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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 PUBLIC ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES

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

(PAN:AAACI0989F)

(Depository Participants : CDSL/NSDL)  
  ALLEGED OPENING OF MULTIPLE DEMATERIALIZED ACCOUNTS WITH COMMON ADDRESSES IN NAMES OF BENAMI OR FICTITIOUS ENTITIES   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

22-JUL-2008 		 
2
History of entity/person KARVY STOCK BROKING LTD.

(PAN:AABCK5190K)

(Depository Participants : CDSL)  
  FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT   DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 12-JAN-2006 TO 31-DEC-2007

12-JAN-2006 		PROHIBITED FROM OPENING FRESH DEMAT ACCOUNT TILL 31/12/,2007

SEBI VIDE ITS ORDER DATED 28/01/2014 PROHIBITED KARVY FROM TAKING UP ANY NEW ASSIGNMENT (I.E. NOT TO TAKE UP ANY NEW CLIENTS) FOR A PERIOD OF EIGHTEEN MONTHS.AS KARVY HAS ALREADY UNDERGONE SUCH PROHIBITION FOR 18 MONTHS AND 26 DAYS, NO FURTHER PENALTY IS IMPOSED  
3
History of entity/person PRATIK STOCK VISION PVT.LTD.

(Depository Participants : CDSL)  
  FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT   DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 12-JAN-2006 TILL FURTHER ORDERS

12-JAN-2006

SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)

16-MAY-2011~ 		ALLOWED TO OPEN FRESH DEMAT ACCOUNTS W.E.F. 22/05/2007

ORDER DATED 12/01/2006 DISPOSED OFF AS APPLICANT PAID RS.15,00,000 AS PER CONSENT ORDER DATED 16/05/2011.  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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