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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: VIOLATED SEBI PUBLIC ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person 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
 
22
History of entity/person STI FINANCE LTD.  
  DID NOT EXERCISE DUE CARE & DILIGENCE IN PUBLIC ISSUE OF V.R.MATHUR MASS COMMUNICATIONS LTD.

VIOLATED SEBI CODE OF CONDUCT  
LAUNCHED CRIMINAL PROSECUTION

03-SEP-2001
COMPANY LAW BOARD VIDE ITS ORDER DATED 06/12/2005 CONFIRMED THAT OFFENCES UNDER SECTION 63 AND 68 OF THE COMPANIES ACT, 1956 HAVE BEEN COMPOUNDED AND COMPOUNDING FEE OF RS.45,000.00 HAS BEEN REMMITTED BY THE APPLICANTS ON 28/11/2005  
23
History of entity/person TRIUMPH INTERNATIONAL FINANCE INDIA LTD.

(PAN:AAACE0308A)  
  DID NOT EXERCISE DUE DILIGENCE IN PUBLIC ISSUE OF BALAJI TELEFILMS LTD.

VIOLATED OF CLAUSE 2 OF THE CODE OF CONDUCT LAID DOWN IN SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS 1992  
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

14-MAY-2002
 
24
History of entity/person UNION BANK OF INDIA  
  DID NOT CARRY INSCRIPTION NON-TRANSFERABLE ON SHARES WHICH WERE UNDER LOCK-IN   NOT ACTED NEGLIGENTLY WARRANTING IMPOSITION OF PENALTY

01-NOV-2004
 
25
History of entity/person VATSA CORP.LTD.  
  IRREGULARITIES IN PUBLIC ISSUE OF HITEK INDUSTRIES (BIHAR) LTD.

IRREGULARITIES IN BUYING, SELLING AND DEALING IN SCRIP OF HITEK INDUSTRIES (BIHAR) LTD.  
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2003 TO 11-AUG-2008

12-AUG-2003
 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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