If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors

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 DIRECTIVES/INSTRUCTIONS/GUIDELINES IN OPENING OF FRESH DEMAT ACCOUNTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person INTEGRATED ENTERPRISES (INDIA) LTD.   (Depository Participant : NSDL)
  DID NOT MONITOR AND BRING DOWN CUSTODY HOLDING LIMITS

OPENED 561 FRESH ACCOUNTS IN VIOLATION OF THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI  		SUSPENDED REGISTRATION AS DEPOSITORY PARTICIPANT FROM 02-AUG-2004 TO 01-FEB-2005

02-JUL-2004 		SAT: IMPUGNED ORDER SET ASIDE
2 
History of entity/person JANATA SAHAKARI BANK LTD.,PUNE   (Depository Participant : NSDL)
  OPENED BENEFICIARY ACCOUNTS IMPROPERLY IN VIOLATION OF SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES

DID NOT MAINTAIN STRUCTURED AND SYSTEMATIC BOOKS REGARDING COMPLAINTS OF BENEFICIARY ACCOUNTS  		DIRECTED TO CEASE & DESIST FROM REPETITION OF LAPSES

15-OCT-2004 		SAT: APPEAL DISPOSED OFF
3 
History of entity/person MANSUKH SECURITIES & FINANCE LTD.   (Depository Participant : NSDL)
  CONSIDERABLE DELAY IN DEMATERIALIZATION OF SHARES HELD BY PUBLIC SHAREHOLDERS

OPENED BENEFICIARY ACCOUNTS IMPROPERLY IN VIOLATION OF SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES

DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS

DID NOT VERIFY SIGNATURES PROPERLY AT THE TIME OF RELEASING SECURITIES FROM ACCOUNTS  		IMPOSED PENALTY RS.8,00,000

17-JUN-2009 		SAT: ORDER DATED 17/06/2009 MODIFIED BY REDUCING PENALTY AMOUNT TO RS.4,00,000 FROM RS.8,00,000
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2025
No part of this site may be reproduced without the explicit permission of the owners.

top