| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
RAMESH AGARWAL
|
|
|
|
MCS LTD.
PAN:AAACM8027G
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN PUBLIC ISSUE OF OIL & NATURAL GAS CORP.LTD., POWER TRADING CORP.OF INDIA LTD. & BANK OF MAHARASHTRA LTD.
VIOLATED RULE 4(1) (E) OF SEBI (REGISTRARS TO AN ISSUE & SHARE TRANSFER AGENTS) RULES, 1993
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 05-JUL-2007 TO 19-JUL-2007
14-JUN-2007
|
|
| 242 |
|
|
RAVICHANDRA SYSTEMS & COMPUTER SERVICES LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 18-JAN-2000
18-JAN-2000
|
|
| 243 |
|
|
RAVILEELA FINANCIAL SERVICES LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 18-MAY-1999
18-MAY-1999
|
|
| 244 |
|
|
REAL COMPUTER SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-OCT-1997
11-FEB-1998
|
|
| 245 |
|
|
REAL COMPUTER SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-OCT-1997
03-DEC-1998
|
|
| 246 |
|
|
RELIANCE CONSULTANCY SERVICES LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-JUL-1997
11-FEB-1998
|
|
| 247 |
|
|
RENOVISION TECHNOFIN & MNGT.SERV.(PVT.) LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 30-JUN-1998
03-DEC-1998
|
|
| 248 |
|
|
S.G.SUBRAMANIAN
|
|
|
|
KARVY CONSULTANTS LTD.
PAN:AAACK4247L
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE IN PUBLIC ISSUE OF RAJESH EXPORTS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-OCT-2002
|
|
| 249 |
|
|
S.K.D.C.CONSULTANTS LTD.
|
|
|
|
PADMA SREEDHARAN
|
|
DID NOT ENTER INTO AGREEMENT WITH ISSUER COMPANIES
|
IMPOSED PENALTY RS.25,000
31-AUG-2000
|
SAT: APPEAL ALLOWED
|
| 250 |
|
|
S.K.INFOSOLUTIONS PVT.LTD.
|
|
|
PROVIDED SERVICES WITHOUT ENTERING INTO VALID AGREEMENTS WITH CLIENTS
DID NOT MAINTAIN PHYSICAL INWARD REGISTER
DID NOT COLLECT REQUISITE DOCUMENTS TO PROCESS TRANSMISSION REQUESTS
DID NOT PROCESS TRANSFER RE-LODGMENT REQUEST AS PER EXTANT REGULATIONS/CIRCULARS ETC.
DID NOT PROCESS DIVIDEND REVALIDATION REQUEST IN ADHERENCE TO REGULATIONS/CIRCULARS ETC.
PAID MAJORITY OF REVALIDATED DIVIDEND ONLY THROUGH DD AND FAILED TO KEEP RECORD
DID NOT MAINTAIN SYSTEM LOG
DID NOT MAINTAIN SYSTEM FOR SYSTEM-BASED ALERTS TO EXERCISE ENHANCED DUE DILIGENCE
DID NOT PRODUCE RECORDS FOR ISSUING LETTERS TO PHYSICAL SHAREHOLDERS WHOSE PAN, BANK DETAILS WERE NOT AVAILABLE
DID NOT FRAME POLICY REGARDING CONTROL ON STATIONERY
DID NOT MAINTAIN REGISTER FOR RECORD OF DESTRUCTION OF DOCUMENTS
|
WARNED/DIRECTED TO EXERCISE DUE CARE AND CAUTION WHILE CONDUCTING BUSINESS AS REGISTRAR TO ISSUE & SHARE TRANSFER AGENT
DIRECTED TO APPOINT INDEPENDENT QUALIFIED PRACTICING COMPANY SECRETARY WHO DOES NOT HAVE ANY CONFLICT OF INTEREST AND WHO HAS NOT BEEN ENGAGED EARLIER NOTICE, TO CONDUCT AUDIT OF CORRECTIVE ACTIONS TAKEN TO CURE LAPSES
DIRECTED TO FILE AUDIT REPORT
06-OCT-2023
|
|
| 251 |
|
|
S.K.INFOSOLUTIONS PVT.LTD.
