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RECENT ADDITIONS TO THE WEBSITE
The new records added to the website are listed in an alphabetical order.

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.
 
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S.
No.
 ENTITY  PERSON COMPETENT AUTHORITY  REGULATORY CHARGES  REGULATORY ACTION(S) / DATE OF ORDER  FURTHER DEVELOPMENTS
History of entity/person A.P.S.HIRE PURCHASE PVT.LTD.     
  RBI  DID NOT COMPLY WITH THE PROVISIONS OF RBI ACT, 1934  CANCELLATION OF CERTIFICATE OF REGISTRATION

12-JUN-2014
 
History of entity/person AAYUSH INVESTMENTS 

(Sub-Broker of ANUGRAH STOCK & BROKING PVT.LTD. , Member : BSE)    
  SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

23-JUN-2014
 
History of entity/person AEGON RELIGARE LIFE INSURANCE CO.LTD.     
  IRDA  DID NOT FURNISH COPY OF PROPOSAL FORMS OF POLICIES TO POLICYHOLDERS

DELAY IN PROCESSING OF REQUESTS FOR SURRENDER / SETTLEMENT

PROPOSAL RELATED DOCUMENTS AND CONFIDENTIAL REPORTS NOT SIGNED BY AGENTS

DID NOT REPORT IRDA ABOUT OUTSOURCING AGREEMENT AND PAYMENTS MADE

ENTERED AGREEMENT FOR VARIOUS ACTIVITIES AND FURTHER ENGAGED SERVICES OF UNLICENSED ENTITIES/PERSONS FOR SOLICITATION OF INSURANCE BUSINESS

AMOUNT PAID TO REFERRAL PARTNER

MADE PAYMENTS TO NASHIK DISTRICT CENTRAL CO-OPERATIVE BANK LTD., DURING INTERVENING PERIOD WHEN IT WAS NOT ENGAGED AS REFERRAL PARTNER

FLOATED VARIOUS CONTESTS TO INSURANCE BROKERS & EMPLOYEES OF BROKERS AND REWARED OVER & ABOVE COMMISSION/BROKERAGE 
IMPOSED PENALTY RS.40,00,000

17-SEP-2014
 
History of entity/person AJMER URBAN CO-OPERATIVE BANK LTD.,THE     
  RBI  CEASED TO BE SOLVENT  CANCELLATION OF BANKING LICENSE

DIRECTED REGISTRAR OF CO-OPERATIVE SOCIETIES TO ISSUE ORDER FOR WINDING UP OF BANK AND APPOINT LIQUIDATOR

19-SEP-2014
 
History of entity/person ALDERBROOKE PORTFOLIO MANAGEMENT SERVICES PVT.LTD.     
  SEBI  INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION  IMPOSED PENALTY RS.1,00,00,000

24-SEP-2014
 
History of entity/person APOORVA INSURANCE BROKERS PVT.LTD.     
  IRDA  DID NOT FILE ONLINE RETURNS TO IRDA AS PER CIRCULAR NO.009/IRDA/BRO/MAY 06 DATED 26/05/2006

DID NOT HAVE PROPER INFRASTRUCTURE REQUIRED FOR PROCUREMENT OF INSURANCE BUSINESS 
REJECTED APPLICATION FILED FOR RENEWAL OF LICENSE AS INSURANCE BROKER

CEASED TO ACT AS INSURANCE BROKER

16-SEP-2014
 
History of entity/person ASIAN ELECTRONICS LTD.     
  NSDL  LONG PENDING DEMAT REQUESTS AND NOT RESPONDING/SERVICES STOPPED BY THE REGISTRAR  PUT UP ON NSDL WEBSITE FOR PUBLIC NOTICE

10-OCT-2014
 
History of entity/person BJM SECURITIES 

(Sub-Broker of L.F.C.SECURITIES PVT.LTD. , Member : BSE)    
  SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

03-SEP-2014
 
History of entity/person BJM SECURITIES 

(Sub-Broker of LABDHI FINANCE CORP. , Member : NSE)    
  SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

03-SEP-2014
 
10 
History of entity/person D.H.P.LEASING LTD.     
  RBI  DID NOT COMPLY WITH THE PROVISIONS OF RBI ACT, 1934  CANCELLATION OF CERTIFICATE OF REGISTRATION

11-JUL-2014
 
11 
History of entity/person DEEP HIRE PURCHASE LTD.     
  RBI  DID NOT COMPLY WITH THE PROVISIONS OF RBI ACT, 1934  CANCELLATION OF CERTIFICATE OF REGISTRATION

26-JUN-2014
 
12 
History of entity/person DLF LTD.     
History of entity/person K.P.SINGH

History of entity/person PIA SINGH

History of entity/person T.C.GOYAL

History of entity/person RAJIV SINGH

History of entity/person RAMESH SANKA

History of entity/person KAMESHWAR SWARUP
 
SEBI  DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATIONS AGAINST SUBSIDIARIES IN RED HEARING PROSPECTUS (RHP) AND PROSPECTUS IN MATTER OF DLF LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2014 TO 09-OCT-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2014 TO 09-OCT-2017

10-OCT-2014
 
13 
History of entity/person DUTTA FINANCIERS (INDIA) LTD.     
  RBI  DID NOT COMPLY WITH THE PROVISIONS OF RBI ACT, 1934  CANCELLATION OF CERTIFICATE OF REGISTRATION

27-JAN-2014
 
14 
History of entity/person EDSERV SOFTSYSTEMS LTD.     
  NSE  HIGHEST NUMBER OF COMPLAINTS PENDING AS ON 30-SEPTEMBER-2014  PUT UP ON NSE WEBSITE FOR PUBLIC NOTICE

13-OCT-2014
 
15 
History of entity/person GLAXO GROUP LTD.     
  SEBI  DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GLAXO SMITHKLINE PHARMACEUTICALS LTD.

DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF GLAXO SMITHKLINE PHARMACEUTICALS LTD. 
IMPOSED PENALTY RS.25,00,000

14-OCT-2014
 
16 
History of entity/person HARIG CRANKSHAFTS LTD.     
  NSDL  LONG PENDING DEMAT REQUESTS AND NOT RESPONDING/SERVICES STOPPED BY THE REGISTRAR  PUT UP ON NSDL WEBSITE FOR PUBLIC NOTICE

10-OCT-2014
 
17 
History of entity/person HIMANSHU SHAH,M/S 

(Sub-Broker of VISHESH CAPITAL PVT.LTD. , Member : NSE)    
History of entity/person HIMANSHU SHAH
 
SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

27-JUN-2014
 
18 
History of entity/person L&T FINANCE LTD.     
  CDSL  HIGH PENDING DEMAT REQUESTS  PUT UP ON CDSL WEBSITE FOR PUBLIC NOTICE

15-OCT-2014
 
19 
History of entity/person MAHAVIR SECURITIES & FINANCIAL SERVICES 

(Sub-Broker of ANUGRAH STOCK & BROKING PVT.LTD. , Member : BSE)    
  SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

23-JUN-2014
 
20 
History of entity/person MAHAVIR SECURITIES & FINANCIAL SERVICES 

(Sub-Broker of ANUGRAH STOCK & BROKING PVT.LTD. , Member : NSE)    
  SEBI  NO LONGER AFFILIATED AS SUB-BROKER  CANCELLED REGISTRATION AS SUB-BROKER

23-JUN-2014
 

The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

 
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