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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: EXECUTED FICTITIOUS/FRAUDULENT/STRUCTURED/UNAUTHORISED TRANSACTIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ANAND RATHI SHARE & STOCK BROKERS LTD.

(PAN:AAACN3405F)   (Depository Participant : CDSL)
  MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT MAINTAIN DAILY RECONCILIATION STATEMENT

INCORRECT REPORTING OF MARGIN TO STOCK EXCHANGES

MISMATCH IN LEDGER BALANCE IN DAILY MARGIN STATEMENT

DID NOT MAINTAIN ADEQUATE SYSTEMS FOR RECORDING OF ORDER PLACEMENT BY CLIENTS

DID NOT PROVIDE CORRECT DATA TO STOCK EXCHANGE UNDER RISK-BASED SUPERVISION

EXECUTED UNAUTHORISED TRANSACTIONS IN CLIENTS’ ACCOUNTS  		IMPOSED PENALTY RS.5,00,000

30-JAN-2025
2 
History of entity/person SAMCO SECURITIES LTD.

(PAN:AAICS2455A)   (Depository Participant : CDSL)
  EXECUTED UNAUTHORISED TRANSACTIONS IN CLIENTS’ ACCOUNTS

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

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

DID NOT PERFORM PERIODIC RECONCILIATION OF BACK OFFICE HOLDINGS OF CLIENT’S SECURITIES WITH ACTUAL STOCKS LYING IN DP ACCOUNTS

FUNDED CLIENTS OUTSIDE OF MARGIN TRADING FACILITY BEYOND T+2+5 DAYS

DID NOT RECONCILE FUNDS LYING IN SUSPENSE ACCOUNT

MADE INCORRECT RETENTION STATEMENT

DID NOT CAPTURE LIVE PHOTOGRAPH OF CLIENTS  		IMPOSED PENALTY RS.7,00,000

31-AUG-2023 		SEBI VIDE ITS NOTICE DATED 22/11/2023 DIRECTED TO PAY RS.7,22,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SAT: SAT VIDE ITS ORDER DATED 24/01/2024 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED APPELLANT THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 12/03/2024 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT ADDITIONAL THREE 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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