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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 14-OCT-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.

DEPOSITORY PARTICIPANTS: DELAYED/FAILED TO DELIVER/TRANSFER SECURITIES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person HSE SECURITIES LTD.

(Depository Participants : CDSL/NSDL,Member : BSE/NSE)  
  ALLEGED FAILURE IN REDRESSAL OF INVESTOR GRIEVANCE

ALLEGED FAILURE IN TRANSFER OF SECURITIES TO INVESTORS

ALLEGED REJECTION OF DEMAT REQUEST OF INVESTORS   		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.5,000 VIDE CONSENT ORDER)

02-MAR-2009 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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