Advised to be careful and cautious in conduct of business as a banker to an issue
Cancelled registration as banker to issue
Censured/warned & directed to be diligent in complying with SEBI regulations
Debarred from carrying activities as bankers to issues
Directed to act with due skill, care & diligence while acting as banker to issue
Directed to refund money collected in public issue
Imposed penalty
Restrained from undertaking any fresh assignment as a banker to an issue
Suspended registration as banker to issue
Warned/directed to be more careful while dealing with securities market
Allowed wrong utilization of issue proceeds
Certificate of registration expired/surrendered/ceased/suspended
Failed to exercise due skill and diligence
Manipulated market and/or indulged in unfair trade practices
Violated SEBI (banker to an issue) rules and regulations, 1994
Violated SEBI (prohibition of insider trading) REGULATIONS,1992
Violated SEBI public issue guidelines
Violated SEBI rights issue guidelines
Violated SEBI takeover code,1997
Cancelled registration as depository participant
Debarred / restrained from associating with / accessing capital market / intermediaries
Debarred from acting as depository participant
Debarred/restrained from buying/selling/dealing/ipos in securities/specified scrips directly/indirectly
Directed bse,nse,otcei and their clearing houses not to release funds or securities
Directed bse,nse,otcei and their clearing houses to secure all assets including realization of bank guarentees
Directed cdsl to comply with all statutory duties and requirements in conduct of its activities in securities market
Directed cdsl to conduct inspection
Directed depositories not to give effect to any transfer of shares
Directed not to act as depository participant
Directed not to buy, sell or deal in the securities market including IPOs directly or indirectly on proprietory basis
Directed not to open fresh demat accounts
Directed to conduct secretarial audit to identify actual shareholders and reconcile their records
Directed to credit 100 shares of itc ltd.alongwith further benefits if any, that would have accrued to applicant from date of transfer till compensated by depository participant and file compliance report with SEBI
Directed to refund account closure charges
Directed to remove pinnacle shares registry pvt.ltd. as registrar and transfer agent and appoint another registrar and transfer agent within six months
Reached settlement (consent order)
Referred matter to reserve bank of india for further action
Rejected application for renewal of registration as depository participant
Committed irregularities in maintenance of client registration/database
Defaulted/failed to collect margins/bmc from clients/sub-brokers
Delayed/failed to deliver/transfer securities
Delayed/failed to make payment to clients
Failed to maintain proper books of accounts/records
Failed to redress investor/creditors complaints
Indulged in unauthorised carry forward transactions
Manipulated IPOs of various companies
Misused/defaulted in maintaining client accounts
Not a fit and proper person
Not complied with norms, rules, byelaws and regulations of SEBI/stock exchange
Provided wrong/incomplete information to SEBI/did not co-operate with SEBI in investigations
Unilaterally levied account closure charges
Violated code of conduct
Violated SEBI (depositories and participants) act, 1996
Violated SEBI (stock brokers & sub brokers) REGULATIONS,1992
Violated SEBI depositories act, 1996
Violated SEBI regulation regarding dematerialisation/depository participants
Violation of cdsl byelaws /communique/ operating instructions
Violations specified in earlier SEBI orders/circulars
Advised to refund money to the investors
Debarred/restrained from associating with/accessing capital market/intermediaries
Debarred/restrained from buying/selling/dealing in securities/specified scrips directly/indirectly
Directed not to collect any money from the investors
Directed not to launch any new scheme(s)
Directed to refund money to the investors
Directed to submit auditors' certificate confirming non collection of any monies under CIS
Directed to wind up CIS and refund money to the investors
Launched prosecution against the entity and its directors u/s 24 and 27 of the SEBI act
No action
Official liquidator/administrator appointed subsequent to the initiation of action by SEBI
Referred to police authorities to file FIR
