| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
SARTHI CAPITAL ADVISORS PVT.LTD.
(PAN:AARCS6417P)
|
|
|
DID NOT MAKE DISCLOSURE OF DEVIATION IN UTILIZATION OF FUNDS BY VIVO COLLABORATION SOLUTIONS LTD.
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
REPRESENTATIVES/EMPLOYEES/AUTHORISED PERSONS DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
|
IMPOSED PENALTY RS.15,00,000
22-MAR-2024
|
|
| 402 |
|
|
SB CAPITAL CONSULTANTS PVT.LTD.
|
|
|
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR CHANGE IN CONTROL IN TERMS OF PROVISIONS OF REGULATION 9A(1) (A) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992, CLAUSE 3 OF CODE OF CONDUCT AS SPECIFIED UNDER REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 AND SEBI CIRCULAR CIR/MIRSD/14/2011 DATED 02/08/2011
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2016
|
|
| 403 |
|
|
SBI CAPITAL MARKETS LTD.
(PAN:AAACS7914E)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF VITAL INFORMATION IN OFFER DOCUMENT FOR PURCHASE OF 6,25,000 EQUITY SHARES OF KAR MOBILES LTD.VIOLATING REGULATIONS 16(XIX),24(4) AND 24(5) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
11-FEB-2010
|
|
| 404 |
|
|
SBI CAPITAL MARKETS LTD.
(PAN:AAACS7914E)
|
|
|
DELIBERATELY SUPPRESSED CRUCIAL MATERIAL FACTS CONCERINING ENTRY DIRECTIVES/INSTRUCTIONS/GUIDELINES FOR PARTICIPATION BY NON-RESIDENT INVESTORS IN AN INDIAN COMPANY VIOLATING CLAUSE 1 OF FORM C OF SCHEDULE VI OF REGULATIONS 8(2)(B), 57(1), 57(2)(A)(II) AND 64(1) OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INITIAL PUBLIC OFFER OF CREDIT ANALYSIS & RESEARCH LTD.
DELIBERATELY SUPPRESSED CRUCIAL MATERIAL FACTS CONCERINING ENTRY DIRECTIVES/INSTRUCTIONS/GUIDELINES FOR PARTICIPATION BY NON-RESIDENT INVESTORS IN AN INDIAN COMPANY VIOLATIING CLAUSES 1, 4, 6, 7 AND 20 OF CODE OF CONDUCT FOR MERCHANT BANKERS AS SPECIFIED IN SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF INITIAL PUBLIC OFFER OF CREDIT ANALYSIS & RESEARCH LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-NOV-2014
|
SAT: SAT VIDE ITS ORDER DATED 04/10/2016 MODIFIED ITS EARLIER ORDER DATED 30/09/2016 AS “PER MAJORITY: AS PER MAJORITY DECISION, THE APPEAL IS ALLOWED AND THE IMPUGNED ORDER IS SET ASIDE WITH NO ORDER AS TO COSTS. “PER MINORITY: AS PER MINORITY DECISION, THE APPEAL IS DISMISSED AND THE IMPUGNED ORDER IS UPHELD WITH NO OTDER AS TO COTS.”
|
| 405 |
|
|
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
|
|
| 406 |
|
|
SBI CAPITAL MARKETS LTD.
(PAN:AAACS7914E)
|
|
|
DID NOT MAKE DISCLOSURE IN RHP REGARDING REJECTION OF PROPOSAL OF FOREST DIVERSION OF ITS IRON ORE MINE BY MINISTRY OF ENVIRONMENT AND FOREST (MOEF) VIOLATING REGULATION 57(1), 57(2) (A) (II) AND 64 (1) OF SEBI (ICDR REGULATIONS), 2009 AND REGULATION 13 OF THE MERCHANT BANKERS REGULATIONS, 1992 IN MATTER OF IPO OF ELECTROCSTEEL CASTINGS LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAR-2016
|
SAT: SAT VIDE ITS ORDER DATED 14/11/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.50 LACS FROM RS.1.0 CRORE TO BE PAID JOINTLY AND SEVERALLY BY THE APPELLANTS
|
| 407 |
|
|
SEENOL FINANCE & INVESTMENT PVT.LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-NOV-1998
28-DEC-1998
|
|
| 408 |
|
|
SHAH JADAVJI & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1997
08-JAN-1998
|
|
| 409 |
|
|
SHAILESH SWAMY
|
|
|
|
JOLLY LEASING & FINSTOCK LTD.
|
|
ACCEPTED APPLICATIONS ACCOMPANIED BY ANTE-DATED STOCKINVESTS AFTER CLOSURE OF ISSUE AND ALLOTED SHARES IN PUBLIC ISSUE OF ELVIS INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2002 TO 29-SEP-2004
16-SEP-2002
|
|
| 410 |
|
|
SHANKAR SHARMA
|
|
|
|
FIRST GLOBAL FINANCE PVT.LTD.
