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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: DIRECTED NSDL TO UNDERTAKE A COMPREHENSIVE INSPECTION OF THE SYSTEMS AND PROCEDURES OF KARVY STOCK BROKING LTD.

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person KARVY STOCK BROKING LTD.

(PAN:AABCK5190K)

(Depository Participants : NSDL)  
  DID NOT ASCERTAIN GENUINENESS OF ENTITIES WHILE OPENING THEIR DEMATERIALIZED ACCOUNTS   DIRECTED NSDL TO UNDERTAKE A COMPREHENSIVE INSPECTION OF THE SYSTEMS AND PROCEDURES OF KARVY STOCK BROKING LTD.

15-DEC-2005 		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

SEBI VIDE ITS ORDER DATED 14/03/2014, PROHIBITED KARVY FROM TAKING UP ANY NEW ASSIGNMMENT OR CONTRACT OR LAUNCH A NEW SCHEME (I.E.,NOT TO TAKE NEW CLIENTS/CUSTOMERS) FOR A PERIOD OF SIX MONTHS IN RESPECT OF ITS BUSINESS AS A STOCK BROKER  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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