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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: VIOLATED SEBI (INTERMEDIARIES) REGULATIONS, 2008

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person SPA CAPITAL ADVISORS LTD.  
  DEFAULTED OF INR 24.19 CRORE AND DECLARED AS WILFUL DEFAULTER BY LAKSHMI VILAS BANK LTD. (NOW DBS BANK INDIA LTD.)   SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 24-AUG-2022 TILL OBTAINS CERTIFICATE FROM LAKSHMI VILLAS BANK

DIRECTED NOT TO TAKE UP ANY NEW ASSIGNMENT OF MERCHANT BANKER IN SECURITIES MARKET FROM 24-AUG-2022 TILL OBTAINS CERTIFICATE FROM LAKSHMI VILLAS BANK

24-AUG-2022 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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