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

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 : 03-JUL-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.

DEPOSITORY PARTICIPANTS: VIOLATED SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 1996

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person UNICON SECURITIES PVT.LTD.

(CIN:U74899DL1995PTC064554
PAN:AAPFS5325P)

(Depository Participants : CDSL)  
  DID NOT UPDATED FORMAT OF POWER OF ATTORNEY (POA) IN RESPECT OF EXISTING CLIENTS VIOLATING CLAUSE 11 OF CODE OF CONDUCT AS SPECIFIED UNDER THIRD SCHEDULE READ WITH REGULATION 20AA OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996

DID NOT ADHERE TO VARIOUS SEBI CIRCULARS   		IMPOSED PENALTY RS.15,00,000

29-NOV-2018 		SEBI VIDE ITS NOTICE DATED 15/07/2022 DIRECTED TO PAY RS.21,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS NOTICE DATED 16/08/2022 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  
22
History of entity/person VIVEK FINANCIAL FOCUS LTD.

(PAN:AAACV4309A)

(Depository Participants : NSDL)  
  FACILITATED DEMATERIALIZATION OF LOCKED-IN SHARES OF SHONKH TECHNOLOGIES INTERNATIONAL LTD. OWNED BY ADVANCE HOVERCRAFT & COMPOSITES INDIA LTD.   IMPOSED PENALTY RS.50,000

28-SEP-2011 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
First Previous Last  
Page 2 of 2  

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