| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
INDUS PORTFOLIO PVT.LTD.
(PAN:AABCI3730R)
|
|
|
DID NOT VERIFY PAN DETAILS OF CLIENTS FROM WEBSITE OF INCOME TAX DEPARTMENT
DID NOT EXAMINE BASIC DOCUMENTS SUCH AS SIGNATURE SPECIMEN AND PAN DETAILS
DID NOT HAVE ANY SYSTEM TO MAINTAIN LOGS AND GENERATION OF ALERTS
|
PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS REGISTRAR
WARNED/DIRECTED TO EXERCISE DUE CARE AND CAUTION WHILE CONDUCTING BUSINESS AS REGISTRAR TO ISSUE & SHARE TRANSFER AGENT
13-MAR-2023
|
|
| 22 |
|
|
INTEGRATED ENTERPRISES (INDIA) LTD.
(PAN:AAACI1509F)
|
|
|
DID NOT EXECUTE LEGALLY VALID AGREEMENT WITH CLIENT COMPANIES FOR STA ACTIVITIES
DID NOT MAINTAIN SIGNATURE CARDS OF SHAREHOLDERS OF CLIENT COMPANIES AND EFFECTING TRANSFER/TRANSMISSION/DEMAT REQUESTS ETC. OF COMPANIES
DID NOT OBTAIN AUTHORIZATIONS OF TRANSFER FROM CLIENT COMPANIES
DELAY IN PROCESSING OF PHYSICAL TRANSFER OF SHARES
DELAY IN SENDING LETTER TO TRANSFEROR SEEKING CONFIRMATION
DELAY IN PROCESSING OF REQUEST FOR DEMATERIALISATION OF SHARES
DELAY IN PROCESSING OF REQUEST FOR REMATERIALIZATION OF SHARES
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
|
IMPOSED PENALTY RS.50,000
29-NOV-2022
|
|
| 23 |
|
|
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
|
|
| 24 |
|
|
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
|
|
| 25 |
|
|
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
|
|
| 26 |
|
|
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
|
|
| 27 |
|
|
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
29-JUN-2015
|
|
| 28 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
DID NOT ISSUE OBJECTION MEMO TO THE TRANSFERORS IN CASE OF NON-AVAILABILITY OF SPECIMEN SIGNATURES VIOLATING CLAUSE 3 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATION, 1993
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
24-JUN-2021
|
|
| 29 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
FRAUDULENTLY TRANSFERRED SHARES AND ISSUED DUPLICATE SHARES TO PERSON WHO WERE NOT REAL OWNER OF EQUITY SHARES OF SWISS GLASSCOAT EQUIPMENT LTD. (NOW KNOWN AS HLE GLASCOAT LTD.) VIOLATING CLAUSE 3 OF CODE OF CONDUCT UNDER SCHEDULE III OF REGULATION 13 OF SEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993
|
IMPOSED PENALTY RS.1,00,000
31-JAN-2023
|
|
| 30 |
|
|
MAHESHWARI DATAMATICS PVT.LTD.
(PAN:AADCM6570H)
|
|
|
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
DELAY IN PROCESSING OF PHYSICAL TRANSFER OF SHARES
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DELAY IN PROCESSING OF TRANSMISSION OF SHARES
DELAY IN PROCESSING OF REQUEST FOR DEMATERIALISATION OF SHARES
DELAY IN PROCESSING OF REQUEST FOR REMATERIALIZATION OF SHARES
|
IMPOSED PENALTY RS.2,00,000
13-DEC-2022
|
|
| 31 |
|
|
MAHESHWARI DATAMATICS PVT.LTD.
(PAN:AADCM6570H)
|
|
|
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
DID NOT PUBLISH ADVERTISEMENT IN NEWSPAPER FOR LOSS OF SHARE CERTIFICATES VIOLATING CLAUSE 23 OF GENERAL DIRECTIVES/INSTRUCTIONS/GUIDELINES FOR PROCESSING OF DOCUMENTS OF RTI CIRCULAR NO.1 (2000-2001) DATED 09/05/2001
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 09-DEC-2019 TO 08-JAN-2020
DIRECTED TO DISCLOSE CONTENTS OF SEBI’S DIRECTIONS ON ITS WEBSITE(S) IMMEDIATELY
09-DEC-2019
|
|
| 32 |
|
|
MAHESHWARI DATAMATICS PVT.LTD.
(PAN:AADCM6570H)
|
|
|
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
VIOLATED 9A(1) (B) OF RTA REGULATIONS READ WITH DRAFT AGREEMENT IN ANNEXURE A OF SCHEDULE II IN SEBI CIRCULAR “INSTRUCTION TO REGISTRAR TO AN ISSUE /SHARE TRANSFER AGENTS DATED 11/10/1994 AND CLAUSE 3 OF SCHEDULE III (CODE OF CONDUCT) READ WITH REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
DID NOT HAVE PROCESS FOR IDENTIFYING OR TAGGING DOCUMENTS WHICH INVESTORS SUBMIT IN CONTINUATION OF THEIR EARLIER SUBMISSION
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DELAY IN PROCESSING OF TRANSMISSION OF SHARES
DELAY IN PROCESSING OF REQUEST FOR CHANGE OF ADDRESS
DELAY IN PROCESSING OF REQUEST FOR CHANGE OF BANK ACCOUNT
DID NOT MAINTAIN REGISTER FOR RECORD OF DESTRUCTION OF DOCUMENTS
|
IMPOSED PENALTY RS.6,00,000
29-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 03/04/2024 RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 33 |
|
|
MAHESHWARI DATAMATICS PVT.LTD.
