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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 10-JAN-2026

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.

DEPOSITORIES: REACHED SETTLEMENT (CONSENT ORDER)

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CENTRAL DEPOSITORY SERVICES (INDIA) LTD.

(PAN:AAACC6233A)  
  ALLEGED VIOLATION OF CLAUSE 1.2 OF SEBI CIRCULAR SEBI/HO/DDHS/CIR/P/103/2020 DATED 23/06/2020

ALLEGED VIOLATION OF CLAUSE 4.1 SEBI CIRCULAR SEBI/HO/DDHS/CIR/P/103/2020 DATED 23/062020

ALLEGED VIOLATION OF CLAUSE 2.2 OF CHAPTER XI: OPERATIONAL FRAME FOR TRANSACTIONS IN DEFAULTED DEBT SECURITIES POST MATURITY DATE/REDEMPTION DATE OF SEBI OPERATIONAL CIRCULAR FOR ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES, SECURITISED DEBT INSTRUMENTS, SECURITY RECEIPTS, MUNICIPAL DEBT SECURITIES AND COMMERCIAL PAPER DATED 10/08/2021

ALLEGED VIOLATION OF CLAUSE 5.1 OF CHAPTER XI: OPERATIONAL FRAME FOR TRANSACTIONS IN DEFAULTED DEBT SECURITIES POST MATURITY DATE/REDEMPTION DATE OF SEBI OPERATIONAL CIRCULAR FOR ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES, SECURITISED DEBT INSTRUMENTS, SECURITY RECEIPTS, MUNICIPAL DEBT SECURITIES AND COMMERCIAL PAPER DATED 10/08/2021   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,30,04,550 VIDE CONSENT ORDER)

27-AUG-2024 		 
2
History of entity/person NATIONAL SECURITIES DEPOSITORY LTD.

(PAN:AADCN9802F)  
  ALLEGED VIOLATION OF REGULATION 7(G) OF SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018

ALLEGED VIOLATION OF REGULATION 17 READ WITH CLAUSES (1), (5) AND (9) OF CODE OF CONDUCT AS SPECIFIED IN PART D OF THIRD SCHEDULE OF (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018

ALLEGED VIOLATION OF REGULATION 17 READ WITH CLAUSES (A), (G) AND (L) OF CODE OF CONDUCT AS SPECIFIED IN PART D OF THIRD SCHEDULE OF (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,12,00,000 VIDE CONSENT ORDER)

17-OCT-2024 		 
3
History of entity/person NATIONAL SECURITIES DEPOSITORY LTD.

(PAN:AADCN9802F)  
  ALLEGED DELAY IN IMPOSING OF FREEZE AFTER RECEIVING INSTRUCTIONS FROM STOCK EXCHANGES

ALLEGED IMPOSITION OF FREEZE ON PROMOTERS ACCOUNT AFTER INTIMATION FOR UNFREEZE HAD BEEN RECEIVED

ALLEGED DELAY IN SIGNING OF OUTSOURCING AGREEMENT

ALLEGED DELAY IN TIMELY IMPLEMENTATION OF SEBI ORDERS IN RESPECT OF FREEZING

ALLEGED FAILURE TO ENSURE THAT DEPOSITORY PARTICIPANTS WERE EITHER CONVERTING ELIGIBLE DEMAT ACCOUNTS INTO BASIC SERVICES DEMAT ACCOUNT OR OBTAINING BASIC SERVICES DEMAT ACCOUNT OPTING-OUT CONFIRMATIONS FROM RESPECTIVE BENEFICIAL OWNER IN EFFECTIVE AND MEANINGFUL MANNER

ALLEGED DID NOT PUT IN PLACE APPROPRIATE SYSTEM TO ENSURE THAT THE SAID SECURITIES WERE NOT RELEASED / DISPOSED BY TMS/CMS POST END OF 5TH TRADING DAY FROM THE PAY-OUT DATE

ALLEGED UNFREEZING OF ENTIRE CUSA ACCOUNT INSTEAD OF ONLY THE SPECIFIED SECURITIES AND AMOUNT

ALLEGED FAILURE IN HAVING A SYSTEM LEVEL CHECK TO ENSURE THAT DEPOSITORY PARTICIPANT TRANSFERS THE SHARES TO SAME BENEFICIAL OWNER AS MENTIONED IN EMAIL FORWARDED BY THE STOCK EXCHANGES

ALLEGED FAILURE IN HAVING A SYSTEM IN PLACE WHEREIN IF A BENEFICIAL OWNER LEVEL FREEZE INITIATED IN THE SYSTEM, SUBSEQUENT INITIATION OF ISIN-LEVEL UNFREEZED

ALLEGED DELAY IN FREEZING SHAREHOLDING OF NON-COMPLIANT PROMOTER/ PROMOTER GROUP PURSUANT TO RECEIPT OF INTIMATION FROM STOCK EXCHANGES   		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,57,60,000 VIDE CONSENT ORDER)

17-DEC-2025 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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