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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 SEBI DEPOSITORIES ACT, 1996

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CENTRAL BANK OF INDIA

(Depository Participants : CDSL)  
  ALLEGED FAILURE IN COMPLIANCE WITH REGULATIONS 41,42(20,CLAUSES 4,15 AND 16 OF CODE OF CONDUCT UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996

ALLEGED FAILURE IN COMPLIANCE WITH SECTIONS 19B AND 19G OF SEBI DEPOSITORIES ACT, 1996

ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.SEBI/MRD/DOP/CIR-22/2004 DATED 14/07/2004

ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-29/2004 DATED 24/08/2004

ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-17/06 DATED 27/10/2006

ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-22/06 DATED 18/12/2006

ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.SEBI/MRD/DOP/DEP/CIR-03/2007 DATED 13/02/2007   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

16-FEB-2010 		 
2
History of entity/person DEVELOPMENT CREDIT BANK LTD.

(Depository Participants : CDSL)  
  ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-22/06 DATED 18/12/2006

ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR NO.MRD/DOP/DEP/SE/CIR-29/2004 DATED 24/08/2004

ALLEGED FAILURE IN COMPLIANCE WITH SECTION 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996

ALLEGED FAILURE IN COMPLIANCE WITH REGULATIONS 42(2),54(4),CLAUSES 4,15 AND 16 OF CODE OF CONDUCT UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996

ALLEGED FAILURE IN COMPLIANCE WITH CLAUSES 5.3.3,13.8.1 AND 7.1.3 OF ANNEXURE B TO CDSL BYE LAWS, COMMUNIQUE NO.278 DATED 11/06/2003 AND OPERATING INSTRUCTIONS NOS.2.2.3, 2.4.6, 2.4.15, 2.4.25,3.4, 3.4.2,16.3,10.5.3,8.5.2 AND 4.4.15   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)

02-MAR-2010 		 
3
History of entity/person SHILPA STOCK BROKER PVT.LTD.

(PAN:AAECS9799R)

(Depository Participants : CDSL,Member : BSE/NSE)  
  ALLEGED FAILURE IN FURNISHING OF INFORMATION , DELAY IN DEMATERIALISATION OR ISSUE OF CERTIFICATE OF SECURITIES VIOLATING REGULATION 19A, 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996

ALLEGED FAILURE IN OPENING OF SEPARATE ACCOUNTS IN NAME OF EACH BENEFICIAL OWNER AND DID NOT FURNISH DETAILS OF SURRENDER OF SECURITIES TO ISSUER ALONGWITH CERTIFICATE OF SECURITY VIOLATING REGULATION 42(1) AND 54(4) OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

10-FEB-2010 		 
4
History of entity/person SOUTH INDIAN BANK LTD.,THE

(Depository Participants : CDSL)  
  ALLEGED VIOLATION OF SECTIONS 14(3), 19D AND 19G OF SEBI DEPOSITORIES ACT, 1996

ALLEGED VIOLATION OF REGULATIONS 42(2),42(3),49(C),54(4),CLAUSES 1,2,3,4,15 AND 16 OF CODE OF CONDUCT PRESCRIBED UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)

31-MAR-2010 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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