Referred to state governments for filing of civil/criminal proceedings for fraud, cheating, criminal breach of trust and mis-appropriation of public funds
Rejected application for registration of CIS
Requested DCA to initiate winding up of entity
Restrained from issuing any offer document, advertisement or brochure soliciting money from investors or raise money from investors by way of new and/or additional subscription for any product (including ulips) having investment component in nature of mutual funds, till they obtain requisite certificate of registration from SEBI
Sentenced to pay fine of Rs.5000 by the court
Alleged unlawful mobilisation of funds under CIS
Did not wind up to repay investors as per regulations
Entity claimed it did not collect any money under CIS
Failed to comply with conditions of provisional registration
Failed to comply with the provision regulation of SEBI
Failed to refund money collected under CIS
Launched unit linked insurance products (ulips) without obtaining requisite certificate of registration from SEBI
Not applied for registration of CIS
Part repayment to the investors reported by the entity
Provisional registration for CIS expired
Bombay stock exchange & national stock exchange directed/ordered to hold the profit and gains in a separate escrow account
Cease and desist from indulging in futures & options contracts
Debarred from acting as un-registered portfolio manager
Debarred from operating in the securities market for a period of five years
Debarred from publishing advertisements luring investors to invest in securities market
Directed acquirer to make payment in cash to shareholders
Directed acquirer to make public offer
Directed acquirer to pay interest for loss caused to shareholders
Directed amounts deposited in escrow account and shares retained in demat account be not withdrawn without prior permission of SEBI
Directed applicant to do inspection of the relevant documents,if they wish so and submit replies to show cause notice
Directed bse and nse to permit members to square off their existing open positions if any, in f&o segment and ensure that no fresh positions are created
Directed bse to examine dealings of chimanlal maneklal securites pvt.ltd in scrip of cals refineries ltd.
Directed bse to facilitate valuation of shares to be purchased and compulsorily delist parsoli corp.ltd., if public shareholding reduces below minimum level
Directed bse to impound the auction and close out proceeds
Directed bse, nse, nsdl and cdsl to ensure that directions issued vide order are strictly enforce
Directed company to adopt standard accounting practices
Directed depositories not to dematerialize convertible warrants and shares issued upon conversion and not to give effect to stock split
Directed depositories not to give effect to any transfer of shares of promoters/persons acting in concert/directors/clients in default
Directed depositories to keep a watch and report suspicious activities to SEBI
Directed dsq biotech ltd.to keep 80,30,000 shares of the co.in separate demat account and take steps to extiguish/ cancel them
Directed income tax department to take necessary actions in matter of pyramid saimira theatre ltd.
Directed issuer and lead merchant banker to ensure all disclosures as per Companies Act, dip guidelines and as per observations/changes suggested by SEBI
Directed not to be associated with any FII or sub-account or any registered entity of SEBI
Directed not to buy, sell of deal directly or indirectly in any initial public offering
Directed not to buy, sell or deal in securities directly or indirectly on IPOs listing dates
Directed not to divest,transfer,sell or alienate the shareholding in gammon infrastructures projects ltd.for a period of 3 years
Directed not to engage in the activity of borrowing and lending of securities without obtaining registration from SEBI
Directed not to hold position of director in board of any listed company
Directed not to issue any equity shares or any instrument convertible into equity shares or alter its capital structure in any manner
Directed not to issue further shares or alter its share capital in any manner
Directed not to proceed with open offer formalities pursuant to public announcement
Directed not to proceed with the public issue
Directed not to reissue forfeited shares or bonus shares
Directed not to trade or transfer shares of gccl infrastructure & projects ltd.
