| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ALMONDZ GLOBAL SECURITIES LTD.
|
|
|
|
SANJAY DEWAN
|
|
|
VINAY MEHTA
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF PG ELECTROPLAST LTD.
DID NOT EXERCISE DUE DILIGENCE IN IPO OF BHARTIYA GLOBAL INFOMEDIA LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO SEBI TO PASS APPROPRIATE ORDER WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER. IN CASE NO SUCH ORDER IS PASSED EX-PARTE INTERIM ORDER SHALL STAND VACATED. NO COSTS
SEBI VIDE ITS ORDER DATE 11/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 2 |
|
|
ARYAMAN FINANCIAL SERVICES LTD.
(PAN:AABCA1376P)
|
|
|
AIDED AND ABETTED FUND FLOW CONDUITS IN SIPHONING OFF IPO PROCEEDS OF MIDVALLEY ENTERTAINMENT LTD.
DID NOT CARRY OUT PROPER DUE DILIGENCE WITH RESPECT TO INFORMATION AND DECLARATION IN RHP/PROSPECTUS IN IPO OF MIDVALLEY ENTERTAINMENT LTD. VIOLATING REGULATION 13 READ WITH CLAUSES 4, 6 AND 7 OF SCHEDULE III OF CODE OF CONDUCT OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DID NOT CARRY OUT PROPER DUE DILIGENCE WITH RESPECT TO INFORMATION AND DECLARATION IN RHP/PROSPECTUS IN IPO OF MIDVALLEY ENTERTAINMENT LTD. VIOLATING REGULATION 64(1) OF SEBI (ICDR) REGULATIONS, 2009
|
PROHIBITED FROM TAKING UP ANY NEW CLIENTS OR ASSIGNMENTS AS A MERCHANT BANKER FROM 11-MAR-2020 TO 10-JUN-2020
11-MAR-2020
|
|
| 3 |
|
|
ATHERSTONE CAPITAL MARKETS LTD.
(PAN:AAGCA1449J)
|
|
|
|
GURUNATH MUDLAPUR
|
|
|
RANJAN AGARWAL
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF ONELIFE CAPITAL ADVISORS LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 16/01/2013 CONFIRMED ITS DIRECTIONS ISSUED IN PARAGRAPHS 14.3, 14.4, 14.5, 14.6, 14.8 AND 14.9 OF EX-PARTE ORDER DATED 28/12/2011 READ WITH ORDER DATED 15/02/2012
|
| 4 |
|
|
BRILLIANT INDUSTRIES LTD.
|
|
|
DID NOT FULFILL DEVOLVEMENT OBLIGATION IN PUBLIC ISSUE OF VINSARI FRUITECH LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 13-AUG-1998 TO 12-SEP-1998
25-AUG-1998
|
|
| 5 |
|
|
CENTRAL BANK OF INDIA
|
|
|
|
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
|
|
| 6 |
|
|
CHARTERED CAPITAL & INVESTMENT LTD.
(PAN:AAACC6247L)
|
|
|
|
MANOJ KUMAR RAMRAKHYANI
PAN:AGFPR0472E
|
|
|
MOHIB NOMAN KHERICHA
PAN:AGMPK8152H
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF RDB RASAYANS LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO BOARD TO COMPLETE THE INVESTIGATION, QUA THE APPELLANTS, WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATE 07/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
|
| 7 |
|
|
D & A FINANCIAL SERVICES PVT.LTD.
|
|
|
|
DINESH R.KAUSHIK
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF BROOKS LABORATORIES LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 01-JUL-2014 TO 30-JUN-2019
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN BUY-BACK OF SECURITIES UNDER SEBI (BUY-BACK OF SECURITIES) REGULATIONS 1998, OPEN OFFERS UNDER SEBI (SAST) REGULATIONS, 2011 AND DELISTING OF SECURITIES UNDER SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 FROM 01-JUL-2014 TO 30-JUN-2019
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 05/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO SEBI TO COMPLETE THE INVESTIGATION QUA THE APPELLANTS BY NOVEMBER 30, 2012. NO COSTS
|
| 8 |
|
|
DOOGAR & ASSOCIATES LTD.
|
|
|
DID NOT EXERCISE DUE DILIGENCE IN PUBLIC ISSUE OF MANU FINLEASE LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 15-JAN-2001 TO 14-MAR-2001
08-FEB-2001
|
|
| 9 |
|
|
ENAM SECURITIES PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF RABOBANK AS PROMOTER IN PROSPECTUS OF YES BANK LTD.
DID NOT MAKE DISCLOSURE PERTAINING TO ALLOCATION OF SHARES TO QIBS AND DID NOT MAINTAIN CONSISTENCY IN ALLOTMENT OF SHARES WITHIN SAME CATEGORY IN MATTER OF PUBLIC ISSUE OF YES BANK LTD.
