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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: DEBARRED FROM TAKING ANY NEW MANDATE IN RELATION TO BUSINESS OF ISSUE MANAGEMENT EITHER BY MAKING ARRANGEMENTS REGARDING SELLING, BUYING OR SUBSCRIBING TO SECURITIES OR ACTING AS MANAGER, CONSULTANT, ADVISER OR RENDERING CORPORATE ADVISORY SERVICE IN RELATION TO SUCH ISSUE MANAGEMENT

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person FIRST OVERSEAS CAPITAL LTD.

(PAN:AAACL4737A)  
  ENGAGED IN BUSINESS OTHER THAN SECURITIES

DID NOT POSSESS ADEQUATE FINANCIAL RESOURCES ON ACCOUNT OF LOWER NET WORTH TO ACQUIRE SECURITIES IN RESPECT OF UNDERWRITING OBLIGATIONS

DEFAULTED IN SUBMISSION OF QUARTERLY REPORTS TO SEBI

DELAY IN FILING OF HALF YEARLY REPORTS

DID NOT MAKE DISCLOSURE OF TYPE OF ISSUE (IPO/ FPO), SUBSCRIPTION LEVEL, DETAILS OF QIB HOLDING, FINANCIALS OF ISSUER, TRADING STATUS IN SCRIP OF ISSUER, CHANGE IN DIRECTORS, STATUS OF UTILIZATION OF ISSUE PROCEEDS, PRICE-RELATED DATA, BASIS FOR ISSUE PRICE, ETC ON ITS WEBSITE

KEY MANAGEMENT PERSONNEL DID NOT OBTAIN SERIES III-A AND NISM IX CERTIFICATIONS   		DEBARRED FROM TAKING ANY NEW MANDATE IN RELATION TO BUSINESS OF ISSUE MANAGEMENT EITHER BY MAKING ARRANGEMENTS REGARDING SELLING, BUYING OR SUBSCRIBING TO SECURITIES OR ACTING AS MANAGER, CONSULTANT, ADVISER OR RENDERING CORPORATE ADVISORY SERVICE IN RELATION TO SUCH ISSUE MANAGEMENT FROM 23-OCT-2024 UNTIL FURTHER ORDERS

23-OCT-2024 		SAT: SAT VIDE ITS ORDER DATED 11/12/2024 PARTLY ALLOWED THE APPEAL AND STAYED THE DIRECTION IN PARA NO.96 TO DEBAR FROM TAKING NEW MANDATE SUBJECT TO APPELLANT BRINGING IN RS.3 CRORE WITHIN FIFTEEN DAYS FROM DATE OF THIS ORDER AND ENSURE MAINTAIN NET-WORTH CAPITAL ADEQUACY OF RS.5 CRORE. DIRECTED TO FILE REPLY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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