018

SAT: SAT VIDE ITS ORDER DATED 27/04/2021 DISPOSED OFF THE APPEALS WITH DIRECTION TO APPLELLANT TO PURSUE CLAIM APPLICATION FILED BEFORE STOCK EXCHANGES WHICH WAS PENDING CONSIDERATION

SAT: SAT VIDE ITS ORDER DATED 14/09/2021 DISMISSED THE APPEAL FOR WANT OF PROSECUTION

SAT: SAT VIDE ITS ORDER DATED 07/10/2021 ALLOWED THE APPLICATION AND RECALLED ORDER DATED 27/04/2021

SEBI VIDE ITS ORDER DATED 30/06/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND ASSOCIATING THEMSELVES WITH SECURITIES MARKET IN ANY MANNER FOR SEVEN YEARS B) DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN C) NOT TO DISPOSE OFF OR ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY SUCH ASSETS INCLUDING MONEY LYING IN BANK ACCOUNT EXCEPT WITH PRIOR PERMISSION OF SEBI D) PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND MUTUAL FUND INVESTMENTS AS WELL AS DETAILS OF ANY LOANS OR ADVANCE, RECOVERABLE BY THEM AS ON THE DATE OF THIS ORDER E) DIRECTED TO FULLY CO-OPERATE WITH STOCK EXCHANGES IN ENSURING THE DIRECTION INCLUDING IN LIQUIDATING THE FUNDS, SECURITIES, CHARGE, RECOVERABLE DUES, ADVANCES AND OTHER MOVABLE AND IMMOVABLE ASSETS F) BANKS TO ENSURE THAT NO DEBITS ARE MADE IN THE BANK ACCOUNTS HELD JOINTLY OR SEVERALLY BY NOTICEES

SAT: SAT VIDE ITS ORDER DATED 25/09/2024 DISMISSED THE APPEAL. NO COSTS
2 
History of entity/person GUINESS SECURITIES LTD.

(PAN:AAACG9843L)   (Depository Participant : NSDL)
  MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES

FALSIFIED BOOKS AND WRONGLY REPORTED TO STOCK EXCHANGE

DID NOT MAINTAIN CONTINUOUS NETWORTH

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

PROVIDED EXPOSURE TO CLIENTS HAVING DEBIT BALANCE

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME

DID NOT FURNISH INFORMATION/DATA TO SEBI VIOLATING OF REGULATION 21(1) OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992  		IMPOSED PENALTY RS.2,00,00,000

30-JUN-2022 		SAT: SAT VIDE ITS ORDER DATED 19/10/2022DIRECTED RESPONDENT THREE WEEKS TO FILE REPLY FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER

SEBI VIDE ITS NOTICE DATED 07/05/2024 DIRECTED TO PAY RS.2,48,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 28/05/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED

SEBI VIDE ITS NOTICE DATED 10/07/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,48,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG

SAT: SAT VIDE ITS ORDER DATED 25/09/2024 DISMISSED THE APPEAL. NO COSTS

SAT: SAT VIDE ITS ORDER DATED 11/12/2024 DISMISSED THE REVIEW APPLICATION AS WITHDRAWN

SAT: SAT VIDE ITS ORDER DATED 11/03/2025 REJECTED THE REVIEW APPLICATIONS
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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