|
|
|
DID NOT ENTER INTO LEGAL/VALID AGREEMENT WITH ITS 10 CLIENT BODY CORPORATE AT APPROPRIATE TIME VIOLATING INSTRUCTION 1 OF INSTRUCTIONS AND RTI CIRCULAR NO. 1(94-95) DATED 11/10/2014 AND REGULATION 9(1) (B) OF RTA & STA REGULATIONS 1993
DID NOT PROVIDE ACCESS TO CORRECT INFORMATION TO SEBI VIOLATING REGULATION 18(2) AND CLAUSE 2 OF CODE OF CONDUCT READ WITH REGULATION 13 OF RTA & STA REGULATION, 1993
DID NOT FORMULATE NECESSARY CODE OF CONDUCT UNDER REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000
19-SEP-2018
|
|
| 252 |
|
|
S.K.JAIN
|
|
|
|
SPS INTERNATIONAL LTD.
|
|
ALLOTTED SHARES TO APPLICANTS WHO HAD APPLIED MUCH AFTER CLOSURE OF PUBLIC ISSUE OF GOLD MULTIFAB LTD.
DID NOT ENSURE PROPER DESPATCH OF SHARE CERTIFICATES AND REFUND ORDERS IN PUBLIC ISSUE OF GOLD MULTIFAB LTD.
PROVIDED FALSE/MISLEADING INFORMATION TO SEBI IN RESPECT TO SUBSCRIPTION RECEIVED AND DESPATCH OF SHARES IN THE PUBLIC ISSUE OF GOLD MULTIFAB LTD.
PROMOTERS OF GOLD MULTIFAB LTD./DIRECTORS ARRANGED FINANCE FOR CIRCUMVENTING REQUIREMENT OF MINIMUM SUBSCRIPTION IN ITS PUBLIC ISSUE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2002 TO 19-SEP-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2002 TO 19-SEP-2004
18-SEP-2002
|
|
| 253 |
|
|
SALLOLA MANFIN SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 01-JAN-1998
04-MAR-1999
|
|
| 254 |
|
|
SANGHI CORPORATE SERVICES LTD.
|
|
|
SURRENDERED CERTIFICATE OF REGISTRATION AS REGISTRAR TO AN ISSUE/SHARE TRANSFER AGENT
|
CANCELLED REGISTRATION AS REGISTRAR FROM 25-SEP-1997
05-JAN-1998
|
|
| 255 |
|
|
SANJAY KUMAR TAYAL
|
|
|
|
SINGLE POINT SECURITY SOLUTIONS PVT.LTD.
|
|
CONNECTED WITH THE KSL INDUSTRIES LTD. AND ITS DIRECTORS SANJAY K.TAYAL, PRAVIN K.TAYAL AND NAVIN K.TAYAL WHO STOOD DEBARRED FROM ACCESSING CAPITAL MARKET FOR A PERIOD OF 2 YEARS TILL JUNE 17, 2005
|
REJECTED APPLICATION FOR REGISTRATION AS SHARE TRANSFER AGENT
02-JUL-2004
|
|
| 256 |
|
|
SANKHYA MANAGEMENT SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-AUG-1998
03-DEC-1998
|
|
| 257 |
|
|
SANSEX MANAGEMENT CONSULTANTS (PVT.) LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-JAN-1998
04-MAR-1999
|
|
| 258 |
|
|
SARAYU ISSUE MANAGEMENT SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 15-MAY-1998
03-DEC-1998
|
|
| 259 |
|
|
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
|
|
| 260 |
|
|
SATELLITE 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
PROCESSED REQUEST FOR REMAT OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 18-NOV-2022 TO 17-FEB-2023
DIRECTED TO APPOINT AUDITOR BEFORE RESTORATION OF CERTIFICATE OF REGISTRATION AND CERTIFYING THAT SYSTEMS AND PROCEDURES ARE IN PLACE IN COMPLIANCE OF VARIOUS RULES AND REGULATIONS ADMINISTERED BY SEBI
DIRECTED TO CONDUCT OWN INDEPENDENT DUE DILIGENCE/AUDIT
28-OCT-2022
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 13 of 18
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