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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: DID NOT REFUND MONEY COLLECTED UNDER CIS

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

(PAN:AAACA2020K)

(Depository Participants : NSDL,Member : NSE)  
  MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT MAINTAIN CONTINUOUS NETWORTH

DID NOT CAPTURE INCOME DETAILS OF CLIENTS

MADE INCORRECT AND/OR DID NOT REPORT ENHANCED SUPERVISION OF DATA TO STOCK EXCHANGES

PROVIDED DISPROPORTIONATE EXPOSURE TO CLIENTS

DEALT WITH UNREGISTERED ENTITIES

PROMISED ASSURED RETURNS TO CLIENTS   		CANCELLED REGISTRATION AS STOCK BROKER FROM 17-MAY-2023

CANCELLED REGISTRATION AS DEPOSITORY PARTICIPANT

17-MAY-2023 		 
2
History of entity/person MOTILAL OSWAL FINANCIAL SERVICES LTD.

(PAN:AAECM2876P)

(Depository Participants : CDSL/NSDL,Member : NCDEX/BSE/MCX/NSE)  
  WRONG REPORTING AND SHORT COLLECTION OF MARGIN

MADE INCORRECT REPORTING OF CASH AND CASH EQUIVALENT BALANCE

REPORTED INCORRECT MARGIN TRADING FUNDING (MTF) COLLATERALS TO STOCK EXCHANGES

TRANSFERRED SECURITIES OF CREDIT BALANCE CLIENTS TO CLIENT’S UNPAID SECURITIES ACCOUNT

DID NOT SETTLE RUNNING ACCOUNTS OF ACTIVE AND/OR INACTIVE CLIENTS

DID NOT REFUND MONEY COLLECTED UNDER CIS

DEFAULTED IN MAINTENANCE OF BANK BOOK

DID NOT REDRESS INVESTOR COMPLAINTS   		IMPOSED PENALTY RS.7,00,000

30-JAN-2025 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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