| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
NICHE TECHNOLOGIES PVT.LTD.
(PAN:AAACO2823L)
|
|
|
DID NOT MAINTAIN SPECIMEN SIGNATURE CARDS IN HARD COPY/MAGNETIC MEDIA VIOLATING REGULATION 71 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 2018 READ WITH CLAUSE 2 (VII) OF RRTI CIRCULAR NO.1 (94-95) DATED 11/10/1994
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY, PROMPTITUDE AND DID NOT EXERCISE DUE DILIGENCE, ENSURE PROPER CARE AND INDEPENDENT PROFESSIONAL JUDGEMENT VIOLATING CLAUSES 1 TO 3 OF CODE OF CONDUCT AS SPECIFIED UNDER REGULATION 13 OF SEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993
|
IMPOSED PENALTY RS.1,00,000
28-JUL-2022
|
|
| 42 |
|
|
PURVA SHAREGISTRY (INDIA) PVT.LTD.
(PAN:AAACP4924D)
|
|
|
DID NOT MAINTAIN SPECIMEN SIGNATURES OF SHAREHOLDER HOLDING SHARES IN PHYSICAL FORM
DELAY IN PROCESSING OF REQUEST FOR DEMATERIALISATION OF SHARES
PROCESSED REQUESTS FOR DEMATERIALIZATION OF PHYSICAL FOLIOS WHERE SPECIMEN SIGNATURES WERE NOT AVAILABLE BASED ON THE INSTRUCTIONS PROVIDED BY THE ISSUER COMPANIES
PROCESSED DEMAT REQUESTS WHERE DEMAT REQUESTS FORMS WERE NOT AVAILABLE WITH THE COMPANIES ON THE INSTRUCTIONS PROVIDED FROM THE COMPANIES
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
|
RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS FROM 09-MAR-2021 TO 08-APR-2021
09-MAR-2021
|
|
| 43 |
|
|
S.K.INFOSOLUTIONS PVT.LTD.
|
|
|
DID NOT ENTER INTO LEGAL/VALID AGREEMENT WITH ITS 10 CLIENT BODY CORPORATE AT APPROPRIATE TIME VIOLATING INSTRUCTION 1 OF INSTRUCTIONS AND RTI CIRCULAR NO. 1(94-95) DATED 11/10/2014 AND REGULATION 9(1) (B) OF RTA & STA REGULATIONS 1993
DID NOT PROVIDE ACCESS TO CORRECT INFORMATION TO SEBI VIOLATING REGULATION 18(2) AND CLAUSE 2 OF CODE OF CONDUCT READ WITH REGULATION 13 OF RTA & STA REGULATION, 1993
DID NOT FORMULATE NECESSARY CODE OF CONDUCT UNDER REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000
19-SEP-2018
|
|
| 44 |
|
|
S.K.INFOSOLUTIONS PVT.LTD.
|
|
|
PROVIDED SERVICES WITHOUT ENTERING INTO VALID AGREEMENTS WITH CLIENTS
DID NOT MAINTAIN PHYSICAL INWARD REGISTER
DID NOT COLLECT REQUISITE DOCUMENTS TO PROCESS TRANSMISSION REQUESTS
DID NOT PROCESS TRANSFER RE-LODGMENT REQUEST AS PER EXTANT REGULATIONS/CIRCULARS ETC.
DID NOT PROCESS DIVIDEND REVALIDATION REQUEST IN ADHERENCE TO REGULATIONS/CIRCULARS ETC.
PAID MAJORITY OF REVALIDATED DIVIDEND ONLY THROUGH DD AND FAILED TO KEEP RECORD
DID NOT MAINTAIN SYSTEM LOG
DID NOT MAINTAIN SYSTEM FOR SYSTEM-BASED ALERTS TO EXERCISE ENHANCED DUE DILIGENCE
DID NOT PRODUCE RECORDS FOR ISSUING LETTERS TO PHYSICAL SHAREHOLDERS WHOSE PAN, BANK DETAILS WERE NOT AVAILABLE
DID NOT FRAME POLICY REGARDING CONTROL ON STATIONERY
DID NOT MAINTAIN REGISTER FOR RECORD OF DESTRUCTION OF DOCUMENTS
|
WARNED/DIRECTED TO EXERCISE DUE CARE AND CAUTION WHILE CONDUCTING BUSINESS AS REGISTRAR TO ISSUE & SHARE TRANSFER AGENT
DIRECTED TO APPOINT INDEPENDENT QUALIFIED PRACTICING COMPANY SECRETARY WHO DOES NOT HAVE ANY CONFLICT OF INTEREST AND WHO HAS NOT BEEN ENGAGED EARLIER NOTICE, TO CONDUCT AUDIT OF CORRECTIVE ACTIONS TAKEN TO CURE LAPSES
DIRECTED TO FILE AUDIT REPORT
06-OCT-2023
|
|
| 45 |
|
|
SATELLITE CORPORATE SERVICES PVT.LTD.
|
|
|
DID NOT MAINTAIN SPECIMEN SIGNATURES OF SHAREHOLDER HOLDING SHARES IN PHYSICAL FORM
PROCESSED REQUEST FOR DEMATERIALISATION OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
PROCESSED REQUEST FOR REMAT OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 18-NOV-2022 TO 17-FEB-2023
DIRECTED TO APPOINT AUDITOR BEFORE RESTORATION OF CERTIFICATE OF REGISTRATION AND CERTIFYING THAT SYSTEMS AND PROCEDURES ARE IN PLACE IN COMPLIANCE OF VARIOUS RULES AND REGULATIONS ADMINISTERED BY SEBI
DIRECTED TO CONDUCT OWN INDEPENDENT DUE DILIGENCE/AUDIT
28-OCT-2022
|
|
| 46 |
|
|
SATELLITE CORPORATE SERVICES PVT.LTD.
|
|
|
PROCESSED TRANSFER OF SHARES WITHOUT OBTAINING SELLER PAN CARD
PROCESSED TRANSFER REQUESTS BASED ON FAKE PAN CARD OF THE SELLER
DID NOT OBTAIN PROOF OF ADDRESS OF BUYER
TRANSFERRED SHARES IN THE NAME OF NON-EXISTING CO.
