| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
CENTURION BANK OF PUNJAB LTD.
(Depository Participants : CDSL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
SETTLEMENT ( SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
29-JUL-2009~
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 21/02/2007
AD-INTERIM EX PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.8,00,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 27/07/2009
|
| 2 |
|
|
CITIBANK N.A.
(PAN:AAACC0462F)
(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
|
|
| 3 |
|
|
GUJARAT OLEO CHEM LTD.
(Depository Participants : NSDL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
D TO DISGORGE RS.85,88,825
21-NOV-2006~
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS TILL CONCLUSION OF ENQUIRY
DIRECTED TO DISGORGE AN AMOUNT OF RS.85,88,825.28 (SEVERALLY) AND RS.90,02,18,451.80 (JOINTLY WITH NSDL, JHAVERI SECURITIES PVT.LTD., KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., HDFC BANK LTD., KARVY STOCK BROKING LTD., ING VYSYA BANK LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
|
| 4 |
|
|
HDFC BANK LTD.
(PAN:AAACH2702H)
(Depository Participants : NSDL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
D TO DISGORGE RS.1,63,75,940
21-NOV-2006~
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
22-DEC-2008~
|
DIRECTED TO DISGORGE AN AMOUNT OF RS.1,63,75,939.68 (SEVERALLY) AND RS.90,02,18,451.80 (JOINTLY WITH NSDL, JHAVERI SECURITIES PVT.LTD., KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., IDBI BANK LTD., KARVY STOCK BROKING LTD., ING VYSYA BANK LTD.AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 23/11/2006
|
| 5 |
|
|
ICICI BANK LTD.
(PAN:AAACI1195H)
(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
|
|
| 6 |
|
|
INDUSIND BANK LTD.
(PAN:AAACI1314G)
(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
|
|
| 7 |
|
|
ING VYSYA BANK LTD.
(Depository Participants : NSDL)
|
|
|
FACILITATED IN CORNERING RETAIL PORTION OF IPOS BY OPENING DEMAT ACCOUNTS IN FICTITIOUS/BENAMI NAMES
|
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 27-APR-2006 TILL FURTHER ORDERS
REFERRED MATTER TO RESERVE BANK OF INDIA FOR FURTHER ACTION
27-APR-2006
D TO DISGORGE RS.55,48,690
21-NOV-2006~
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
16-FEB-2009~
|
ALLOWED TO OPEN FRESH DEMAT ACCOUNTS TILL CONCLUSION OF ENQUIRY
DIRECTED TO DISGORGE AN AMOUNT OF RS.5548690.27 (SEVERALLY) AND RS.900218451.80 (JOINTLY WITH NSDL, KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD., HDFC BANK LTD., KARVY STOCK BROKING LTD., IDBI BANK LTD., JHAVERI SECRITIES PVT.LTD. AND PRAVIN RATILAL SHARE & STOCK BROKERS LTD.) WITHIN SIX MONTHS FROM THE DATE OF THIS ORDER
|
| 8 |
|
|
KALUPUR COMMERCIAL CO-OPERATIVE BANK LTD.,THE
(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
|
|
| 9 |
|
|
KOTAK MAHINDRA 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
|
|
| 10 |
|
|
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
|
|
| 11 |
|
|
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
|
|
| 12 |
|
|
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. |
