| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
|
|
|
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT POSSESS AND MAINTAIN SPECIMEN SIGNATURE CARDS
DID NOT MARK FOLIOS FOR ENHANCED DUE DILIGENCE
DID NOT MAINTAIN SYSTEM FOR SYSTEM-BASED ALERTS TO EXERCISE ENHANCED DUE DILIGENCE
DID NOT ISSUE LETTERS UNDER REGISTERED/SPEED POST SEEKING PAN AND BANK DETAILS TO ALL FOLIO HOLDERS FOR WHICH PAN AND BANK DETAILS WERE NOT AVAILABLE
DID NOT APPOINT COMPLIANCE OFFICER
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 28-AUG-2024 TO 27-SEP-2024
28-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 05/09/2024 STAYED OPERATION OF IMPUGNED ORDER AND GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 2 |
|
|
ADROIT CORPORATE SERVICES PVT.LTD.
|
|
|
DID NOT MAINTAIN SPECIMEN SIGNATURES OF SHAREHOLDER HOLDING SHARES IN PHYSICAL FORM
PROCESSED REQUEST FOR DEMATERIALISATION OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
ISSUED DUPLICATE SHARE CERTIFICATE WITHOUT HAVING SPECIMEN SIGNATURES
DID NOT ADHERE TO REQUIREMENT OF OBTAINING NISM CERTIFICATION BY STAFF MEMBERS
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 21-OCT-2020 TO 20-JAN-2021
21-OCT-2020
|
|
| 3 |
|
|
CAMEO CORPORATE SERVICES LTD.
(CIN:U67120TN1998PLC041613)
|
|
|
DID NOT EXERCISE PROPER DUE DILIGENCE WHILE PROCESSING VARIOUS REQUESTS RECEIVED FROM CLAIMANTS/IMPOSTERS VIOLATING CLAUSES 2, 3 AND 16 OF CODE OF CONDUCT IN SCHEDULE III OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 18-OCT-2019
18-OCT-2019
|
SEBI VIDE ITS ORDER DATED 07/11/2019 A) CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 18/10/2019 B) DIRECTED SEBI TO CARRY OUT A SPECIAL PURPOSE INSPECTION TO INSPECT BOOKS OF ACCOUNTS INCLUDING DUE DILIGENCE ADOPTED BY NOTICEE IN RESPECT OF UNCLAIMED SHARES, PROCEDURE BEING FOLLOWED FOR ISSUE OF DUPLICATE SHARES, STEPS TAKEN BY THE NOTICEE WITH REGARD TO RECTIFICATION OF REGISTER OF MEMBERS PERTAINING TO WRONG TRANSFER OF SHARES ETC. WITHIN NINETY DAYS FROM DATE OF THIS ORDER. INTERIM ORDER SHALL CONTINUE TILL THE EXPIRY OF NINETY DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 26/11/2019 PARTLY ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 18/10/2019 IN SO FAR AS IT RESTRAINED THE APPELLANT FROM ACCEPTING FRESH CLIENTS. NO COSTS
|
| 4 |
|
|
INDUS PORTFOLIO PVT.LTD.
|
|
|
PROCESSED TRANSFER AND TRANSMISSION REQUESTS WITHOUT OBTAINING PROPER DOCUMENTS AND ON THE BASIS OF DEFICIENT/FAKE DOCUMENT
DID NOT MAINTAIN PROPER DOCUMENTS, RECORDS, SYSTEM LOG AND SYSTEM BASED ALERTS TO EXERCISE ENHANCED DUE DILIGENCE
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 13-MAR-2023 TO 30-JUN-2023
13-MAR-2023
|
|
| 5 |
|
|
MAHESHWARI DATAMATICS PVT.LTD.
|
|
|
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
DID NOT PUBLISH ADVERTISEMENT IN NEWSPAPER FOR LOSS OF SHARE CERTIFICATES VIOLATING CLAUSE 23 OF GENERAL DIRECTIVES/INSTRUCTIONS/GUIDELINES FOR PROCESSING OF DOCUMENTS OF RTI CIRCULAR NO.1 (2000-2001) DATED 09/05/2001
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 09-DEC-2019 TO 08-JAN-2020
DIRECTED TO DISCLOSE CONTENTS OF SEBI’S DIRECTIONS ON ITS WEBSITE(S) IMMEDIATELY
09-DEC-2019
|
|
| 6 |
|
|
SATELLITE CORPORATE SERVICES PVT.LTD.
|
|
|
PROCESSED TRANSFER OF SHARES WITHOUT OBTAINING SELLER PAN CARD
PROCESSED TRANSFER REQUESTS BASED ON FAKE PAN CARD OF THE SELLER
DID NOT OBTAIN PROOF OF ADDRESS OF BUYER
TRANSFERRED SHARES IN THE NAME OF NON-EXISTING CO.
ISSUED DUPLICATE SHARE CERTIFICATES WITHOUT OBTAINING FIR/POLICE COMPLAINT
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 14-AUG-2023 TO 13-NOV-2023
14-AUG-2023
|
|
| 7 |
|
|
SHAREX DYNAMIC (INDIA) PVT.LTD.
|
|
|
PROCESSED TRANSFER OF SHARES DESPITE SIGNIFICANT MISMATCH BETWEEN SIGNATURE OF TRANSFEROR AND HIS SPECIMEN SIGNATURE
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 24-MAY-2019 TO 23-JUN-2019
24-MAY-2019
|
|
| 8 |
|
|
SYSTEM SUPPORT SERVICES
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE PROCESSING DEMAT REQUESTS AND HAD SCANNED SIGNATURES FROM DEMAT REQUEST FORMS TO SHOW THEM TO INSPECTION TEAM VIOLATING CLAUSES 1 AND 3 OF CODE OF CONDUCT UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATION, 1993
TRANSFERD SHARES EVEN WITHOUT VERIFYING GENUINENESS OF THE TRANSFER REQUESTS VIOLATING CLAUSE 25 OF CODE OF CONDUCT PRESCRIBED UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATION, 1993
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 16-JAN-2020 TO 15-MAR-2020
16-JAN-2020
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
