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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 : 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.

COMPANIES: VIOLATED SEBI (DESIGNATED DEPOSITORY PARTICIPANTS) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2014

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person HONGKONG & SHANGHAI BANKING CORP.LTD.,THE

(PAN:AAACT2786P)  
  DID NOT INTIMATE SEBI IMMEDIATELY WHEN THERE WAS MORE THAN SIX MONTHS DELAY IN INTIMATION BY PATHWAY FINANCE SOCIETE A RESPONSIBLE LIMITEE OF A MATERIAL CHANGE I.E.CHANGE OF DOMICILE VIOLATING CLAUSE 5.1.4 OF OPERATIONAL DIRECTIVES/INSTRUCTIONS/GUIDELINES OF SEBI (DDP’S), 2014 ISSUED VIDE SEBI CIRCULAR NO. CIR/IMD/FIIC/02/2014   IMPOSED PENALTY RS.5,00,000

31-AUG-2020 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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