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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: VIOLATED DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person SHRI PARASRAM HOLDINGS PVT.LTD.

(PAN:AAACS4487J)

(Depository Participants : NSDL,Member : NSE/BSE)  
  ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS

ALLEGED SUBMISSION OF FALSE INFORMATION TO INSPECTION OFFICIALS

ALLEGED NON-SEGREGATION OF CLIENTS ACCOUNT

ALLEGED NON-DISCLOSURE OF PROPRIETARY TRADING TO CLIENTS

DEALT WITH UN-REGISTERED SUB-BROKERS

ALLEGED TRANSFER OF TRADES FROM ONE PRO-ACCOUNT TO ANOTHER PRO-ACCOUNT

ALLEGED FAILURE IN MAINTAINING DUE DILIGENCE IN MAINTENANCE OF DETAILS OF BRANCHES AND TRADING TERMINALS

ALLEGED FAILURE IN MAINTAINING DUE DILIGENCE WHILE OPENING BENEFICIAL OWNER ACCOUNTS

ALLEGED INDULGENCE IN WITHDRAWAL OF LARGE CASH AND DEPOSIT IN GROUP COMPANY

ALLEGED FAILURE IN FRAMING ANY POLICY FRAMEWORK AND DID NOT APPOINT ANY PRINCIPAL OFFICER UNDER ANTI MONEY LAUNDERING STANDARDS

ALLEGED DISCREPANCIES IN DISTRIBUTION OF NEAT/CTSL TERMINALS AND ILLEGAL DISTRIBUTION OF TRADING TERMINALS AT BRANCHES

ALLEGED OPERATING TERMINALS FROM UNDISCLOSED PREMISES AND BY UNAUTHORISED USERS AT BRANCHES

ALLEGED PERMISSION TO DEALERS WITHOUT NCFM CERTIFICATION TO DEAL IN DERIVATIVE TRADING

ALLEGED FAILURE IN REDRESSAL OF INVESTOR COMPLAINTS IN STIPULATED PERIOD   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.53,00,000 VIDE CONSENT ORDER)

06-SEP-2010 		 
2
History of entity/person SW CAPITAL PVT.LTD.

(PAN:AAACS7189K)

(Depository Participants : CDSL)  
  DELAY IN IMPLEMENTATION OF ANTI MONEY LOUNDERING STANDARDS   IMPOSED PENALTY RS.2,00,000

14-AUG-2017 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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