PAN:AAACF0660J
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 25-MAY-2001 TILL ENQUIRY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2001 TILL ENQUIRY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2001 TILL ENQUIRY
25-MAY-2001
|
SAT: APPEAL DISMISSED
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES AND FROM ACCESSING IN SECURITIES MARKET IN ANY MANNER FOR A PERIOD OF ONE YEAR I.E. 12/03/2009
SAT: REVIEW APPLICATION DATED 13/07/2010 DISMISSED VIDE ORDER DATED 13/07/2010
SAT: APPEAL FAILED AND DISMISSED LEAVING PARTIES TO BEAR THEIR OWN COSTS
SAT: PRAYER FOR INTERIM STAY GRANTED EARLIER MAY BE ALLOWED TO CONTINUE FOR SOME MORE TIME DECLINED AND DISMISSED, AS PER ORDER DATED 19/03/2010
|
| 411 |
|
|
SHANTERI INVESTMENT PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1998
20-AUG-1998
|
|
| 412 |
|
|
SHAPOORJI PALLONJI FINANCE LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-MAY-1998
09-JUN-1998
|
|
| 413 |
|
|
SHARP & TANNAN ASSOCIATES
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1997
08-JAN-1998
|
|
| 414 |
|
|
SHREE FINANCIAL SERVICES
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1997
08-JAN-1998
|
|
| 415 |
|
|
SHRIYAM BROKING INTERMEDIARY LTD.
|
|
|
DID NOT EXERCISE INDEPENDENT PROFESSIONAL JUDGMENT IN ENSURING THAT ISSUER RECAST ITS ACCOUNTS
DID NOT EXERCISE DUE DILIGENCE TO ENSURE THAT REGISTRAR DELIVERS SHARE CERTIFICATES TO ALLOTTEES BY REGISTERED POST
FACILITATED CONCENTRATION OF HUGE HOLDING WITH THE PROMOTERS/DIRECTORS AND CREATED CONDITIONS FOR PRICE RIGGING IN SCRIP OF HOME TRADE LTD.
DID NOT ENSURE THAT BASIS OF ALLOTMENT WAS DONE IN FAIR AND EQUITABLE MANNER BY ALLOTTING SHARES TO SANJAY AGGARWAL, N.S.TRIVEDI, KETAN SHETH AND SUBODH BHANDARI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 26-NOV-2003 TO 25-JAN-2004
05-NOV-2003
|
|
| 416 |
|
|
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
|
|
| 417 |
|
|
SICOM LTD.
(PAN:AAACS5524J)
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JAN-1999
26-FEB-1999
|
|
| 418 |
|
|
SIDH GLOBAL EQUITY FUND LTD.
|
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF BARODA AGRO INDUSTRIES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
REGISTRATION EXPIRED
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-APR-2004 TO 22-APR-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2004 TO 22-APR-2007
23-APR-2004
|
|
| 419 |
|
|
SKI CAPITAL SERVICES LTD.
(PAN:AAACS4864K)
|
|
|
DID NOT INDEPENDENTLY EXERCISE DUE DILIGENCE OF ALL DISCLOSURES IN PRIVATE PLACEMENT MEMORANDUM (PPM), SATISFY ITSELF W.R.T. VERACITY AND ADEQUACY OF DISCLOSURES AND MADE INCORRECT SUBMISSION TO SEBI WITHOUT VERIFYING THE FACTS PERTAINING TO DISCIPLINARY HISTORY OF THE FUND MANAGER
|
IMPOSED PENALTY RS.3,00,000
28-NOV-2024
|
|
| 420 |
|
|
SMC CAPITALS LTD.
(PAN:AABCS3706R)
|
|
|
DID NOT ISSUE CORRIGENDUM FOR RECTIFYING ALL ERRORS IN OFFER DOCUMENT OF PUBLIC ISSUE OF NCDS OF KOSAMATTAM FINANCE LTD. VIOLATING CLAUSE 4 OF SCHEDULE III CODE OF CONDUCT READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DELAY IN SUBMISSION OF CORRIGENDUM TO THE OFFER DOCUMENT TO STOCK EXCHANGE IN PUBLIC ISSUE OF NCDS OF KOSAMATTAM FINANCE LTD. VIOLATING OF CLAUSE 4 OF SCHEDULE III CODE OF CONDUCT READ WITH REGULATION 13 OF OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2023
|
SAT: SAT VIDE ITS ORDER DATED 13/10/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 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 21 of 25
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