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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 14-OCT-2026

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

MERCHANT BANKERS: REACHED SETTLEMENT (CONSENT ORDER)

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person 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 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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