Directed not to utilize services of nilesh kapadia for trading activities and institute an internal enquiry to be conducted by trustees of hdfc mutual fund
Directed nsdl and cdsl to freeze beneficial owner accounts of persons/entities
Directed promoters to buy back shares from allottees/shareholders
Directed promoters to give option to allottees/shareholders to exit the company
Directed pyramid saimira theatre ltd. to include order dated 10/11/2009 in agenda of its next annual general meeting
Directed registrar & transfer agent not to give effect transfer of shares
Directed stock exchanges not to approve listing of convertible warrants and shares issued on conversion
Directed that equity shares acquired by promoter would be eligible for computation of promoter's contribution
Directed that promoters quota i.e. 20% of the capital shall be locked in for a period of 5 years from the date of allotment
Directed to abide strictly by stipulations on advertisements by mutual funds, issued by SEBI
Directed to buy 1.30 crore shares of dsq software ltd. and retain it in separate demat account
Directed to cease & desist from dealing in shares by heavy purchases on IPOs listings to artificially create demand
Directed to cease and desist from giving misleading recommendations in any public accessible media
Directed to change composition of board of trustees
Directed to compensate unit trust of india to the extent of Rs.3.04 crores
Directed to complete pending dematerialisation requests
Directed to conduct internal enquiry and initiate appropriate action and submit action report
Directed to dematerialize shares immediately
Directed to deposit a sum of Rs.630 crore in separate escrow account
Directed to deposit estimated losses identified so far to trustees of hdfc mutual fund jointly
Directed to deposit money with investor protection fund to compensate investors
Directed to deposit proceeds of transaction in an escrow account
Directed to deposit profits with nse
Directed to deposit Rs.122.19 crore in escrow account for purchase of 80,30,000 shares of dsq biotech ltd.
Directed to deposit Rs.25,000 in investor protection fund
Directed to desist from entering into matched transactions
Directed to disgorge unlawful gains alongwith interest @12% for one year within 45 days from date of order
Directed to ensure timely compliance of listing requirements/other filing requirements provided under any other law in force
Directed to exercise due diligence in supervising employees to above end
Directed to freeze demat account of a specified scrip
Directed to freeze demat accounts
Directed to honour their committement relating to conversion of warrants
Directed to initiate adjudication proceedings
Directed to make changes in draft letter of offer
Directed to make offer for purchases equivalent amount of 80,30,000 shares of dsq biotech ltd.within 45 days from date of this order
Directed to make public offer through merchant banker to acquire shares from public shareholders by paying value as per regulation 23 of SEBI (delisting of equity shares) regulations, 2009 within three months from date of order
Directed to pay turnover fee
Directed to reconcile and file correct shareholding details with stock exchanges
Directed to redress investor grievances
Directed to relinquish office of president of the exchange
Directed to resign from the board
Directed to retain impounded sale proceeds and not to utilize it in any manner
Directed to revise offer price after including the payment of non-compete fee of Rs.14.50 per share so as to make it total Rs.72.50 per share alongwith interest
Directed to set up investigation committee to examine all transactions of nilesh kapadia and report to SEBI within six months of this order
Directed to submit a plan to overhaul internal control systems and internal preventive measures of hdfc amc to avoid such instances in future
Directed to submit certified report on the records of dematerialised securities with the securities issued
Directed to submit report on redressal of investors complaints detailing manner in which all individual complaints have been redressed to office of investor assistance and education department of SEBI
Directed to take prior approval of SEBI for dealing with escrow account
Directed to take steps to ensure that trading information and other trade related details are not misused
Directed to withdraw advertisement of nfo of reliance infrastructure fund of reliance mutual fund
Disposed off the case without any direction
Downgraded company's scrip from B-1 to z category
Filed criminal writ petition
Granted period of three months for appointment of common share agency for demat and physical shares
Imposed lock-in on shares allotted through conversion of warrants
Imposed penalty of Rs.1,00,000 if failed to comply with the regulation 53A of the (depositories & participants) regulations, 1996 within the time limit of 3 months allowed by SEBI
Impounded sale proceeds accruing to vijay advertising pvt.ltd.
