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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.

COMPANIES: VIOLATED SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CITIBANK N.A.

(PAN:AAACC0462F)  
  ALLEGED VIOLATION OF REGULATION 32(1) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019

ALLEGED VIOLATION OF CLAUSE 3 OF CODE OF CONDUCT OF THIRD SCHEDULE UNDER REGULATION 37 OF SEBI (DEPOSITORIES & PARTICIPANT) REGULATIONS, 2018 AND PARA 2 OF PART A & PARA 8 OF PART A OF OPERATIONAL GUIDELINES   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,20,000 VIDE CONSENT ORDER)

27-AUG-2024 		 
2
History of entity/person INDITALIA REFCON LTD.

(PAN:AAACI1128G)  
  ISSUED DUPLICATE PHYSICAL SHARES AGAINST SHARES WHICH WERE ALREADY DEMATERIALIZED WITHOUT ANY REMATERIALISATION REQUEST

DID NOT INTIMATE ABOUT MISMATCH OBSERVED IN SHARE RECONCILIATION

DID NOT UPDATE DISTINCTIVE NUMBER (DN) DATABASE AND DID NOT INITIATE ADEQUATE ACTION TOWARDS MATCHING RECORDS OF SHARE CAPITAL

DID NOT MAINTAIN RECORDS OF HOLDERS OF SECURITIES, HANDLING OF PHYSICAL SECURITIES AND TRANSFER OF SECURITIES WITH DEPOSITORIES

DID NOT ADHERE TO COMMON AGENCY REQUIREMENT VIOLATING REGULATION 7(2) OF SEBI (LODR) REGULATIONS, 2015

DID NOT CO-OPERATE AND DID NOT SUBMIT CORRECT AND ADEQUATE INFORMATION TO INTERMEDIARIES REGISTERED WITH BOARD TO SHARE TRANSFER AGENTS ETC. VIOLATING REGULATION 8 OF SEBI (LODR) REGULATIONS, 2015   		IMPOSED PENALTY RS.3,00,000

28-MAR-2024 		 
3
History of entity/person PURVA SHAREGISTRY (INDIA) PVT.LTD.

(PAN:AAACP4924D)  
  DID NOT MAINTAIN SHARE REGISTRY WORK AT SINGLE POINT AS REQUIRED UNDER REGULATION 53A OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996 READ WITH REGULATION 98 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 2018 IN MATTER OF KELVIN FINCAP LTD. (FORMERLY KNOWN AS DAHYABHAI SONS LTD.)

DID NOT MAINTAIN SHARE REGISTRY WORK AT SINGLE POINT VIOLATING CLAUSES 1 TO 3 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993 IN MATTER OF KELVIN FINCAP LTD. (FORMERLY KNOWN AS DAHYABHAI SONS LTD.)   		IMPOSED PENALTY RS.2,00,000

24-JUL-2019 		 
4
History of entity/person TECHINDIA NIRMAN LTD.

(CIN:L45200MH1980PLC023364
PAN:AAACN9213B)  
  DISCREPANCY IN NAME OF COMPLIANCE OFFICER IN RECONCILIATION OF SHARE CAPITAL AUDIT REPORT

SUBMITTED INCORRECT SHAREHOLDING PATTERN TO STOCK EXCHANGES   		IMPOSED PENALTY RS.8,00,000

28-JUN-2024 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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