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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.

CDSL DEPOSITORY PARTICIPANTS: ACTED AS PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ANUGRAH STOCK & BROKING PVT.LTD.

(PAN:AAACW2920N)   (Depository Participant : CDSL)
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT MAINTAIN BOOKS OF ACCOUNT AND OTHER DOCUMENTS

INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION

PROMISED ASSURED RETURNS TO CLIENTS

DEFAULTED IN MAINTENANCE OF CLIENT LEDGER

INDULGED IN MANIPULATIVE, FRAUDULENT OR DECEPTIVE SCHEMES WHILE DEALING IN SECURITIES MARKET  		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2030

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2030

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

IMPOSED PENALTY RS.4,00,00,000

28-FEB-2023 		SAT: SAT VIDE ITS ORDER DATED 24/10/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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