Initiated enquiry proceedings
Launched adjudication proceedings
Launched adjudication proceedings under section 15C of SEBI act
Launched criminal prosecution
Matter referred to income tax department to look into possible alternative pay-offs outside securites market
No action as benefit of doubt granted
Not acted negligently warranting imposition of penalty
Not available
Order to be passed after personal hearing
Proceedings dropped/no penalty imposed
Prohibited being associated with any intermediary or any entity registered with SEBI
Prohibited from dealing in the scrip of bhoruka financial services ltd.
Prohibited from issuing any certificate with respect to compliance of obligations of listed companies and requirements or those made under securities laws (SEBI act, 1992, scra act, 1956, depositories act, 1996 & Companies Act, 1956)
Prohibited from raising any further capital in any manner, directly or indirectly
Prohibited from raising money from public
Prohibited public companies in which this director has controlling/substantial interest to raise funds from capital market
Prohibited transfer of shares in any manner
Prosecuted for imprisonment & fine
Prosecution launched
Reached settlement (consent order) (agreed voluntarily not to be associated with /accessing capital market /intermediaries)
Reached settlement (consent order) (agreed voluntarily not to buy/sell/ deal in securities/ specified scrips directly/indirectly)
Referred the matter to "institute of chartered accountants of india" for necessary actions
Refused listing of equity shares
Rejected application filed for grant of exemption from takeover REGULATIONS,1997
Rejected application for registration as foreign institutional investor (fii)
Report to be taken on record
Restrained from accepting loans/deposits from public for securities market
Restrained from accessing capital market through public or rights issue for a period of two years
Restrained from holding any position of director/trustee of capital market related institutions/entities/public positions
Restrained from violating regulation regarding processing of dematerialisation requests
Restrained to act as an intermediary in any capacity
Show cause notice issued
Suspended registration as sub-broker
Suspended trading on all stock exchanges
Acted as portfolio manager without SEBI registration
Acted as sub-broker without SEBI registration
Adopted improper accounting practices
Apparent violation of SEBI takeover regulations
Attempted to subvert the spirit of clause 4.6 of dip guidelines
Breach of corporate governance in reliance energy ltd. and reliance power ltd.
Committed irregularities in contract notes
Committed irregularities regarding share lending/borrowing
Conducted board meetings not as per rules of the exchange
Dealt and introduced tainted/stolen/fabricated/duplicate shares
Dealt in cash with clients
Dealt with un-registered brokers/sub-brokers/entities
Defaulted/irregularities in pay-in obligations
Delayed/failed to appoint common share registrar for handling share registry work of demat and physical securities
Did not pay penalty
Draft letter of offer filed with SEBI
Executed fictitious/fraudulent/structured/unauthorised transactions
Failed to manage fund in interest of unitholders
Failed to pay dividends to shareholders
Failed to pay fee to SEBI/exchange
Failed to pay penalty amount imposed by SEBI
Failed to satisfy criteria specified by exchange
Filed application for seeking exemption from making public announcement
Identified as a vanishing company
Induced investors through false/misleading representation
Indulged in fraudulent operations
Indulged in unauthorised trading in futures & options
Introduced unlisted shares in the market
Involved in floating bogus/fraudulent entities
Involved in unauthorised operations on the exchange terminals
Issued false chartered accountant's certificate
Order under section 11B read with 11 of SEBI act, 1992
Permitted violations in surveillance
Provided manipulated books of accounts/ records to income tax department
Provided wrong information in offer document
Provided wrong/incomplete information to exchanges
Securities under investigation
Took loans from public assuring high interest
Violated companies ACT,1956
Violated criminal procedure CODE,1973
Violated indian penal CODE,1860
Violated listing agreement
Violated scra ACT,1956
Violated SEBI (disclosure and investor protection) GUIDELINES,2000
Violated SEBI (foreign institutional investors) regulations 1995
Violated SEBI (merchant banker) REGULATIONS,1992
Violated SEBI (mutual funds) regulations, 1996
Violated SEBI (pfutp) REGULATIONS,1995
Violated SEBI (portfolio managers) REGULATIONS,1993
Violated SEBI (registrar & share transfer agent) REGULATIONS,1993
Violated SEBI ACT,1992
Violated SEBI preferential issue guidelines