DID NOT MONITOR FLOW OF APPLICATIONS & OTHER MATTERS PURSUANT TO CLOSURE OF PUBLIC ISSUES, ALLOTTED SHARES TO NON EXISTING DP IDS AND INDULGED IN OTHER IRREGULARITIES IN MATTER OF PUBLIC ISSUE OF YES BANK LTD.
|
IMPOSED PENALTY RS.25,00,000
31-DEC-2010
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 31/12/2010 SET ASIDE. NO ORDER AS TO COSTS
|
| 10 |
|
|
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
|
|
| 11 |
|
|
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
|
|
| 12 |
|
|
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
|
|
| 13 |
|
|
JOLLY LEASING & FINSTOCK LTD.
|
|
|
|
HITESH CHOKSI
|
|
|
SANJAY CHOKSI
|
|
|
SHAILESH SWAMY
|
|
ACCEPTED APPLICATIONS ACCOMPANIED BY ANTE-DATED STOCKINVESTS AFTER CLOSURE OF ISSUE AND ALLOTED SHARES IN PUBLIC ISSUE OF ELVIS INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2002 TO 29-SEP-2004
16-SEP-2002
|
|
| 14 |
|
|
KEYNOTE CORPORATE SERVICES LTD.
(PAN:AAACK3234D)
|
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF MAHA CHEMICALS LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 16-OCT-2003 TO 15-DEC-2003
26-SEP-2003
|
SAT: ORDER MODIFIED WITH NO ORDER AS TO COSTS
|
| 15 |
|
|
KUKU MOTOR FINANCE LTD.
|
|
|
|
S.K.CHADHA
|
|
ALLOTTED SHARES WITHOUT RECEIVING APPLICATION MONEY IN PUBLIC ISSUE OF NATURAL EXPO AGRO INDUSTRIES LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN PUBLIC ISSUE OF NATURAL EXPO AGRO INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-APR-2007 TO 25-OCT-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-APR-2007 TO 25-OCT-2007
26-APR-2007
|
|
| 16 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
(Member : BSE)
|
|
|
|
A.P.SHUKLA
PAN:AECPS3296Q
|
|
|
DHANANJAY CHANDRAKANT PARIKH
PAN:ACTPP2402L
|
|
|
PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
|
|
|
T.S.RAGHAVAN
PAN:AAFPR1521A
|
|
|
THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
PAN:ABIPN2653D
|
|
|
TUSHAR SHIRDHARANI
PAN:AAIPS0065M
|
|
MISUTILIZED ISSUE PROCEEDS
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 15/02/2012 MODIFIED ITS EARLIER ORDER DATED 28/12/2011 BY ALLOWING TO DEAL IN SHARES FOR LIMITED PURPOSE OF FULFILLING THEIR EXISTING OBLIGATIONS OF UNDERWRITING FOR MINIMUM SUBSCRIPTION
|
| 17 |
|
|
PNB INVESTMENT SERVICES LTD.
|
|
|
|
L.P.AGARWAL
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF TAKSHEEL SOLUTIONS LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SEBI VIDE ITS ORDER DATE 07/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: SAT VIDE ITS ORDER DATED 20/11/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATION, QUA THE APPELLEANTS, WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. FURTHER IF SEBI FAILS TO ADHERE TO THIS TIME LIMIT THE INTERIM ORDER DATED 28/12/2011 QUA THE APPELLANTS. SHALL STAND VACATED
|
| 18 |
|
|
RAJASHREE FISCAL SERVICES LTD.
|
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF SAATAL KATTHA & CHEMICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2004 TO 12-JAN-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2004 TO 12-JAN-2007
13-JAN-2004
|
|
| 19 |
|
|
RUSODAY & CO.LTD.
|
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE IN PUBLIC ISSUE OF V.R.MATHUR MASS COMMUNICATIONS LTD.
VIOLATED SEBI CODE OF CONDUCT
|
LAUNCHED CRIMINAL PROSECUTION
03-SEP-2001
|
COMPANY LAW BOARD VIDE ITS ORDER DATED 06/12/2005 CONFIRMED THAT OFFENCES UNDER SECTION 63 AND 68 OF THE COMPANIES ACT, 1956 HAVE BEEN COMPOUNDED AND COMPOUNDING FEE OF RS.45,000.00 HAS BEEN REMMITTED BY THE APPLICANTS ON 28/11/2005
|
| 20 |
|
|
SHRIYAM BROKING INTERMEDIARY LTD.
|
|
|
DID NOT EXERCISE INDEPENDENT PROFESSIONAL JUDGMENT IN ENSURING THAT ISSUER RECAST ITS ACCOUNTS
DID NOT EXERCISE DUE DILIGENCE TO ENSURE THAT REGISTRAR DELIVERS SHARE CERTIFICATES TO ALLOTTEES BY REGISTERED POST
FACILITATED CONCENTRATION OF HUGE HOLDING WITH THE PROMOTERS/DIRECTORS AND CREATED CONDITIONS FOR PRICE RIGGING IN SCRIP OF HOME TRADE LTD.
DID NOT ENSURE THAT BASIS OF ALLOTMENT WAS DONE IN FAIR AND EQUITABLE MANNER BY ALLOTTING SHARES TO SANJAY AGGARWAL, N.S.TRIVEDI, KETAN SHETH AND SUBODH BHANDARI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 26-NOV-2003 TO 25-JAN-2004
05-NOV-2003
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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