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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.

COMPANIES: DIRECTED DEPOSITORIES TO CLOSELY MONITOR ACTIVITIES AS DEPOSITORY PARTICIPANT

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

(PAN:AAACA2020K)  
Click here to view complete history of this specific entity/person AWANISH KUMAR MISHRA

PAN:AGOPM7538H
Click here to view complete history of this specific entity/person JITENDRA KUMAR TIWARI

PAN:ALBPT6629A
  		MISAPPROPRIATED CLIENT SECURITIES AND/OR FUNDS

DID NOT MAINTAIN CONTINUOUS NETWORTH

FALSIFIED BOOKS AND WRONGLY REPORTED TO STOCK EXCHANGE

DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES

DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES

PROVIDED DISPROPORTIONATE EXPOSURE TO CLIENTS

VIOLATED REGULATION 9(C), 12(A) AND 16 OF SEBI (INTERMEDIARIES) REGULATIONS, 2008   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-NOV-2022 TO 03-NOV-2029

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-NOV-2022 TO 03-NOV-2029

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 04-NOV-2022 TO 03-NOV-2029

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY EXCEPT FOR THE PURPOSE OF PAYMENT OF MONEY TO CLIENTS/INVESTORS UNDER WRITTEN CONFIRMATION OF CONCERNED STOCK EXCHANGES

DIRECTED DEPOSITORIES TO CLOSELY MONITOR ACTIVITIES AS DEPOSITORY PARTICIPANT

DIRECTED TO REFUND MONEY TO THE INVESTORS

27-FEB-2019 		SEBI VIDE ITS ORDER DATED 17/05/2019 CONFIRMEND THE DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 27/02/2019

SEBI VIDE ITS ORDER DATED 20/06/2019 DIRECTED TO CONTINUE ALL THE DIRECTIONS CONTAINED IN INTERIM ORDER DATED 27/02/2019 AND CONFIRMATORY ORDER DATED 17/05/2019 EXCEPT PROHIBITION CONTAINED IN PARA 8 (C) AND PARA 8(E) OF INTERIM ORDER DATED 27/02/2019  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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