(PAN:AADCM6570H)
|
|
|
DELAY IN PROCEESING OF TRANSFER REQUESTS OR TRANSMISSION REQUETS OF SHARES VIOLATING CLAUSE 3C OF LISTING AGREEMENT
DID NOT MAINTAIN SIGNATURE CARDS VIOLATING REGULATION 14(3) OF RTA REGULATIONS READ WITH CLAUSE 2(VII) UNDER RRTI CIRCULAR NO.1 (94-95) DATED 11/10/1994 READ WITH REGULATION 14(3) OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATION, 1993
|
IMPOSED PENALTY RS.3,00,000
31-JAN-2020
|
|
| 34 |
|
|
MCS LTD.
(PAN:AAACM8027G)
|
|
|
ISSUED DUPLICATE SHARE CERTIFICATE WITHOUT HAVING SPECIMEN SIGNATURES
ISSUED DUPLICATE SHARE CERTIFICATE WITHOUT ISSUING ANY ADVERTISEMENT IN NEWSPAPER
|
CANCELLED REGISTRATION AS REGISTRAR
01-MAR-2023
|
|
| 35 |
|
|
MCS SHARE TRANSFER AGENT LTD.
(PAN:AAHCM3618E)
|
|
|
DID NOT MAINTAIN INWARD REGISTER ON DAY TO DAY BASIS AND NOT AFFIXED INWARD NUMBER & DATE OF RECEIPT PERTAINING TO REQUESTS/COMPLAINTS ON THE SAME DAY
PROCESSED REQUEST FOR DEMATERIALISATION OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DELAY IN UPDATION OF CHANGE OF ADDRESS AND BANK ACCOUNT DETAILS
DID NOT CO-OPERATE AND NOT SUBMITTED DOCUMENTS DURING INSPECTION
|
IMPOSED PENALTY RS.3,00,000
29-APR-2022
|
|
| 36 |
|
|
MCS SHARE TRANSFER AGENT LTD.
(PAN:AAHCM3618E)
|
|
|
DID NOT PROVIDE COMPLETE INFORMATION WITH REGARD TO CHANGE OF BANK ACCOUNT DETAILS REQUEST VIOLATING REGULATIONS 18(1) AND (4) OF SEBI (REGISTRARS AND SHARE TRANSFER AGENT) REGULATIONS, 1993 AND CLAUSE 2 OF CODE OF CONDUCT AS SPECIFIED UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
|
IMPOSED PENALTY RS.3,00,000
31-OCT-2022
|
|
| 37 |
|
|
MCS SHARE TRANSFER AGENT LTD.
(PAN:AAHCM3618E)
|
|
|
DID NOT PROVIDE REQUIRED DOCUMENTS TO AUDITOR APPOINTED BY SEBI VIOLATING REGULATION 18(1) READ WITH 21 OF SEBI (RTI AND STA) REGULATIONS, 1993
DID NOT PROVIDE REQUIRED DOCUMENTS TO AUDITOR APPOINTED BY SEBI VIOLATING CLAUSE 18 OF CODE OF CONDUCT IN SCHEDULE III UNDER REGULATION 13 OF SEBI (RTI AND STA) REGULATIONS, 1993
|
IMPOSED PENALTY RS.5,00,000
24-AUG-2020
|
|
| 38 |
|
|
MCS SHARE TRANSFER AGENT LTD.
(PAN:AAHCM3618E)
|
|
|
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY, DID NOT FULFIL ITS OBLIGATIONS IN PROMPT, ETHICAL AND PROFESSIONAL MANNER AND DID NOT EXERCISE DUE CARE & DILIGENCE VIOLATING CLAUSES 1 TO 3, 13, 25, 27, 28 AND 30 OF CODE OF CONDUCT AS SPECIFIED IN SCHEDULE III READ WITH REGULATION 13 (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993
|
IMPOSED PENALTY RS.1,00,000
04-JAN-2023
|
|
| 39 |
|
|
MENNEN FINANCIAL SERVICES LTD.
|
|
|
DELAY IN PAYMENT OF REGISTRATION FEE TO SEBI VIOLATING REGULATION 9A(C) AND 12(1) READ WITH SCHEDULE II OF SEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993
DID NOT SUBMIT PERIODIC REPORTS AS REQUIRED BY SEBI VIDE ITS CIRCULAR NO.CIR/MIRSD/7/2012 DATED 05/07/2012 IN CLAUSES 3 AND 4
|
CANCELLED REGISTRATION AS REGISTRAR
18-MAY-2020
|
|
| 40 |
|
|
MONDKAR COMPUTERS PVT.LTD.
|
|
|
ALLEGED FAILURE IN OBTAINING PRIOR APPROVAL FOR CHANGE IN SHAREHOLDING RESULTING IN CHANGE IN CONTROL AS REQUIRED UNDER REGULATION 9A(1) (A) OF SEBI (REGISTRAR TO AN ISSUE & SHARE TRANSFER AGENTS) REGULATIONS, 1993 IN MATTER OF TRANSFER OF 50340 SHARES (59.98%) FROM MR.MILIND MONDKAR AND MS.SHUBHA MONDKAR TO IT PEOPLE PVT.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
18-MAY-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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| Page 2 of 3
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