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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: PROVIDED WRONG/INCOMPLETE INFORMATION TO SEBI/DID NOT CO-OPERATE WITH SEBI IN INVESTIGATIONS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BRISK CAPITAL MARKET SERVICES LTD.  
  DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 05-AUG-1998

13-AUG-1998 		 
2
History of entity/person EFCON SECURITIES LTD.  
  DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 19-NOV-1997

28-DEC-1997 		 
3
History of entity/person EXX-ON FINANCIAL SERVICES LTD.  
  DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 21-NOV-1997

28-NOV-1997 		 
4
History of entity/person GLOBAL PORTFOLIO SERVICES PVT.LTD.  
  DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 21-NOV-1997

28-NOV-1997 		 
5
History of entity/person GUJARAT CAPITAL VENTURES LTD.  
  DID NOT SUBMIT EMPLOYEE DATABASE   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 02-SEP-1998

02-SEP-1998 		 
6
History of entity/person KHANDWALA SECURITIES LTD.

(PAN:AAACK2214P)  
  DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS VIOLATING REGULATION 28(V) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF PUBLIC ISSUE OF SAKUMA EXPORTS LTD.   IMPOSED PENALTY RS.2,00,000

09-AUG-2010 		 
7
History of entity/person MUDRA ISPAT LTD.  
  DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 09-MAR-1998

24-MAR-1998 		 
8
History of entity/person NATH CAPITAL & FINANCIAL SERVICES LTD.  
  DID NOT SUBMIT EMPLOYEE DATABASE   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 04-AUG-1998

10-AUG-1998 		 
9
History of entity/person ORIENT FINCORP LTD.  
  DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 21-NOV-1997

28-NOV-1997 		 
10
History of entity/person PAMWI FINANCE LTD.  
  DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 04-DEC-1997

15-DEC-1997 		 
11
History of entity/person RADICO KHAITAN FINANCE LTD.

(PAN:AABCR3652D)  
  DID NOT SUBMIT EMPLOYEE DATABASE   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 09-SEP-1998

08-OCT-1998 		 
12
History of entity/person RAUNAQ FINANCE LTD.  
  DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 19-NOV-1997

28-DEC-1997 		 
13
History of entity/person SANMAC MOTOR FINANCE LTD.  
  DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 09-MAR-1998

19-DEC-1998 		 
14
History of entity/person SURAJ SECURITIES & FINANCE LTD.  
  DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 01-APR-1998

28-MAY-1998 		 
15
History of entity/person USHAKIRAN FINANCE LTD.  
  DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 21-NOV-1997

28-NOV-1997 		 
16
History of entity/person WINDSOR CAPITAL MARKET LTD.  
  DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME   CANCELLED REGISTRATION AS MERCHANT BANKER FROM 09-MAR-1998

19-DEC-1998 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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