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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
UPDATED TILL : 27-AUG-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: VIOLATED SEBI DEPOSITORIES ACT, 1996

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)  
  DID NOT DECLARE ACTIVE DIRECTORY FEDERATION SERVICES (ADFS) SERVER AS A CRITICAL ASSET IN ACCORDANCE WITH SEBI CIRCULAR DATED 06/07/2015 (AS MODIFIED BY SEBI CIRCULAR DATED 20/05/2022)

DID NOT DEPLOY ADEQUATE CYBERSECURITY CONTROLS COMMENSURATE WITH CRITICALITY OF CYBER RISKS VIOLATING PARAGRAPH NOS.3(A) TO 3(B), 11 AND 12 OF ANNEXURE A OFSEBI CIRCULAR DATED 06/07/2015 (AS MODIFIED BY SEBI CIRCULAR DATED 20/05/2022)

DID NOT ADHERE TO ENHANCED SCOPE OF AUDIT IN VULNERABILITY ASSESSMENT AND PENETRATION TESTING (VAPT) EXERCISE VIOLATING PARAGRAPH NO.40 OF SEBI CIRCULAR DATED 06/07/2015 (AS MODIFIED BY SEBI CIRCULAR DATED 20/05/2022)

DID NOT IMPLEMENT ADEQUATE ACCESS CONTROLS TO ITS SYSTEMS INCLUDING NON-ENFORCEMENT OF PASSWORD POLICY, TWO-FACTOR AUTHENTICATION AND ACCOUNT ACCESS LOCKOUT POLICY VIOLATING PARAGRAPHS NOS.15 TO 21 OF ANNEXURE A TO SEBI CIRCULAR DATED 06/07/2015

DID NOT DETECT INTRUSIONS/ SECURITY INCIDENTS IN REAL TIME AND MONITOR, ANALYZE RELEVANT LOGS OF NETWORK DEVICES AND IDENTIFY & BLOCK OPEN PORTS THAT WERE NOT IN USE VIOLATING PARAGRAPH NOS.35, 43, 45 AND 46 OF ANNEXURE A OF SEBI CIRCULAR DATED 06/07/2015 AND PARAGRAPH NOS. 4.1, 4.2, 4.6, 5.1, 5.2 AND 5.3 OF SEBI CIRCULAR DATED 07/12/2018

DID NOT CONDUCT VULNERABILITY SCANNING AND PENETRATION TESTING PRIOR TO COMMISSIONING OF ACTIVE DIRECTORY FEDERATION SERVICES (ADFS) SERVER VIOLATING PARAGRAPH NO.42 OF ANNEXURE A OF SEBI CIRCULAR DATED 06/07/2015 (AS MODIFIED BY SEBI CIRCULAR DATED 20/05/2022)

DID NOT DECLARE DISASTER WITHIN 30 MINUTES OF DISRUPTION OF CRITICAL SYSTEMS AND FAILED TO RESTORE SYSTEMS AFFECTED BY CYBER-ATTACK WITHIN RECOVERY TIME OBJECTIVE (RTO) SPECIFIED BY SEBI VIOLATING PARAGRAPH NOS.4(C) AND 4(E) OF SEBI CIRCULAR DATED 22/03/2021 AND PARAGRAPH NO.47 OF ANNEXURE A TO SEBI CIRCULAR DATED 06/07/2015

DID NOT ADHERE TO CODE OF CONDUCT OF DEPOSITORIES VIOLATING CLAUSES 1, 5 AND 9 OF PART-D OF THIRDSCHEDULE READ WITH REGULATION 17 OF SEBI DEPOSITORIES ACT, 1996   		IMPOSED PENALTY RS.1,00,00,000

20-JUL-2026 		 
2
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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