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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.

CREDIT RATING AGENCIES: DIRECTED TO WIND DOWN ITS OPERATIONS (INCLUDING INTIMATING ITS CLIENT ABOUT CLOSURE OF ITS OPERATIONS) WITHIN SIX MONTHS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BRICKWORK RATINGS INDIA PVT.LTD.

(PAN:AADCB3136C)  
  DID NOT DOCUMENT MEETINGS WITH MANAGEMENT/UNDERTAKE SITE VISITS

DID NOT UNDERTAKE INDEPENDENT ANALYSIS OF PROJECTION PROVIDED BY ISSUER

DELAY IN RECOGNITION OF DEFAULTS IN RELATION TO ISSUERS

DID NOT MAKE CORRECT DISCLOSURE OF MATERIAL EVENT IN PRESS RELEASE

DID NOT ADDRESS ISSUE OF CONFLICT OF INTEREST   		CANCELLED REGISTRATION AS CREDIT RATING AGENCY FROM 06-OCT-2022

DIRECTED TO WIND DOWN ITS OPERATIONS (INCLUDING INTIMATING ITS CLIENT ABOUT CLOSURE OF ITS OPERATIONS) WITHIN SIX MONTHS FROM 06-OCT-2022

DIRECTED TO REFUND MONEY TO THE INVESTORS

06-OCT-2022 		SAT: SAT VIDE ITS ORDER DATED 14/10/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER. DIRECTED THAT EFFECT AND OPERATION OF IMPUGNED ORDER CANCELLING REGISTRATION OF THE APPELLANT UNDER THE INTERMEDIARIES REGULATIONS TO REMAIN STAYED PROVIDED APPELLANT IS PROHIBITED FROM TAKING ANY NEW ASSIGNMENT OR CONTRACT OR LAUNCH ANY NEW SCHEME DURING PENDENCY OF THE APPEAL

SAT: SAT VIDE ITS ORDER DATED 14/07/2023 DISMISSED THE APPEAL  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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