| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ALMONDZ GLOBAL SECURITIES LTD.
|
|
|
|
SANJAY DEWAN
|
|
|
VINAY MEHTA
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF PG ELECTROPLAST LTD.
DID NOT EXERCISE DUE DILIGENCE IN IPO OF BHARTIYA GLOBAL INFOMEDIA 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
|
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO SEBI TO PASS APPROPRIATE ORDER WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER. IN CASE NO SUCH ORDER IS PASSED EX-PARTE INTERIM ORDER SHALL STAND VACATED. NO COSTS
SEBI VIDE ITS ORDER DATE 11/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 03/03/2014 PROHIBITED NOTICEES FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPOS, FOLLOW-ON ISSUES ETC. IN SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF SIX MONTHS FROM THE DATE OF THIS ORDER. FURTHER DURING THIS PERIOD NOTICEES SHALL NOT TAKE ANY ASSIGNMENT OR INVOLVEMENT IN BUY-BACKS, OPEN OFFERS OR DELISTING OF SECURITIES
SEBI VIDE ITS ORDER DATED 21/03/2014 PROHIBITED NOTICEES FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPOS, FOLLOW-ON ISSUES ETC. IN SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF FIVE YEARS FROM THE DATE OF THIS ORDER. FURTHER DURING THIS PERIOD NOTICEES SHALL NOT TAKE ANY ASSIGNMENT OR INVOLVEMENT IN BUY-BACKS, OPEN OFFERS OR DELISTING OF SECURITIES. PERIOD OF PROHIBITION ALREADY UNDERGONE SHALL BE TAKEN INTO ACCOUNT FOR THE PURPOSE OF COMPUTING THE PERIOD OF PROHIBITION
SEBI VIDE ITS ORDER DATE 21/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 11/04/2014 SUSPENDED CERTIFICATE OF REGISTRATION FOR A PERIOD OF SIX MONTHS, WHICH SHALL RUN CONCURRENTLY WITH, THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 03/03/2014
SAT: APPEAL DISMISSED AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 13/05/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 20/01/2015. APPEAL ALLOWED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 13/05/2016 QUASHED REMNANT PUNISHMENT IMPOSED VIDE IMPUGNED ORDER DATED 03/03/2014. APPEAL PARTLY ALLOWED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 13/05/2016 QUASHED REMNANT PUNISHMENT IMPOSED VIDE IMPUGNED ORDER DATED 21/03/2014. THUS, APPEAL NOS.275, 276, 301 OF 2014 AND 207 OF 2015 ARE PARTLY ALLOWED. NO COSTS
|
| 22 |
|
|
ALTINA FINANCE PVT.LTD.
(PAN:AAACM5825C)
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JAN-1999
26-FEB-1999
|
|
| 23 |
|
|
ALTIUS FINSERV PVT.LTD.
(PAN:AAACU3953D)
|
|
|
|
PAWAN BANSAL
PAN:ACFPB2226A
|
|
DID NOT ADHERE TO ELIGIBILITY CRITERIA OF BEING ‘FIT AND PROPER PERSON’ IN ACCORDANCE WITH PROVISIONS OF CLAUSE 28 OF CODE OF CONDUCT IN SCHEDULE III READ WITH REGULATION 13 OF MERCHANT BANKERS REGULATIONS
|
ANY APPLICATION OF ALTIUS FINSERV PVT.LTD. WILL NOT BE CONSIDERED BY SEBI FOR RENEWAL OF CERTIFICATE OF REGISTRATION TO ACT AS AN INTERMEDIARY IN ANY CAPACITY
17-MAR-2016
|
SAT: SAT VIDE ITS ORDER DATED 09/05/2016 GIVEN LIBERTY TO APPELLANTS TO MAKE A REPRESENTATION TO SEBI WITHIN ONE WEEK FROM THE DATE OF THIS ORDER AND IF SUCH A REPRESENTATION IS MADE WITHIN ONE WEEK FROM DATE OF THIS ORDER, DIRECTED SEBI TO CONSIDER THE REPRESENTATION AND AFTER HEARING APPELLANTS PASS AN ORDER IN ACCORDANCE WITH LAW WITHIN A PERIOD OF TWO WEEKS THEREAFTER. NO COSTS
|
| 24 |
|
|
AMERICAN FISCAL SERVICES PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 10-JUN-1998
18-JUN-1998
|
|
| 25 |
|
|
AMERICAN FISCAL SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-SEP-1998
27-NOV-1998
|
|
| 26 |
|
|
AMRUT CREDIT CORP.(INDIA) LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1998
20-AUG-1998
|
|
| 27 |
|
|
ANAGRAM FINANCE LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JAN-1999
26-FEB-1999
|
|
| 28 |
|
|
ANAND RATHI ADVISORS LTD.
