| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
ITI CAPITAL MARKETS LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 26-APR-1999
26-APR-1999
|
|
| 122 |
|
|
J.K.INVESTMENTS
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 18-OCT-1999
18-OCT-1999
|
|
| 123 |
|
|
JAIN MANAGEMENT CONSULTANTS PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-DEC-1997
03-DEC-1998
|
|
| 124 |
|
|
JAIN MANAGEMENT CONSULTANTS PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-DEC-1997
11-FEB-1998
|
|
| 125 |
|
|
JANAPRIYA LEASING & HIRE PURCHASE LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 28-JUL-2000
28-JUL-2000
|
|
| 126 |
|
|
JARDINE HENDERSON LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 10-JAN-2000
10-JAN-2000
|
|
| 127 |
|
|
JAYESH MERCHANT
|
|
|
|
SINGLE POINT SECURITY SOLUTIONS PVT.LTD.
|
|
CONNECTED WITH THE KSL INDUSTRIES LTD. AND ITS DIRECTORS SANJAY K.TAYAL, PRAVIN K.TAYAL AND NAVIN K.TAYAL WHO STOOD DEBARRED FROM ACCESSING CAPITAL MARKET FOR A PERIOD OF 2 YEARS TILL JUNE 17, 2005
|
REJECTED APPLICATION FOR REGISTRATION AS SHARE TRANSFER AGENT
02-JUL-2004
|
|
| 128 |
|
|
JAYKAY ENTERPRISES LTD.
(PAN:AAACJ4988M)
|
|
|
DID NOT ENTER INTO AGREEMENT/TRIPARTITE AGREEMENT IN RESPECT OF APPOINTMENT/CHANGE IN REGISTRAR TO AN ISSUE & SHARE TRANSFER AGENT
DID NOT PROCESS REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DID NOT PROCESS REQUEST FOR CHANGE OF ADDRESS
DID NOT PROCESS REQUEST FOR BANK ACCOUNT DETAILS
DID NOT PROCESS REQUEST FOR TRANSFER RE-LODGEMENT
DID NOT PROCESS DIVIDEND REVALIDATION REQUEST IN ADHERENCE TO REGULATIONS/CIRCULARS ETC.
DID NOT ADHERE TO REQUIREMENT OF BUSINESS CONTINUITY PLAN & DISASTER RECOVERY PREPAREDNESS
|
IMPOSED PENALTY RS.10,00,000
09-NOV-2023
|
|
| 129 |
|
|
KARVY COMPUTERSHARE PVT.LTD.
(PAN:AACCK2193D)
|
|
|
ACCEPTED CANCELLATION OF REDEMPTION APPLICATION OF TAURUS MUTUAL FUND EVEN AFTER DECLARATION OF NAV AND BEFORE PAYMENT OF PROCEEDS VIOLATING REGULATIONS 3(A) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TAURUS MUTUAL FUND
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 13 READ WITH CLAUSES 1 TO 3 OF CODE OF CONDUCT UNDER SCHEDULE III OF SEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993 IN MATTER OF TAURUS MUTUAL FUND
|
IMPOSED PENALTY RS.1,50,00,000
22-DEC-2021
|
|
| 130 |
|
|
KARVY COMPUTERSHARE PVT.LTD.
(PAN:AACCK2193D)
|
|
|
ACTED IN CONCERT WITH GROUP ENTITIES TO MANIPULATE IPOS OF VARIOUS COMPANIES
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
|
ALLOWED TO ACT AS REGISTRAR TO ISSUE AND SHARE TRANSFER AGENT IN CASE OF MUTUAL FUNDS
DIRECTED THAT INTERIM ORDER DATED 27/04/2006 READ WITH 26/05/2006 WILL REMAIN IN FORCE TILL FINAL ORDER PASSED BY SEBI
ALLOWED TO ACT AS REGISTRAR TO ISSUE AND SHARE TRANSFER AGENT W.E.F. 22/02/2007
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE AND CASE REMANDED TO SEBI WITH A DIRECTION TO PASS THREE SEPARATE ORDERS
|
| 131 |
|
|
KARVY CONSULTANTS LTD.
(PAN:AAACK4247L)
|
|
|
|
RAMASWAMY
|
|
|
S.G.SUBRAMANIAN
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE IN PUBLIC ISSUE OF RAJESH EXPORTS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-OCT-2002
|
|
| 132 |
|
|
KASCH CONSULTANTS
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-DEC-1997
11-FEB-1998
|
|
| 133 |
|
|
KASCH CONSULTANTS
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-DEC-1997
03-DEC-1998
|
|
| 134 |
|
|
KFIN TECHNOLOGIES LTD.
(PAN:AAGCK6303B)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE WHILE PROCESSING REQUEST FOR DEMATERIALISATION OF SHARES
ALLEGED FAILURE IN MARKING FOLIOS NOT HAVING PAN OR BANK ACCOUNT DETAILS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.87,75,000 VIDE CONSENT ORDER)
26-AUG-2025
|
|
| 135 |
|
|
KFIN TECHNOLOGIES LTD.
(PAN:AAGCK6303B)
|
|
|
ALLEGED DISCREPANCIES OBSERVED IN ITS INWARD SYSTEM
ALLEGED DELAY IN PROCESSING OF TRANSFER AND TRANSMISSION REQUESTS
ALLEGED DELAY IN ISSUANCE OF DUPLICATE SHARE CERTIFICATE
ALLEGED DISCREPANCIES IN ISSUANCE OF DUPLICATE SHARE CERTIFICATE
ALLEGED FAILURE IN ISSUANCE OF LETTERS TO COLLECT BANK DETAILS OF SHAREHOLDERS
ALLEGED MISREPRESENTATION OF FACTS TO SEBI REGARDING AVAILABILITY OF SPECIMEN SIGNATURE OF SHAREHOLDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.91,20,000 VIDE CONSENT ORDER)
04-NOV-2022
|
|
| 136 |
|
|
KNACK CORPORATE SERVICES PVT.LTD.
|
|
|
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING CLAUSES 1,2,3,6,17 AND 18 OF CODE OF CONDUCT SEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 29-NOV-2012 TO 28-FEB-2013
08-NOV-2012
|
|
| 137 |
|
|
KNACK CORPORATE SERVICES PVT.LTD.
|
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 13 WITH CLAUSES 2 AND 3 OF CODE OF CONDUCT UNDER SCHEDULE 111 OF SEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993
|
CANCELLED REGISTRATION AS REGISTRAR FROM 29-JUN-2015
29-JUN-2015
|
|
| 138 |
|
|
KOSIAN FINANCE LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 30-NOV-1997
11-FEB-1998
|
|
| 139 |
|
|
KUMAR FINANCIAL & ALLIED SERVICES PVT.LTD.
(CIN:U99999MH1993PTC074781)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 26-NOV-1998
26-NOV-1998
|
|
| 140 |
|
|
KUNDAN LEASING & FINVEST PVT.LTD.
(PAN:AAACK7448R)
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 25-AUG-1999
25-AUG-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 7 of 18
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