| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
21ST CENTURY MANAGEMENT SERVICES LTD.
|
|
|
DID NOT EXERCISE DUE DILIGENCE IN MATTER OF INDO FRENCH BIOTECH ENTERPRISES
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 09-SEP-1998
09-SEP-1998
|
|
| 2 |
|
|
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
|
| 3 |
|
|
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
|
|
| 4 |
|
|
ATHERSTONE CAPITAL MARKETS LTD.
(PAN:AAGCA1449J)
|
|
|
|
GURUNATH MUDLAPUR
|
|
|
RANJAN AGARWAL
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF ONELIFE CAPITAL ADVISORS 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
|
SEBI VIDE ITS ORDER DATED 16/01/2013 CONFIRMED ITS DIRECTIONS ISSUED IN PARAGRAPHS 14.3, 14.4, 14.5, 14.6, 14.8 AND 14.9 OF EX-PARTE ORDER DATED 28/12/2011 READ WITH ORDER DATED 15/02/2012
|
| 5 |
|
|
CHARTERED CAPITAL & INVESTMENT LTD.
(PAN:AAACC6247L)
|
|
|
|
MANOJ KUMAR RAMRAKHYANI
PAN:AGFPR0472E
|
|
|
MOHIB NOMAN KHERICHA
PAN:AGMPK8152H
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF RDB RASAYANS 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 BOARD TO COMPLETE THE INVESTIGATION, QUA THE APPELLANTS, WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATE 07/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 6 |
|
|
D & A FINANCIAL SERVICES PVT.LTD.
|
|
|
|
DINESH R.KAUSHIK
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF BROOKS LABORATORIES 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 01-JUL-2014 TO 30-JUN-2019
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN BUY-BACK OF SECURITIES UNDER SEBI (BUY-BACK OF SECURITIES) REGULATIONS 1998, OPEN OFFERS UNDER SEBI (SAST) REGULATIONS, 2011 AND DELISTING OF SECURITIES UNDER SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 FROM 01-JUL-2014 TO 30-JUN-2019
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 05/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO SEBI TO COMPLETE THE INVESTIGATION QUA THE APPELLANTS BY NOVEMBER 30, 2012. NO COSTS
|
| 7 |
|
|
DOOGAR & ASSOCIATES LTD.
|
|
|
DID NOT ISSUE ADVERTISEMENT FOR PUBLIC ANNOUNCEMENT FOR ACQUISITION OF SHARES OF KAYCEE INDUSTRIES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 17-OCT-2003 TO 16-NOV-2003
05-NOV-2003
|
|
| 8 |
|
|
FIRST GLOBAL FINANCE PVT.LTD.
|
|
|
|
DEVINA MEHRA
|
|
|
SHANKAR SHARMA
|
|
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
|
| 9 |
|
|
GLOBAL FINANCE CORP.LTD.
|
|
|
DID NOT EXERCISE DUE DILIGENCE
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 14-MAY-1998
03-JUN-1998
|
|
| 10 |
|
|
HOFFLAND FINANCE LTD.
|
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 09-SEP-1998
09-SEP-1998
|
|
| 11 |
|
|
HSBC SECURITIES & CAPITAL MARKETS (INDIA) PVT.LTD.
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
07-MAR-2007
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 12 |
|
|
KEYNOTE CORPORATE SERVICES LTD.
(PAN:AAACK3234D)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE AS POST-ISSUE LEAD MANAGER IN IPO OF NISSAN COPPER LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
09-APR-2009
|
|
| 13 |
|
|
KEYNOTE CORPORATE SERVICES LTD.
(PAN:AAACK3234D)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN RIGHTS-CUM-PUBLIC ISSUE OF MAJESTIC INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
15-FEB-2010
|
|
| 14 |
|
|
KUKU MOTOR FINANCE LTD.
|
|
|
|
S.K.CHADHA
|
|
ALLOTTED SHARES WITHOUT RECEIVING APPLICATION MONEY IN PUBLIC ISSUE OF NATURAL EXPO AGRO INDUSTRIES LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN PUBLIC ISSUE OF NATURAL EXPO AGRO INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-APR-2007 TO 25-OCT-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-APR-2007 TO 25-OCT-2007
26-APR-2007
|
|
| 15 |
|
|
MEGHRAJ FINANCIAL SERVICES (INDIA) PVT.LTD.
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN MATTER OF OPEN OFFER OF SRP TOOLS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
08-NOV-2006
|
|
| 16 |
|
|
PNB INVESTMENT SERVICES LTD.
|
|
|
|
L.P.AGARWAL
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF TAKSHEEL SOLUTIONS 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
|
SEBI VIDE ITS ORDER DATE 07/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: SAT VIDE ITS ORDER DATED 20/11/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATION, QUA THE APPELLEANTS, WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. FURTHER IF SEBI FAILS TO ADHERE TO THIS TIME LIMIT THE INTERIM ORDER DATED 28/12/2011 QUA THE APPELLANTS. SHALL STAND VACATED
|
| 17 |
|
|
PRUDENTIAL CAPITAL MARKETS LTD.
|
|
|
DID NOT EXERCISE DUE DILIGENCE
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-OCT-1998
08-OCT-1998
|
|
| 18 |
|
|
PUNJAB NATIONAL BANK
|
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE IN MATTER OF MEFCOM CAPITAL MARKETS LTD.
|
CENSURED PNB CAPITAL SERVICES LIMITED FOR VIOLATION OF CODE OF CONDUCT
18-FEB-2005
|
|
| 19 |
|
|
RUCHI INFRASTRUCTURE LTD.
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1997 TO 30-MAR-1998
19-DEC-1997
|
|
| 20 |
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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