| 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 |
|
|
CENTRUM CAPITAL LTD.
(PAN:AAACC5099G)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE VIOLATING PROVISIONS OF REGULATION 24(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MADHUSUDAN SECURITIES LTD.
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE VIOLATING REGULATION 13 READ WITH CLAUSES 1 TO 4 AND 14 OF CODE OF CONDUCT FOR MERCHANT BANKERS SPECIFIED IN SCHEDULE II OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF MADHUSUDAN SECURITIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.19,76,250 VIDE CONSENT ORDER)
15-JUL-2015
|
|
| 3 |
|
|
CREDIT SUISSE FIRST BOSTON (INDIA) SECURITIES PVT.LTD.
(Member : BSE/NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 4 |
|
|
DOOGAR & ASSOCIATES LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.50,000
26-JUN-2002
|
SAT: APPEAL FOR STAY OF INTERIM ORDER NOT ALLOWED
|
| 5 |
|
|
DOOGAR & ASSOCIATES LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.50,000
05-DEC-2001
|
SAT: APPEAL ALLOWED
|
| 6 |
|
|
DOOGAR & ASSOCIATES LTD.
|
|
|
DID NOT ISSUE ADVERTISEMENT FOR PUBLIC ANNOUNCEMENT FOR ACQUISITION OF SHARES OF KAYCEE INDUSTRIES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 17-OCT-2003 TO 16-NOV-2003
05-NOV-2003
|
|
| 7 |
|
|
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
|
|
| 8 |
|
|
HSBC SECURITIES & CAPITAL MARKETS (INDIA) PVT.LTD.
|
|
|
|
JASMINE BATLIWALA
|
|
|
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
|
|
| 9 |
|
|
J.M.FINANCIAL & INVESTMENTS CONSULTANCY SERVICES LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.1,80,000
20-OCT-2000
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.1,00,000 FROM RS.1,80,000.APPEAL DISPOSED OFF
|
| 10 |
|
|
JM MORGAN STANLEY PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE REGARDING OBJECTS OF THE ISSUE IN PUBLIC ANNOUNCEMENT
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
18-FEB-2005
|
|
| 11 |
|
|
MASTER CAPITAL SERVICES LTD.
(PAN:AABCM1406A)
|
|
|
POSSIBLE VIOLATION OF MERCHANT BANKING REGULATION IN MATTER OF ACQUISITION OF SHARES OF POLO HOTELS LTD.
|
DIRECTED ENQUIRY TO BE CONDUCTED
01-AUG-2003
|
|
| 12 |
|
|
MEGA RESOURCES LTD.
(PAN:AADCM5397E)
|
|
|
DID NOT MAKE DISCLOSURE OF ACQUISITION OF SHARES OF THE BOMBAY DYEING & MFG.CO.LTD. WHILE ACTING IN CONCERT WITH ARUN BAJORIA
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-AUG-2001 TO 28-AUG-2002
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-AUG-2001 TO 28-AUG-2002
29-AUG-2001
|
SAT: APPEAL DISMISSED
|
| 13 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE , 1997 IN MATTER OF ACQUISITION OF SHARES OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)
24-JAN-2008
|
|
| 14 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
|
KIRTIKUMAR NARBHERAM PAREKH
|
|
|
NAVINCHANDRA NARBHERAM PAREKH
DIN:00009547
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUN-2003 TILL INVESTIGATIONS COMPLETED
06-JUN-2003
|
|
| 15 |
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
(PAN:AAACP3045P)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 16 |
|
|
PANTHER INVESTRADE LTD.
(PAN:AAACP3259R)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 17 |
|
|
SBI CAPITAL MARKETS LTD.
(PAN:AAACS7914E)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF VITAL INFORMATION IN OFFER DOCUMENT FOR PURCHASE OF 6,25,000 EQUITY SHARES OF KAR MOBILES LTD.VIOLATING REGULATIONS 16(XIX),24(4) AND 24(5) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
11-FEB-2010
|
|
| 18 |
|
|
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
|
|
| 19 |
|
|
SUNIDHI CONSULTANCY SERVICES LTD.
(Depository Participants : CDSL,Member : BSE/NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
INTERIM ORDER DATED 31/12/2002 REVOKED BY SEBI
|
| 20 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