Violation of SEBI (disclosure and investor protection) GUIDELINES,1992
Weak fundamentals of the company
Cancelled registration as custodian
Directed not to dispose of any securities held in custody
Failed to fulfill net worth criterion
Cancelled registration as debenture trustee
Debarred from undertaking fresh business as debenture trustee
Rejected application for registration as debenture trustee
Violated SEBI (debenture trustees) REGULATIONS,1993
Violated SEBI (intermediaries) REGULATIONS,2008
Advised to set up a surveillance cell to detect abnormal and unusual flow of securities in the depository accounts
Directed nsdl to conduct an independent assessment of existing systems and processess and identify remedial measures
Directed promoters of cdsl to take appropriate action including revamping of management
Directed promoters of nsdl to take appropriate action including revamping of management
Directed to ensure that the dp accounts should not be utilized for manipulation in allotments in IPOs
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 not to issue/subscribe or otherwise transact in any fresh/new offshore derivative instruments till such time it provides true and correct reporting of its transactions to SEBI
Directed to establish highest standards of customer due diligence process
Directed to furnish a certificate from an auditor of international standing
Prohibited from issuing and/or renewing any offshore derivatives related to indian securities market
Rejected application for renewal of registration as FII
Disciplinary action taken/pending against applicant/connected companies
Indulged in short sales
Cancelled certificate of registration as underwriter
Cancelled registration as merchant banker
Censured pnb capital services limited for violation of code of conduct
Debarred from undertaking fresh business as merchant banker
Directed enquiry to be conducted
Directed lapses to be taken on record for reviewing renewal application
Directed not to launch any new schemes
Rejected application for registration as underwriter
Rejected application for renewal of registration as merchant banker
Suspended registration as merchant banker
Suspended registration as merchant banker for underwriting
Committed irregularities in government securities transactions
Failed to fulfill underwriting obligations
Violated SEBI (buyback of securities) REGULATIONS,1998
Cancelled registration as mutual fund and withdrawn approval granted to asset management company
Directed to pay returns to unitholders
Non-compliance of exchange norms
Directed nsdl to conduct inspection
Directed nsdl to undertake a comprehensive inspection of the systems and procedures of karvy stock broking ltd.
Directed to cease and desist from repetition of lapses
Directed to refund amount collected under consolidation scheme
Renewal granted with special condition barring opening new accounts
Suspended registration as depository participant
Application for renewal of certificate
Director of stock broking firm acted as sub broker of his own firm through his corporate entity
Violated SEBI directions in opening of fresh demat accounts
Bar council of maharashtra & goa directed to take appropriate action against advocate mr.prakash k.shah with request to furnish a copy of its action to SEBI
Cease and desist from issuing online offer soliciting unpublished price sensitive information and recommending or counseling trading
Directed bse to release the difference in price of shares
Directed bse to withhold payout of 11/02/2009 of hetal patel and chetan shah in separate escrow account
Directed not to act as compliance officer of any listed company
Directed to cease and desist from giving recommendations about any investment in securities in public media
Directed to deposit illegitimate gains with nse identified so far in investigations within fifteen days which shall hold the amount in an escrow
Directed to deposit profit amounting to Rs.1,12,68,659.35
Directed to disgorge unlawful gains alongwith interest @20% from sale of shares till date of disgorgement
Directed to disinvest shares in target company
Directed to submit explanation to show cause notice
Restrained from directorship of stock exchange
Restrained from holding any managerial position (including directorship) in any listed company in india or an intermediary registered with SEBI or with any securities market participant,in any capacity
Failed to submit audit report/financial statements to the exchange in time
Forged signatures on authority letters
Misused exchange mechanism for guaranteeing payment in off-the-market transactions
Cancelled registration as portfolio manager
Debarred from undertaking fresh business as portfolio manager
Rejected application for registration as portfolio manager