| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 361 |
|
PUNJAB FINANCIAL CORP.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-SEP-1998
27-NOV-1998
|
|
| 362 |
|
|
PUNJAB NATIONAL BANK
(PAN:AAACP0165G)
|
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE IN MATTER OF MEFCOM CAPITAL MARKETS LTD.
|
CENSURED PNB CAPITAL SERVICES LIMITED FOR VIOLATION OF CODE OF CONDUCT
18-FEB-2005
|
|
| 363 |
|
|
R.KANNAN
|
|
|
|
IMPERIAL CORPORATE FINANCE & SERVICES PVT.LTD.
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE IN RIGHTS ISSUE OF GAMMON INDIA LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-MAY-2003 TO 22-MAY-2003
10-APR-2003
|
SAT: IMPUGNED ORDER AND ORDER PASSED BY ENQUIRY OFFICER SET ASIDE, NO ORDER AS TO COSTS
|
| 364 |
|
|
RADICO KHAITAN FINANCE LTD.
(PAN:AABCR3652D)
|
|
|
DID NOT SUBMIT EMPLOYEE DATABASE
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 09-SEP-1998
08-OCT-1998
|
|
| 365 |
|
|
RAIYANI MANAGEMENT & FIN.SECURITIES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JUL-1998
27-AUG-1998
|
|
| 366 |
|
|
RAJASHREE FISCAL SERVICES LTD.
|
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF SAATAL KATTHA & CHEMICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2004 TO 12-JAN-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2004 TO 12-JAN-2007
13-JAN-2004
|
|
| 367 |
|
|
RAJASTHAN BANK FINANCIAL SERVICES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1998
26-FEB-1999
|
|
| 368 |
|
|
RAJASTHAN FINANCIAL CORP.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-NOV-1998
28-DEC-1998
|
|
| 369 |
|
|
RAMEGO PORTFOLIO (INDIA) LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-MAY-1998
09-JUN-1998
|
|
| 370 |
|
|
RAMESH LAKSHMAN & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-JUN-1998
27-JUL-1998
|
|
| 371 |
|
|
RAMILA N.DESAI
|
|
|
|
RAMILA N.DESAI,M/S
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-APR-1998
09-JUN-1998
|
|
| 372 |
|
|
RAMILA N.DESAI,M/S
|
|
|
|
RAMILA N.DESAI
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-APR-1998
09-JUN-1998
|
|
| 373 |
|
|
RANJAN AGARWAL
|
|
|
|
ATHERSTONE CAPITAL MARKETS LTD.
PAN:AAGCA1449J
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF ONELIFE CAPITAL ADVISORS LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 16/01/2013 CONFIRMED ITS DIRECTIONS ISSUED IN PARAGRAPHS 14.3, 14.4, 14.5, 14.6, 14.8 AND 14.9 OF EX-PARTE ORDER DATED 28/12/2011 READ WITH ORDER DATED 15/02/2012
|
| 374 |
|
|
RATAN S.MAMA & CO.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1999
26-MAR-1999
|
|
| 375 |
|
|
RATHI RESEARCH & SECURITIES SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-JUN-1998
27-JUL-1998
|
|
| 376 |
|
|
RAUNAQ FINANCE LTD.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 19-NOV-1997
28-DEC-1997
|
|
| 377 |
|
|
RBS EQUITIES (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN OBTAINING PRIOR APPROVAL FOR CHANGE IN STATUS OF CONSTITUTION I.E.INDIRECT CHANGE IN CONTROL AS REQUIRED UNDER REGULATION 9A(1) (A) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
13-MAY-2011
|
|
| 378 |
|
|
REALGROWTH FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 27-JUL-1998 TILL THE REMAINING PERIOD OF REGISTRATION
05-AUG-1998
|
|
| 379 |
|
|
REALGROWTH FINANCIAL SERVICES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1998
26-FEB-1999
|
|
| 380 |
|
|
REGENCY TRUST LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JAN-1999
26-FEB-1999
|
|
| 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 19 of 25
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