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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: CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

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

(PAN:AABCA1376P)  
  DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY, DIGNITY AND FAIRNESS IN CONDUCT OF BUSINESS WHILE FILING DRAFT OFFER DOCUMENT IN MATTER OF PROPOSED PUBLIC ISSUE OF GURUKUL TECHNOLOGIES LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

06-MAR-2007 		 
2
History of entity/person CENTRAL BANK OF INDIA  
Click here to view complete history of this specific entity/person V.K.BHANDARI
  		DID NOT EXERCISE DUE CARE & DILIGENCE IN PUBLIC ISSUE OF SAATAL KATTHA & CHEMICALS LTD   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

03-SEP-2002 		 
3
History of entity/person HARYANA STATE INDUSTRIAL DEVELOPMENT CORP.LTD.  
  DID NOT ENSURE TIMELY DESPATCH OF SHARE CERTIFICATE TO AN NRI INVESTOR IN PUBLIC ISSUE OF NARAIN JEWELS INTERNATIONAL LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

01-DEC-2000 		 
4
History of entity/person HSBC SECURITIES & CAPITAL MARKETS (INDIA) PVT.LTD.  
  DID NOT EXERCISE DUE CARE AND DILIGENCE   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

07-MAR-2007 		SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS  
5
History of entity/person IL&FS MERCHANT BANKING SERVICES LTD.  
  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 		 
6
History of entity/person JM MORGAN STANLEY PVT.LTD.  
  DID NOT MAKE DISCLOSURE REGARDING OBJECTS OF THE ISSUE IN PUBLIC ANNOUNCEMENT   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

18-FEB-2005 		 
7
History of entity/person JM MORGAN STANLEY PVT.LTD.  
  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 		 
8
History of entity/person MEGHRAJ FINANCIAL SERVICES (INDIA) PVT.LTD.  
  DID NOT EXERCISE DUE CARE AND DILIGENCE IN MATTER OF OPEN OFFER OF SRP TOOLS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

08-NOV-2006 		 
9
History of entity/person SHRIYAM SECURITIES & FINANCE LTD.  
  DID NOT ADHERE TO PROVISIONS OF SEBI (MERCHANT BANKERS) RULES & REGULATIONS, 1992   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

13-NOV-1998 		 
10
History of entity/person STATE BANK OF INDORE  
  IN THE CASE OF SAKET EXTRUSIONS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

15-JUL-2002 		 
11
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 		 
12
History of entity/person VIVRO FINANCIAL SERVICES PVT.LTD.

(PAN:AAACV5002E)  
  DID NOT EXERCISE DUE DILIGENCE WITH REGARD TO CONTENT OF ADVERTISEMENT RELATING TO DISPATCH OF COMPOSITE APPLICATION FORMS AND ABRIDGED LETTERS OF OFFER IN MATTER OF RIGHTS ISSUE OF RAM KAASHYAP INVESTMENT LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

20-DEC-2013 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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