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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.

FOREIGN INSTITUTIONAL INVESTORS: DIRECTED NOT TO ISSUE/SUBSCRIBE OR OTHERWISE TRANSACT IN ANY FRESH/NEW OFFSHORE DERIVATIVE INSTRUMENT TILL SUCH TIME SATISFIES SEBI THAT IT HAS PUT ADEQUATE SYSTEMS, PROCESSES AND CONTROL

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BARCLAYS BANK PLC  
  DID NOT PROVIDE TRUE, FAIR AND COMPLETE DETAILS OF OFFSHORE DERIVATIVE INSTRUMENTS ACTIVITY UNDERTAKEN AND FURNISHED FALSE AND INCORRECT INFORMATION TO SEBI VIOLATING REGULATION 7A OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS 1995   DIRECTED NOT TO ISSUE/SUBSCRIBE OR OTHERWISE TRANSACT IN ANY FRESH/NEW OFFSHORE DERIVATIVE INSTRUMENT TILL SUCH TIME SATISFIES SEBI THAT IT HAS PUT ADEQUATE SYSTEMS, PROCESSES AND CONTROL

DIRECTED TO FURNISH A CERTIFICATE FROM AN AUDITOR OF INTERNATIONAL STANDING

09-DEC-2009 		DIRECTION ISSUED VIDE ORDER EX-PARTE ORDER DATED 09/12/2009 REVOKED WITH IMMEDIATE EFFECT AND ADVISED THAT ALL OFFSHORE DERIVATIVE INSTRUMENTS SHOULD BE STRICTLY IN COMPLIANCE WITH THE REGULATIONS, VIDE ORDER DATED 30/08/2010  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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