| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
IL&FS MERCHANT BANKING SERVICES LTD.
|
|
|
DID NOT EXERCISE DUE DILIGENCE IN PUBLIC ISSUE OF BALAJI TELEFILMS LTD.
VIOLATED OF CLAUSE 2 OF THE CODE OF CONDUCT LAID DOWN IN SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS 1992
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
14-MAY-2002
|
|
| 2 |
|
|
JM MORGAN STANLEY PVT.LTD.
|
|
|
DID NOT EXERCISE DUE DILIGENCE IN PUBLIC ISSUE OF BALAJI TELEFILMS LTD.
VIOLATED OF CLAUSE 2 OF THE CODE OF CONDUCT LAID DOWN IN SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS 1992
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
14-MAY-2002
|
|
| 3 |
|
|
KHANDWALA SECURITIES LTD.
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTIONS VIOLATING REGULATIONS 4(B) (C) AND (D) OF SEBI (PFUTP) REGULATIONS, 2003 IN SCRIP OF DSQ SOFTWARE LTD.
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(2) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF DSQ SOFTWARE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.40,00,000 VIDE CONSENT ORDER)
15-SEP-2009
|
|
| 4 |
|
|
RUSODAY & CO.LTD.
|
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE IN PUBLIC ISSUE OF V.R.MATHUR MASS COMMUNICATIONS LTD.
VIOLATED SEBI CODE OF CONDUCT
|
LAUNCHED CRIMINAL PROSECUTION
03-SEP-2001
|
COMPANY LAW BOARD VIDE ITS ORDER DATED 06/12/2005 CONFIRMED THAT OFFENCES UNDER SECTION 63 AND 68 OF THE COMPANIES ACT, 1956 HAVE BEEN COMPOUNDED AND COMPOUNDING FEE OF RS.45,000.00 HAS BEEN REMMITTED BY THE APPLICANTS ON 28/11/2005
|
| 5 |
|
|
SBI CAPITAL MARKETS LTD.
(PAN:AAACS7914E)
|
|
|
ALLEGED VIOLATION OF CLAUSES 3, 4 AND 6 OF CODE OF CONDUCT UNDER REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF REGULATION 20(9) OF SEBI TAKEOVER CODE, 1997
ALLEGED VIOLATION OF CLAUSES 5.4.3.1, 7.3.1, 7.4.1, 7.7.1, 11.2(XXIII),11.3.6,16.2.2.2 OF CODE OF CONDUCT UNDER REGULATION 13 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
16-MAR-2012
|
|
| 6 |
|
|
SHRIYAM SECURITIES & FINANCE LTD.
|
|
|
DID NOT ADHERE TO PROVISIONS OF SEBI (MERCHANT BANKERS) RULES & REGULATIONS, 1992
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-NOV-1998
|
|
| 7 |
|
|
STI FINANCE LTD.
|
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE IN PUBLIC ISSUE OF V.R.MATHUR MASS COMMUNICATIONS LTD.
VIOLATED SEBI CODE OF CONDUCT
|
LAUNCHED CRIMINAL PROSECUTION
03-SEP-2001
|
COMPANY LAW BOARD VIDE ITS ORDER DATED 06/12/2005 CONFIRMED THAT OFFENCES UNDER SECTION 63 AND 68 OF THE COMPANIES ACT, 1956 HAVE BEEN COMPOUNDED AND COMPOUNDING FEE OF RS.45,000.00 HAS BEEN REMMITTED BY THE APPLICANTS ON 28/11/2005
|
| 8 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
|
|
|
DID NOT EXERCISE DUE DILIGENCE IN PUBLIC ISSUE OF BALAJI TELEFILMS LTD.
VIOLATED OF CLAUSE 2 OF THE CODE OF CONDUCT LAID DOWN IN SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS 1992
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
14-MAY-2002
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
