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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: INADEQUATE RESOURCES/INFRASTRUCTURE/SYSTEMS

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

(PAN:AAACA7472K)

(Depository Participants : CDSL/NSDL,Member : BSE/NSE)  
  CARRIED OUT PORTFOLIO MANAGEMENT SERVICES (PMS) WITHOUT ENTERING INTO AGREEMENT WITH THE CLIENTS

MISLED CLIENTS BY UNDERSTATING LOSSES AND OVERSTATING PROFITS

LOSSES COVERED BY PREMIUM ON SALE OF OPTIONS AND SHOWN ONLY AT LATER STAGES

CHARGED DELAYED PAYMENT AND LATE PAY-IN CHARGES

DID NOT HAVE ADEQUATE SYSTEMS AND INTERNAL CONTROLS

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

DELAY IN UPLOAD CLIENTS DETAILS IN CKYC SYSTEM

TRANSFERRED SECURITIES WORTH RS.5,41,502.76 FROM CLIENT DEMAT TO PRO ACCOUNT

DID NOT HAVE DEDICATED E-MAIL ID FOR REDRESSAL OF GRIEVANCES

DID NOT ENABLE SMS ALERT FACILITY FLAG IN DEPOSITORY PARTICIPANT MODULE

ACTIVATED POWER OF ATTORNEY WITHOUT OBTAINING MOBILE NUMBER FROM CLIENT   		IMPOSED PENALTY RS.1,02,00,000

04-OCT-2021 		SAT: SAT VIDE ITS ORDER DATED 06/12/2021 DISPOSED OF THE STAY APPLICATION AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. FURTHER, DIRECTED APPELLANT TO DEPOSIT RS.50 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. THE BALANCE AMOUNT SHALL NOT BE RECOVERED DURING PENDENCY OF THE APPEAL

SAT: SAT VIDE ITS ORDER DATED 23/12/2021 DISPOSED OFF THE MATTER AND DIRECTED AO TO CONSIDER THE OBJECTIONS RAISED BY APPELLANT AT THE TIME WHEN THE MATTER FINALLY DECIDED  
2
History of entity/person RELIGARE SECURITIES LTD.

(PAN:AAACF1952D)

(Depository Participants : CDSL/NSDL,Member : NSE/BSE)  
  DEFICIENCIES IN MEMBER-CLIENT AGREEMENTS

DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS

DID NOT MAINTAIN RECORDS OF INVESTORS’ COMPLAINTS

DID NOT CONDUCT INTERNAL AUDIT OF BRANCH OPERATIONS AS PER SEBI CIRCULAR NO MIRSD/DPS-III/CIR-9/07 DATED 03/07/2007

CONDUCTED DEPOSITORY OPERATIONS WITHOUT NCFM QUALIFIED PERSONNEL AT BRANCHES

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN COLLECTION OF INTRODUCERS DETAILS

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN HANDLING AND PROCESSING MODIFICATION REQUESTS

DID NOT EXERCISE DUE DILIGENCE AND CARE IN PROCESSING VARIOUS FORMS AND REQUESTS SUBMITTED AT BRANCH LEVEL   		IMPOSED PENALTY RS.2,00,000

10-NOV-2010 		SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED  
3
History of entity/person TRANSWORLD SECURITIES LTD.

(Depository Participants : NSDL,Member : NSE/BSE)  
  ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES

ALLEGED DISCREPANCIES IN KNOW YOUR CLIENT FORMS

ALLEGED FAILURE IN TAKING PROOF OF IDENTITY AND ADDRESS OF ITS CLIENTS WHILE OPENING BENEFICIARY ACCOUNTS

ALLEGED FAILURE IN MAINTENANCE OF NOMINATION REGISTER

ALLEGED DISCREPANCY IN ISSUANCE OF CONTRACT NOTES

ALLEGED FAILURE IN APPOINTMENT OF NCFM CERTIFIED PERSONS IN SOME OF ITS BRANCHES

ALLEGED DELAY IN SUBMISSION OF ANNUAL ACCOUNTS AND NETWORTH CERTIFICATE TO NSDL

ALLEGED DIRECTOR OF STOCK BROKING FIRM ACTED AS SUB BROKER OF HIS OWN FIRM THROUGH HIS CORPORATE ENTITY   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)

27-MAY-2011 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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