| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 461 |
|
UTSAV PAREKH
|
|
|
|
SMIFS CAPITAL MARKETS LTD.
|
|
VIOLATION BY SMIFS SECURITIES LTD. OF SEBI(PROHIBITION OF FRAUDULENT & UNFAIR TRADE PRACTICES RELATING TO SECURITIES MARKET) REGULATIONS IN THE CASE OF DSQ SOFTWARE LTD.AND SOUTH EAST ASIA MARINE ENGINEERING & CONSTRUCTION LTD.
IRREGULARITIES BY SMIFS SECURITIES LTD. IN ISSUANCE OF CONTRACT NOTES, NON-SEGREGATION OF CLIENT/OWN FUNDS ETC.
IRREGULARITIES IN TAKEOVER DIRECTIVES/INSTRUCTIONS/GUIDELINES IN MATTER OF BSL LTD. LEADING TO A CONSOLIDATED PENALTY OF RS.3 CRORE ON SMIFS CAPITAL MARKET LTD. AND ITS ASSOCIATES
ADMINISTRATIVE WARNING TO SMIFS CAPITAL MARKET LTD. IN THE MATTER OF KHSL INDUSTRIES LTD.
|
REJECTED APPLICATION FOR RENEWAL OF REGISTRATION AS MERCHANT BANKER
06-AUG-2004
|
SAT: IMPUGNED ORDER SET ASIDE AND DIRECTED SEBI TO RECONSIDER MATTER IN LIGHT OF AFFIDAVIT FILED BY APPLICANT AND IN THE LIGHT OF NEW POLICY
REJECTED APPLICATION DATED 10/12/2008 FOR RENEWAL OF CERTIFICATE OF REGISTRATION AS A MERCHANT BANKER AND DIRECTED TO STOP CARRYING ON THE ACTIVITIES AS A MERCHANT BANKER WITH IMMEDIATE EFFECT
|
| 462 |
|
|
UTTARANCHAL FINANCE LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1999
26-MAR-1999
|
|
| 463 |
|
|
V.K.BHANDARI
|
|
|
|
CENTRAL BANK OF INDIA
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE IN PUBLIC ISSUE OF SAATAL KATTHA & CHEMICALS LTD
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
03-SEP-2002
|
|
| 464 |
|
|
V.K.LADHA & ASSOCIATES
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1997
08-JAN-1998
|
|
| 465 |
|
|
V.K.NAIK
|
|
|
|
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
|
| 466 |
|
|
VANTAGE FINANCIAL SERVICES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1999
26-MAR-1999
|
|
| 467 |
|
|
VATSA CORP.LTD.
|
|
|
IRREGULARITIES IN PUBLIC ISSUE OF HITEK INDUSTRIES (BIHAR) LTD.
IRREGULARITIES IN BUYING, SELLING AND DEALING IN SCRIP OF HITEK INDUSTRIES (BIHAR) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2003 TO 11-AUG-2008
12-AUG-2003
|
|
| 468 |
|
|
VEER HARIA SECURITIES PVT.LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1999
26-MAR-1999
|
|
| 469 |
|
|
VENTURECORP CONSULTANTS PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1998
20-AUG-1998
|
|
| 470 |
|
|
VERTEX SECURITIES LTD.
(PAN:AAACV7979E)
|
|
|
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.3,00,000 VIDE CONSENT ORDER)
06-SEP-2011
|
|
| 471 |
|
|
VIDARBHA HOLDINGS LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1997
08-JAN-1998
|
|
| 472 |
|
|
VINAY MEHTA
|
|
|
|
ALMONDZ GLOBAL SECURITIES LTD.
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF BHARTIYA GLOBAL INFOMEDIA LTD.
DID NOT EXERCISE DUE DILIGENCE IN IPO OF PG ELECTROPLAST 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 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
SAT: SAT VIDE ITS ORDER DATED 07/10/2016 QUASHED THE REMAINING PUNISHMENT IMPOSED IN IMPUGNED ORDER DATED 13/05/2016 AND APPEAL PARTLY ALLOWED. DIRECTED REGISTRY TO INCORPORATE PARAGRAPHS 1A, 22A AND 64A, 64B AND 64C AFTER PARAGRAPHS 1, 22, 64 RESPECTIVELY, AND ISSUE A FRESH COPY OF THE ORDER DATED 13/05/2016 TO ALL THE PARTIES ACCORDINGLY. DISPOSED OFF REVIEW APPLICATION
|
| 473 |
|
|
VIPUL DINESH PAREKH
|
|
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
PAN:AAACP3045P
|
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
PAN:AAACE0308A
|
|
VIOLATED SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 474 |
|
|
VIPUL SECURITIES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1998
26-FEB-1999
|
|
| 475 |
|
|
VITAL LINK INVESTMENTS PVT.LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1999
26-MAR-1999
|
|
| 476 |
|
|
VIVRO FINANCIAL SERVICES PVT.LTD.
(PAN:AAACV5002E)
|
|
|
DID NOT EXERCISE DUE DILIGENCE WITH REGARD TO CONTENT OF ADVERTISEMENT RELATING TO DISPATCH OF COMPOSITE APPLICATION FORMS AND ABRIDGED LETTERS OF OFFER IN MATTER OF RIGHTS ISSUE OF RAM KAASHYAP INVESTMENT LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
20-DEC-2013
|
|
| 477 |
|
|
VLS SECURITIES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1999
26-MAR-1999
|
|
| 478 |
|
|
WELSPUN FINANCE LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-APR-1998
09-JUN-1998
|
|
| 479 |
|
|
WESTERN FINCAP LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-OCT-1998
08-OCT-1998
|
|
| 480 |
|
|
WINDSOR CAPITAL MARKET LTD.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 09-MAR-1998
19-DEC-1998
|
|
| 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 24 of 25
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