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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.

DEPOSITORY PARTICIPANTS: RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS

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

(PAN:AAACI7397D)

(Depository Participants : CDSL/NSDL,Member : BSE/NSE/MCX)  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

MISUTILIZED CLIENTS FUNDS FOR DEBIT OBLIGATION OF OWN/OTHER CLIENTS

DID NOT DESIGNATE CLIENT BANK ACCOUNTS AS “CLIENT ACCOUNT"   		RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS FROM 19-JUN-2023 TO 18-JUN-2025

19-JUN-2023 		SAT: SAT VIDE ITS ORDER DATED 07/12/2023 PARTLY ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 19/06/2023  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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