| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
MANSUKH SECURITIES & FINANCE LTD.
(PAN:AAACM1701D)
(Member : NSE,Depository Participants : 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
|
| 22 |
|
|
MEHTA EQUITIES LTD.
(PAN:AAACR4143C)
(Depository Participants : CDSL)
|
|
|
|
ASHISH SHARMA
|
|
|
S.K.GOGIA
|
|
DID NOT ADHERE TO STATUTORY REQUIREMENTS PRESCRIBED FOR DEPOSITORY PARTICIPANTS
|
DEBARRED FROM ACTING AS DEPOSITORY PARTICIPANT FROM 23-DEC-2008 TO 22-JAN-2009
02-DEC-2008
|
|
| 23 |
|
|
MPSE SECURITIES LTD.
(Depository Participants : CDSL)
|
|
|
ALLEGED NON-MAINTENANCE OF PROPER BOOKS OF ACCOUNTS, RECORDS AND OTHER DOCUMENTS AS REQUIRED TO BE MAINTAINED BY DEPOSITORY PARTICIPANTS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
30-SEP-2008
|
|
| 24 |
|
|
PRATIK STOCK VISION PVT.LTD.
(Depository Participants : CDSL)
|
|
|
OPENED VARIOUS DEMAT ACCOUNTS SHARING COMMON ADDRESSES
|
DIRECTED CDSL TO CONDUCT INSPECTION
27-APR-2006
D TO DISGORGE RS.1,92,78,741
21-NOV-2006~
|
DIRECTED TO DISGORGE AN AMOUNT OF RS.1,92,78,740.52 (SEVERALLY) AND RS.25,79,52,157.65 (JOINTLY WITH CDSL AND KARVY STOCK BROKING PVT.LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 21/11/2006 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 25 |
|
|
SOUTH GUJARAT SHARES & SHAREBROKERS LTD.
(Depository Participants : NSDL)
|
|
|
DELAY IN FURNISHING DETAILS OF CERTIFICATE OF SECURITY TO ISSUER WITHIN TIME AS SPECIFIED UNDER REGULATION 54(4) OF SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 1996
|
IMPOSED PENALTY RS.1,50,000
15-JUN-2005
|
|
| 26 |
|
|
SSKI INVESTOR SERVICES PVT.LTD.
(Depository Participants : NSDL)
|
|
|
OPENED VARIOUS DEMAT ACCOUNTS SHARING COMMON ADDRESSES
|
DIRECTED NSDL TO CONDUCT INSPECTION
27-APR-2006
|
|
| 27 |
|
|
STANDARD CHARTERED BANK
(PAN:AABCS4681D)
(Depository Participants : NSDL)
|
|
|
OPENED VARIOUS DEMAT ACCOUNTS SHARING COMMON ADDRESSES
|
DIRECTED NSDL TO CONDUCT INSPECTION
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
|
|
| 28 |
|
|
STOCK HOLDING CORP.OF INDIA LTD.
(PAN:AABCS1429B)
(Depository Participants : NSDL)
|
|
|
OPENED VARIOUS DEMAT ACCOUNTS SHARING COMMON ADDRESSES
|
DIRECTED NSDL TO CONDUCT INSPECTION
27-APR-2006
|
|
| 29 |
|
|
SURAT PEOPLE'S CO-OPERATIVE BANK LTD.,THE
(Depository Participants : NSDL)
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
DID NOT FOLLOW PRESCRIBED PROCEDURE FOR OPENING OF BENEFICIARY ACCOUNT
|
IMPOSED PENALTY RS.20,000
29-SEP-2005
|
|
| 30 |
|
|
UCO BANK
(PAN:AAACU3561B)
(Depository Participants : NSDL)
|
|
|
OPENED VARIOUS DEMAT ACCOUNTS SHARING COMMON ADDRESSES
|
DIRECTED NSDL TO CONDUCT INSPECTION
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
|
|
| 31 |
|
|
UTI BANK LTD.
(Depository Participants : NSDL)
|
|
|
OPENED VARIOUS DEMAT ACCOUNTS SHARING COMMON ADDRESSES
|
DIRECTED NSDL TO CONDUCT INSPECTION
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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