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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 TO CEASE & DESIST FROM REPETITION OF LAPSES

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

(PAN:AAACD9409P)

(Depository Participants : NSDL)  
  OPENED BENEFICIARY ACCOUNTS WITH IMPROPER/INCOMPLETE DOCUMENTS

OPENED BENEFICIARY ACCOUNTS WITHOUT SIGNATURE OF WITNESS

ACCEPTED DEBIT INSTRUCTION SLIP FROM INVESTORS WITHOUT TIME STAMPING

DELAYED SENDING REJECTED DEMAT REQUEST TO INVESTORS   		DIRECTED TO CEASE & DESIST FROM REPETITION OF LAPSES

19-SEP-2006 		 
2
History of entity/person INFRASTRUCTURE LEASING & FINANCIAL SERVICES LTD.

(PAN:AAACI0989F)

(Depository Participants : NSDL)  
  OPENED BENEFICIARY ACCOUNTS WITH IMPROPER/INCOMPLETE DOCUMENTS

DID NOT MENTION ISIN/MENTIONED INCORRECT ISIN ON DEMAT REQUEST FORM

MENTIONED EXTRA ACCOUNT HOLDERS IN DEMAT REQUEST FORM

DID NOT MAINTAIN STRUCTURED AND SYSTEMATIC BOOKS REGARDING COMPLAINTS OF BENEFICIARY ACCOUNTS

DID NOT MENTION BENEFICIARY ID ON DEMAT REQUEST FORM   		DIRECTED TO CEASE & DESIST FROM REPETITION OF LAPSES

22-AUG-2006 		 
3
History of entity/person JANATA SAHAKARI BANK LTD.,PUNE

(Depository Participants : NSDL)  
  OPENED BENEFICIARY ACCOUNTS IMPROPERLY IN VIOLATION OF SEBI DIRECTIVES/INSTRUCTIONS/GUIDELINES

DID NOT MAINTAIN STRUCTURED AND SYSTEMATIC BOOKS REGARDING COMPLAINTS OF BENEFICIARY ACCOUNTS   		DIRECTED TO CEASE & DESIST FROM REPETITION OF LAPSES

15-OCT-2004 		SAT: APPEAL DISPOSED OFF  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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