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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
UPDATED TILL : 03-JUL-2025

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: DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person TRIUMPH INTERNATIONAL FINANCE INDIA LTD.

(PAN:AAACE0308A)  
  VIOLATED SEBI ACT, RULES & REGULATIONS   DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 21-JUN-2001 TILL FURTHER ORDER

21-JUN-2001 		 
22
History of entity/person WORLDLINK FINANCE LTD.  
  DID NOT EXERCISE DUE CARE AND DILIGENCE IN ASCERTAINING STATUS OF SHARES ISSUED AND OFFERED IN "LOCK IN" UNDER PROMOTERS' QUOTA IN CASE OF BARODA AGRO INDUSTRIES LTD.   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-NOV-2006 TO 01-NOV-2009

02-NOV-2006 		SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF DEBARMENT FROM 3 YEARS TO SIX MONTHS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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