| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ARYAMAN FINANCIAL SERVICES LTD.
(PAN:AABCA1376P)
|
|
|
ALLEGED INDULGENCE IN VIOLATION OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN VIOLATION OF SEBI TAKEOVER CODE, 1997
ALLEGED INDULGENCE IN VIOLATION OF SEBI (BUY-BACK OF SECURITIES) REGULATIONS, 1998
ALLEGED INDULGENCE IN VIOLATION OF SEBI ACT, 1992
ALLEGED INDULGENCE IN SEBI (MERCHANT BANKER) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
02-SEP-2009
|
|
| 2 |
|
|
DSP MERRILL LYNCH LTD.
(PAN:AAACD0535G)
|
|
|
ALLEGED INDULGENCE IN SEBI (MERCHANT BANKER) REGULATIONS, 1992
ALLEGED VIOLATION OF VARIOUS PROVISIONS OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,50,000 VIDE CONSENT ORDER)
12-JAN-2010
|
|
| 3 |
|
|
EDELWEISS CAPITAL LTD.
|
|
|
ALLEGED INDULGENCE IN VIOLATION OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE WHILE CONDUCTING BUSINESS AS A MERCHANT BANKER I.E.DID NOT ADOPT INDEPENDENT PROFESSIONAL JUDGEMENTS IN VERIFYING RECORDS/VISITING PLACES OF ISSUER COMPANIES, DID NOT PROVIDE CORRECT INFORMATION AND/OR PROVIDE MISLEADING INFORMATION IN DRHP, DID NOT ENSURE ADEQUATE DISCLOSURES IN DRHP, DID NOT SUPERVISE ACTIVITIES OF SUB-SYNDICATE MEMBER, DID NOT FOLLOW PROPERLY DUE DILIGENCE IN RESPECT OF POST ISSUE ACTIVITIES OF SEVERAL ISSUER COMPANIES, DID NOT SUPERVISE ACTIVITIES OF BANKERS AND REGISTRAR TO ISSUE ETC.
ALLEGED FAILURE IN ADHERING TO SEBI DIRECTIVES IN MATTER OF PUBLIC OFFER/ANNOUNCEMENT AS SPECIFIED UNDER SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
11-MAY-2011
|
|
| 4 |
|
|
JM FINANCIAL CONSULTANTS PVT.LTD.
|
|
|
ALLEGED FAILURE IN FOLLOWING CODE OF CONDUCT PRESCRIBED FOR MERCHANT BANKERS AS PER REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN EXERCISING DUE DILIGENCE AND FURNISHING OF DUE DILIGENCE CERTIFICATE VIOLATING CLAUSES 5.1,5.3.3.1,11.3.5(V)(A) OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
25-AUG-2009
|
|
| 5 |
|
|
KEYNOTE CORPORATE SERVICES LTD.
(PAN:AAACK3234D)
|
|
|
DID NOT EXERCISE DUE DILIGENCE WHILE ACTING AS BRLM IN IPO OF EDSERV SOFTSYSTEMS LTD.VIOLATING CLAUSES 5.1 (5.1.1 AND 5.1.2), 5.3.3.2 (II) UNDER CHAPTER V OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH REGULATION 111 OF SEBI (ICDR) REGULATIONS, 2009
|
IMPOSED PENALTY RS.10,00,000
31-JAN-2012
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 6 |
|
|
KOTAK MAHINDRA CAPITAL CO.LTD.
(PAN:AAACK5577D)
|
|
|
ALLEGED FAILURE IN FOLLOWING CODE OF CONDUCT PRESCRIBED FOR MERCHANT BANKERS AS PER REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN FURNISHING DUE DILIGENCE REPORT AND VIOLATED CLAUSES 5.1,5.3.3.1,6.9.2.1,11.3.6,7.3, 7.4.1,7.7.7,16.2.2.2.OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,50,000 VIDE CONSENT ORDER)
27-AUG-2009
|
|
| 7 |
|
|
PREMIUM CAPITAL MARKET & INVESTMENTS LTD.
(PAN:AABCP2228H
CIN:L67120MP1992PLC007178)
|
|
|
DID NOT INFORM SEBI ABOUT FAILURE OF INVESTMENT BY FOREIGN COMPANY BEFORE PUBLIC ISSUE VIOLATING SECTION L OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF CONSORTEX KARL DOELITXSCH (I) LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-OCT-2009
|
|
| 8 |
|
|
SBI CAPITAL MARKETS LTD.
(PAN:AAACS7914E)
|
|
|
ALLEGED VIOLATION OF CLAUSES 3, 4 AND 6 OF CODE OF CONDUCT UNDER REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF REGULATION 20(9) OF SEBI TAKEOVER CODE, 1997
ALLEGED VIOLATION OF CLAUSES 5.4.3.1, 7.3.1, 7.4.1, 7.7.1, 11.2(XXIII),11.3.6,16.2.2.2 OF CODE OF CONDUCT UNDER REGULATION 13 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
16-MAR-2012
|
|
| 9 |
|
|
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. |
