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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.

CUSTODIANS: VIOLATED SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019

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

(PAN:AAACF9386P)  
  ALLEGED FAILURE IN MAINTAINING PROPER SOFTWARE FOR PHYSICAL SECURITIES AND ALLOWED UNAUTHORISED PERSONS TO ACCESS THE VAULT

ALLEGED INCORRECT QUARTERLY REPORTING TO SEBI DURING FY.2020-2021 UNDER PAYMENT OF FEES TO SEBI

ALLEGED DELAY IN PROCESSING OF CORPORATE ACTIONS

ALLEGED FAILURE IN PERIODICALLY UPDATION OF THE OPERATION MANUAL

ALLEGED DELAY IN SUBMISSION OF ANNUAL REPORTS TO SEBI

ALLEGED FAILURE IN MAINTAINING RECORD OF CLIENT INSTRUCTIONS AND ACCEPTED INSTRUCTIONS FROM MODES OTHER THAN AGREED UPON IN CUSTODIAN AGREEMENT

ALLEGED FAILURE IN EMPLOYING NECESSARY INFRASTRUCTURE AND COMPETENT PERSONS FOR MANAGING CUSTODIAN BUSINESS

ALLEGED LACK OF PROFESSIONALISM IN DISCHARGE OF DUTIES

ALLEGED FAILURE IN REPORTING OF SHORT SALE TRANSACTIONS IN MONTHLY REPORTS

ALLEGED FAILURE IN OBTAINING SETTLEMENT INSTRUCTIONS THROUGH STP MODES FOR FOREIGN PORTFOLIO INVESTORS

ALLEGED FAILURE IN MONITORING INVESTMENTS BY FPIS IN DEBT INSTRUMENTS

ALLEGED INCORRECT SUBMISSIONS MADE TO SEBI IN RESPONSE TO COMMUNICATION OF FINDINGS OF INSPECTION   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,59,25,000 VIDE CONSENT ORDER)

16-OCT-2024 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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