ISSUED DUPLICATE SHARE CERTIFICATES WITHOUT OBTAINING FIR/POLICE COMPLAINT
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 14-AUG-2023 TO 13-NOV-2023
14-AUG-2023
|
|
| 47 |
|
|
SHAREPRO SERVICE INDIA PVT.LTD.
(PAN:AAICS5500L)
|
|
|
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
|
CANCELLED REGISTRATION AS REGISTRAR
30-SEP-2020
|
|
| 48 |
|
|
SHAREPRO SERVICE INDIA PVT.LTD.
(PAN:AAICS5500L)
|
|
|
|
BALRAM MUKHERJEE
PAN:CIGPM5834A
|
|
|
BHAGYALAKSHMI GOVINDRAJ RAO
PAN:AEGPR6549K
|
|
|
GOVINDRAJ RAO
PAN:AGAPR1557P
|
|
|
INDIRA PRASHANT KARKERA
PAN:ADUPK3802B
|
|
|
PRASHANT NARAYAN KARKERA
PAN:AANPK8238K
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
|
| 49 |
|
|
SHAREX DYNAMIC (INDIA) PVT.LTD.
|
|
|
PROCESSED TRANSFER OF SHARES DESPITE SIGNIFICANT MISMATCH BETWEEN SIGNATURE OF TRANSFEROR AND HIS SPECIMEN SIGNATURE
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 24-MAY-2019 TO 23-JUN-2019
24-MAY-2019
|
|
| 50 |
|
|
SKYLINE FINANCIAL SERVICES PVT.LTD.
|
|
|
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT MAINTAIN SPECIMEN SIGNATURES OF SHAREHOLDER HOLDING SHARES IN PHYSICAL FORM
ISSUED DUPLICATE SHARE CERTIFICATES WITHOUT VERIFICATION
PROCESSED TRANSFER AND TRANSMISSION REQUESTS WITHOUT OBTAINING PROPER DOCUMENTS AND ON THE BASIS OF DEFICIENT/FAKE DOCUMENT
DID NOT MAINTAIN DATABASE OF DEMAT ALERT REQUEST
DID NOT MAINTAIN CHANGE OF BANK ACCOUNT DETAILS REQUEST
DID NOT MAINTAIN PROOF OF IDENTITY & ADDRESS OF CLIENTS AND DID NOT SUBMIT PAN OF SELLER
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
|
IMPOSED PENALTY RS.8,00,000
27-MAR-2023
|
|
| 51 |
|
|
SYSTEM SUPPORT SERVICES
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE PROCESSING DEMAT REQUESTS AND HAD SCANNED SIGNATURES FROM DEMAT REQUEST FORMS TO SHOW THEM TO INSPECTION TEAM VIOLATING CLAUSES 1 AND 3 OF CODE OF CONDUCT UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATION, 1993
TRANSFERD SHARES EVEN WITHOUT VERIFYING GENUINENESS OF THE TRANSFER REQUESTS VIOLATING CLAUSE 25 OF CODE OF CONDUCT PRESCRIBED UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATION, 1993
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 16-JAN-2020 TO 15-FEB-2020
16-JAN-2020
|
|
| 52 |
|
|
SYSTEM SUPPORT SERVICES
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE WHILE PROCESSING DEMAT REQUESTS AND HAD SCANNED SIGNATURES FROM DEMAT REQUEST FORMS TO SHOW THEM TO INSPECTION TEAM VIOLATING CLAUSES 1 AND 3 OF CODE OF CONDUCT UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATION, 1993
TRANSFERD SHARES EVEN WITHOUT VERIFYING GENUINENESS OF THE TRANSFER REQUESTS VIOLATING CLAUSE 25 OF CODE OF CONDUCT PRESCRIBED UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATION, 1993
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 16-JAN-2020 TO 15-MAR-2020
16-JAN-2020
|
|
| 53 |
|
|
TSR DARASHAW LTD.
|
|
|
PROCESSED TRANSFER OF SHARES WITHOUT HAVING PROPER SIGNATURE VIOLATING CLAUSES 2 AND 3 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATION, 1993
|
DIRECTED NOT TO TAKE UP NEW ASSIGMENT OF REGISTRAR & SHARE TRANSFER AGENT
05-MAR-2020
|
|
| 54 |
|
|
ZUARI FINSERV LTD.
(PAN:AADCH3479E)
|
|
|
ENTERED IN INACCURATE AGREEMENT WITH JONJUA OVERSEAS LTD.
DID NOT MARK INWARD NO. AND DATE OF RECEIPT ON LETTER INSTEAD MARKED THE SAME ON STICKY NOTES
DID NOT POSSESS AND MAINTAIN SPECIMEN SIGNATURE CARDS
DID NOT FOLLOW PROCESS FOR CHECKING SIGNATURE APPROPRIATELY AS SIGNATURES CARDS WERE NOT AVAILABLE
DID NOT PROCESS DIVIDEND REVALIDATION REQUEST IN ADHERENCE TO REGULATIONS/CIRCULARS ETC.
DID NOT HAVE AUTOMATIC “SYSTEM BASED ALERT” MECHANISM FOR ENHANCED DUE DILIGENCE TO GENERATE APPROPRIATE ALERTS
|
IMPOSED PENALTY RS.5,00,000
09-OCT-2023
|
|
| 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 3 of 3
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