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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: NOT ACTED NEGLIGENTLY WARRANTING IMPOSITION OF PENALTY

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person HSBC SECURITIES & CAPITAL MARKETS (INDIA) PVT.LTD.  
Click here to view complete history of this specific entity/person JASMINE BATLIWALA
Click here to view complete history of this specific entity/person K.BALAKRISHNAN
  		VIOLATED SEBI TAKEOVER REGULATIONS IN CASE OF OPEN OFFER OF MODI RUBBER LTD.   NOT ACTED NEGLIGENTLY WARRANTING IMPOSITION OF PENALTY

09-DEC-2003 		 
2
History of entity/person UNION BANK OF INDIA  
  DID NOT CARRY INSCRIPTION NON-TRANSFERABLE ON SHARES WHICH WERE UNDER LOCK-IN   NOT ACTED NEGLIGENTLY WARRANTING IMPOSITION OF PENALTY

01-NOV-2004 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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