(PAN:AAACS6836P)
|
|
|
DID NOT MAKE DISCLOSURE OF ICD IN IPO OFFER DOCUMENT DR.DATSONS LAB LTD. VIOLATING REGULATION 64(1) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT MAKE DISCLOSURE OF ICD IN IPO OFFER DOCUMENT DR.DATSONS LAB LTD. VIOLATING REGULATION 13 READ WITH CLAUSES 1 TO 4, 6 TO 7 AND 21 OF CODE OF CONDUCT FOR MERCHANT BANKERS SPECIFIED IN SCHEDULE III OF MERCHANT BANKERS REGULATIONS, 1992
|
IMPOSED PENALTY RS.5,00,000
31-JUL-2018
|
|
| 29 |
|
|
ANTHER FINANCE & CONSULTANCY PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JUL-1998
27-AUG-1998
|
|
| 30 |
|
|
APEEJAY FINANCE GROUP LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-MAY-1998
09-JUN-1998
|
|
| 31 |
|
|
APEKSHA SECURITIES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 10-JUN-1998
18-JUN-1998
|
|
| 32 |
|
|
ARATI SHAH & ASSOCIATES
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JUN-1998
27-JUL-1998
|
|
| 33 |
|
|
ARIHANT CAPITAL MARKETS LTD.
(PAN:AABCA6832G)
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-SEP-1998
27-NOV-1998
|
|
| 34 |
|
|
ARUN FINTRADE LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-AUG-1998
06-OCT-1998
|
|
| 35 |
|
|
ARUN FINTRADE LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 31-AUG-1998 TILL THE REMAINING PERIOD OF REGISTRATION
08-SEP-1998
|
|
| 36 |
|
|
ARYAMAN FINANCIAL SERVICES LTD.
(PAN:AABCA1376P)
|
|
|
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY, DIGNITY AND FAIRNESS IN CONDUCT OF BUSINESS WHILE FILING DRAFT OFFER DOCUMENT IN MATTER OF PROPOSED PUBLIC ISSUE OF GURUKUL TECHNOLOGIES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
06-MAR-2007
|
|
| 37 |
|
|
ARYAMAN FINANCIAL SERVICES LTD.
(PAN:AABCA1376P)
|
|
|
AIDED AND ABETTED FUND FLOW CONDUITS IN SIPHONING OFF IPO PROCEEDS OF MIDVALLEY ENTERTAINMENT LTD.
DID NOT CARRY OUT PROPER DUE DILIGENCE WITH RESPECT TO INFORMATION AND DECLARATION IN RHP/PROSPECTUS IN IPO OF MIDVALLEY ENTERTAINMENT LTD. VIOLATING REGULATION 13 READ WITH CLAUSES 4, 6 AND 7 OF SCHEDULE III OF CODE OF CONDUCT OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DID NOT CARRY OUT PROPER DUE DILIGENCE WITH RESPECT TO INFORMATION AND DECLARATION IN RHP/PROSPECTUS IN IPO OF MIDVALLEY ENTERTAINMENT LTD. VIOLATING REGULATION 64(1) OF SEBI (ICDR) REGULATIONS, 2009
|
PROHIBITED FROM TAKING UP ANY NEW CLIENTS OR ASSIGNMENTS AS A MERCHANT BANKER FROM 11-MAR-2020 TO 10-JUN-2020
11-MAR-2020
|
|
| 38 |
|
|
ARYAMAN FINANCIAL SERVICES LTD.
(PAN:AABCA1376P)
|
|
|
ALLEGED INDULGENCE IN VIOLATION OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN VIOLATION OF SEBI TAKEOVER CODE, 1997
ALLEGED INDULGENCE IN VIOLATION OF SEBI (BUY-BACK OF SECURITIES) REGULATIONS, 1998
ALLEGED INDULGENCE IN VIOLATION OF SEBI ACT, 1992
ALLEGED INDULGENCE IN SEBI (MERCHANT BANKER) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
02-SEP-2009
|
|
| 39 |
|
|
ARYAMAN FINANCIAL SERVICES LTD.
(PAN:AABCA1376P)
|
|
|
DID NOT CONDUCT INDEPENDENT DUE DILIGENCE WITH RESPECT TO DISCLOSURES MADE IN LETTER OF OFFER REGARDING EDUCATIONAL QUALIFICATIONS OF ACQUIRERS
DID NOT UPDATE CODE OF CONDUCT ADOPTED UNDER SCHEDULE B AND SCHEDULE C OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,00,000
31-MAY-2024
|
|
| 40 |
|
|
ARYAMAN FINANCIAL SERVICES LTD.
(PAN:AABCA1376P)
|
|
|
DID NOT ENSURE APPROPRIATE CLASSIFICATION OF PROMOTERS IN OFFER DOCUMENT/PROSPECTUS
|
IMPOSED PENALTY RS.1,00,000
29-DEC-2023
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 25
|
