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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: BARRED FROM TAKING ANY NEW MANDATE FOR ACTING AS LEAD MANAGER FOR ANY PUBLIC ISSUE OF DEBT SECURITIES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person JM FINANCIAL LTD.

(PAN:AAACJ2590B)  
  LOANS EXTENDED DISPROPORTIONATE TO DECLARED INCOME

IN CERTAIN LOAN DOCUMENTS THERE WAS REFERENCE TO MASTER LOAN AGREEMENT WITH FUTURE DATES

LACKED OF RECEIPT OF UPFRONT MARGIN FROM CERTAIN APPLICANTS

1016 APPLICANTS WHO HAD AVAILED FUNDING FROM JMFPL-NBFC NOT ONLY SOLD THE SECURITIES BACK TO JMFPL-NBFC BUT ALSO TRANSFERRED ENTIRE AMOUNT INCLUDING PRINCIPAL AMOUNT, ACCRUED INTEREST AND TRADING GAINS TO JMFPL-NBFC   		BARRED FROM TAKING ANY NEW MANDATE FOR ACTING AS LEAD MANAGER FOR ANY PUBLIC ISSUE OF DEBT SECURITIES

07-MAR-2024 		SEBI VIDE ITS ORDER DATED 20/06/2024 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 07/03/2024 DIRECTING NOT TO ACT AS LEAD MANAGER IN ANY PUBLIC ISSUE OF DEBT SECURITIES TILL 31/03/2025 OR SUCH OTHER DATE AS MAY BE SPECIFIED BY SEBI  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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