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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 SECURITIES CONTRACTS (REGULATIONS) RULES, 1957

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

(PAN:AACCS7683Q)

(Depository Participants : CDSL,Member : BSE)  
  DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS

ILLEGAL AND UNAUTHORIZED GRANT OF TRADING TERMINAL TO CLIENT

ALLOWED TERMINAL TO UNAUTHORISED USERS

DIRECTORS ACTED AS SUB-BROKER VIOLATING REGULATION 15A OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992

DID NOT HAVE EXCLUSIVE E-MAIL ID FOR REDRESSAL OF INVESTOR GRIEVANCES

PAID INTEREST TO CLIENTS ON CREDIT BALANCES VIOLATING RULES 8(1)(F) AND 8(3)(F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957

DID NOT BLOCK LOST DEPOSIT INSTRUCTION SLIP (DIS) BOOKLET IN SYSTEM VIOLATNG CLAUSE 4 OF CODE OF CONDUCT FOR UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996

EXECUTED DELIVERY INSTRUCTIONS WITHOUT SIGNATURE OF BENEFICIAL OWNER ON REQUISITION SLIP VIOLATNG CLAUSE 4 OF CODE OF CONDUCT FOR UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996

DID NOT REFUND CREDIT BALANCE TO CLIENTS AT THE TIME OF CLOSURE OF ACCOUNT VIOLATING CLAUSE 4 OF CODE OF CONDUCT FOR UNDER REGULATION 20A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996   		IMPOSED PENALTY RS.5,00,000

01-MAY-2015 		INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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