| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
BUSINESS DEVELOPMENT BUREAU (PUNE) PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
CANCELLED REGISTRATION AS REGISTRAR FROM 26-APR-1999
26-APR-1999
|
|
| 42 |
|
|
BUSINESS EFFICIENCY SERVICES INDIA PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 15-DEC-1997
11-FEB-1998
|
|
| 43 |
|
|
BUSINESS EFFICIENCY SERVICES INDIA PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 15-DEC-1997
03-DEC-1998
|
|
| 44 |
|
|
BUSINESS EQUIPMENT LEASING CO.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 28-FEB-1998
04-MAR-1999
|
|
| 45 |
|
|
C.B.C.COMPUTERS
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-MAY-1998
03-DEC-1998
|
|
| 46 |
|
|
CALCUTTA COMPROSCENT INFOTECH LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 11-MAR-1999
11-MAR-1999
|
|
| 47 |
|
|
CAMEO CORPORATE SERVICES LTD.
(CIN:U67120TN1998PLC041613
PAN:AABCC1754B)
|
|
|
FAILED IN MAINTAINING PROPER RECORD OF PREPRINTED STATIONERY I.E. SHARE CERTIFICATES IN MATTER OF PENTAMEDIA GRAPHICS LTD.
|
IMPOSED PENALTY RS.1,50,000
30-NOV-2009
|
SAT: SAT VIDE ITS ORDER DATED 21/06/2017 ALLOWED THE APPELLANT TO WITHDRAWN THE APPEAL AS ALSO MISC. APPLICATION. NO COSTS
|
| 48 |
|
|
CAMEO CORPORATE SERVICES LTD.
(CIN:U67120TN1998PLC041613
PAN:AABCC1754B)
|
|
|
DID NOT EXERCISE PROPER DUE DILIGENCE WHILE PROCESSING VARIOUS REQUESTS RECEIVED FROM CLAIMANTS/IMPOSTERS VIOLATING CLAUSES 2, 3 AND 16 OF CODE OF CONDUCT IN SCHEDULE III OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 18-OCT-2019
18-OCT-2019
|
SEBI VIDE ITS ORDER DATED 07/11/2019 A) CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 18/10/2019 B) DIRECTED SEBI TO CARRY OUT A SPECIAL PURPOSE INSPECTION TO INSPECT BOOKS OF ACCOUNTS INCLUDING DUE DILIGENCE ADOPTED BY NOTICEE IN RESPECT OF UNCLAIMED SHARES, PROCEDURE BEING FOLLOWED FOR ISSUE OF DUPLICATE SHARES, STEPS TAKEN BY THE NOTICEE WITH REGARD TO RECTIFICATION OF REGISTER OF MEMBERS PERTAINING TO WRONG TRANSFER OF SHARES ETC. WITHIN NINETY DAYS FROM DATE OF THIS ORDER. INTERIM ORDER SHALL CONTINUE TILL THE EXPIRY OF NINETY DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 26/11/2019 PARTLY ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 18/10/2019 IN SO FAR AS IT RESTRAINED THE APPELLANT FROM ACCEPTING FRESH CLIENTS. NO COSTS
|
| 49 |
|
|
CAMEO CORPORATE SERVICES LTD.
(CIN:U67120TN1998PLC041613
PAN:AABCC1754B)
|
|
|
|
R.D.RAMASWAMY
|
|
|
R.RAVI
|
|
ALLOTTED SHARES IN PHYSICAL FORM INSTEAD OF DEMAT FORM
|
IMPOSED PENALTY RS.7,00,000
30-JUN-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.50,0000 FROM RS.7,00,000
|
| 50 |
|
|
CB MANAGEMENT SERVICES PVT.LTD.
(PAN:AABCC1781C)
|
|
|
DID NOT PRESERVE DOCUMENTS ON THE BASIS OF WHICH DUPLICATE SHARE CERTIFICATES WERE ISSUED
REQUEST FOR REMATERIALIZATION OF SHARES WERE EXECUTED (ACCEPTED AND REJECTED) BEYOND 30 DAYS OF SUCH REQUESTS
DID NOT HAVE ANY INTERNAL CONTROL SYSTEM IN RESPECT OF DESTRUCTION OF PHYSICAL SHARES AFTER THEY WERE DEMATERIALIZED
DID NOT MAINTAIN PROPER RECORDS IN RESPECT OF REJECTION OF SHARES SENT BY INVESTORS FOR DEMATERIALIZATION
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2011
|
|
| 51 |
|
|
CB MANAGEMENT SERVICES PVT.LTD.
(PAN:AABCC1781C)
|
|
|
DID NOT MAINTAIN SPECIMEN SIGNATURES OF SHAREHOLDER HOLDING SHARES IN PHYSICAL FORM
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DELAY IN PROCESSING OF TRANSMISSION OF SHARES
|
IMPOSED PENALTY RS.3,00,000
30-AUG-2022
|
|
| 52 |
|
|
CB MANAGEMENT SERVICES PVT.LTD.
(PAN:AABCC1781C)
|
|
|
DRAFT AGREEMENT AS PRESCRIBED BY SEBI TAMPERED IN ITS AGREEMENT WITH EXIDE INDUSTRIES LTD.
DID NOT MAINTAIN SYSTEM LOGS CONTAINING RECORDS OF CHANGES CARRIED OUT IN FOLIO
DID NOT ENABLE SYSTEM BASED ALERTS OR POP-UPS WITH RESPECT TO FOLIOS WITH DIVIDENDS UNPAID FOR MORE THAN THREE YEARS
DID NOT MAINTAIN PHYSICAL REGISTER TO RECORD DESTRUCTION OF DOCUMENTS
|
IMPOSED PENALTY RS.4,00,000
28-FEB-2025
|
|
| 53 |
|
|
CB MANAGEMENT SERVICES PVT.LTD.
(PAN:AABCC1781C)
|
|
|
DELAY IN PROCEESING OF TRANSMISSION REQUESTS OF SHARES OF EASTERN INVESTMENTS LTD. VIOLATING CLAUSE 2 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 13 OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DID NOT SEND INTIMATION TO EXCHANGE (S) IN RESPECT OF ISSUANCE OF DUPLICATE SHARES OF 15 COMPANIES VIOLATING CLAUSE 2 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 13 OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DELAY IN SENDING INTIMATION TO EXCHANGE (S) IN RESPECT OF ISSUANCE OF DUPLICATE SHARES OF 2 COMPANIES VIOLATING CLAUSE 2 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 13 OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DELAY IN EFFECTING REQUEST FOR CHANGE OF ADDRESS AND BANK DETAILS ETC. VIOLATING CLAUSE 1(A) OF SCHEDULE I TO DRAFT OF AGREEMENT BETWEEN SHARE TRANSFER AGENT AND COMPANY SPECIFIED VIDE RTI CIRCULAR NO.1 (94-95) DATED 11/10/1994
DID NOT TAKE ACTION/REDRESSED INVESTOR’S GRIEVANCES WITHIN STIPULATED TIME VIOLATING REGULATION 9(A) (E) OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DID NOT PROCESS REQUESTS OF TRANSFER, DEMAT, REMAT, DUPLICATE ETC. FROM SHARESHOLDERS VIOLATING REGULATION 14(3) (C) OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993 READ WITH INSTRUCTION 2 (VII) OF RTI CIRCULAR NO.1 (94-95) DATED 11/10/1994
|
IMPOSED PENALTY RS.11,00,000
13-FEB-2017
|
SAT: SAT VIDE ITS ORDER DATED 26/06/2018 DISPOSED OFF APPEAL AND MISC.APPLICATION. GRANTED APPROVAL UNDER SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATIONS, 2014 FOR SETTLEMENT. NO COSTS
|
| 54 |
|
|
CGS FINANCIAL SERVICES PVT.LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 25-AUG-1999
25-AUG-1999
|
|
| 55 |
|
|
COASTAL SECURITIES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-JAN-1998
04-MAR-1999
|
|
| 56 |
|
|
COIMBATORE CAPITAL MARKET SERVICES LTD.
|
|
|
REGISTRATION EXPIRED ON 15.12.99
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 15-DEC-1999
15-SEP-2000
|
|
| 57 |
|
|
COMPULEC CORP.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 21-MAR-2000
21-MAR-2000
|
|
| 58 |
|
|
COMPUQUICK DATAMATION (INDIA) LTD.
|
|
|
|
NALIN P.PATEL
|
|
|
PARAGI N.PATEL
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF DHANLAXMI LEASE FINANCE LTD. (MULTIPLE AND BENAMI APPLICATIONS, INCOMPLETE APPLICATIONS, APPLICATIONS ACCEPTED AFTER CLOSURE OF THE ISSUE ETC.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-JUL-2009
|
|
| 59 |
|
|
COMPUTECH SHARECAP LTD.
|
|
|
DID NOT FILE HALF YEARLY REPORTS TO SEBI VIOLATING OF SEBI CIRCULAR NO.CIR/MIRSD/7/2012 DATED 05/07/2012
DELAY IN FILING HALF YEARLY REPORTS TO SEBI VIOLATING OF SEBI CIRCULAR NO.CIR/MIRSD/7/2012 DATED 05/07/2012
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT MAINTAIN AND FURNISH THE RECORDS VIOLATING CLAUSE 2, 16, 17, 18 AND 20 OF CODE OF CONDUCT PRESCRIBED UNDER SCHEDULE III READ WITH REGULATIONS 13 AND 18 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
|
CANCELLED REGISTRATION AS REGISTRAR FROM 12-JUL-2021 TO 11-AUG-2021
11-JUN-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/07/2021 ALLOWED RESPONDENT TO THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANTIME, IF APPELLANT DEPOSITS RS.25 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER BEFORE THE RESPONDENT, EFFECT AND OPERATION OF IMPUGNED ORDER WILL BE REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 06/09/2021 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
|
| 60 |
|
|
COMPUTER SYNERGETICS
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 28-FEB-1998
03-DEC-1998
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 18
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