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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: DIRECTED NOT TO TAKE UP ANY NEW ASSIGNMENT OF MERCHANT BANKER IN SECURITIES MARKET

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

(CIN:U74140DL2009PTC194657
PAN:AAECR4815P)  
  DID NOT HONOR ITS UNDERWRITING OBLIGATION IN SME IPO OF ICL MULTITRADING INDIA LTD. VIOLATING REGULATIONS 106P(1) OF ICDR REGULATIONS, 2009 READ WITH REGULATION 301(2) OF SEBI (ICDR) REGULATIONS, 2018   DIRECTED NOT TO TAKE UP ANY NEW ASSIGNMENT OF MERCHANT BANKER IN SECURITIES MARKET FROM 05-JUL-2019 TILL FURTHER ORDERS

DIRECTED TO MAKE DISCLOSURE OF PENDING ASSIGNMENTS ENGAGED AS MERCHANT BANKER IN OFFER DOCUMENTS PERTAINING TO ISSUES CONCERNING SUCH ASSIGNMENTS

DIRECTED TO PROVIDE DETAILS OF ALL PENDING ASSIGNMENTS AS MERCHANT BANKER TO SEBI WITHIN SEVEN DAYS OF RECEIPT OF ORDER

05-JUL-2019 		SEBI VIDE ITS ORDER DATED 16/01/2020 CONFIRMED ITS DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 05/07/2019 AND DIRECTED CCV TO REMAIN PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT RELATING TO MERCHANT BANKING ACTIVITIES IN SECURITIES MARKET TILL FURTHER ORDERS. FURTHER, DIRECTED TO INVESTIGATE INTO THE EVENTS SURROUNDING SME-IPO OF ICL AND CCV AND ICL ARE DIRECTED TO EXTEND ALL NECESSARY CO-OPERATION TO THE INVESTIGATION

SAT: SAT VIDE ITS ORDER DATED 22/10/2020 DISPOSED OFF THE APPEAL BY DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE TO APPELLANT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND DIRECTED APPELLANT TO FILE ITS REPLY WITHIN FOUR WEEKS THEREAFTER  
2
History of entity/person FIRST OVERSEAS CAPITAL LTD.

(PAN:AAACL4737A)  
  DIVERTED AND MIS-UTILIZED FUNDS RAISED THROUGH INITIAL PUBLIC OFFERING (IPO) VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SYNOPTICS TECHNOLOGIES LTD.   DIRECTED NOT TO TAKE UP ANY NEW ASSIGNMENT OF MERCHANT BANKER IN SECURITIES MARKET FROM 06-MAY-2025 TILL FURTHER ORDERS

DIRECTED TO APPOINT A MONITORING AGENCY TO MONITOR USE OF PROCEEDS IRRESPECTIVE OF ISSUE SIZE

06-MAY-2025 		 
3
History of entity/person INVENTURE MERCHANT BANKER SERVICES PVT.LTD.

(PAN:AACCI7082H)  
  TRANSFERRED FUNDS TO THIRD PARTIES IN GUISE OF ISSUE RELATED EXPENSES ON INSTRUCTION OF LEAD MANAGER, MUCH HIGHER THAN ISSUE RELATED EXPENSES DISCLOSED IN PROSPECTUS VIOLATING REGULATION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARYAA CREATIONS LTD.   DIRECTED NOT TO TAKE UP ANY NEW ASSIGNMENT OF MERCHANT BANKER IN SECURITIES MARKET FROM 14-MAY-2025 UNTIL FURTHER ORDERS

DIRECTED TO APPOINT A MONITORING AGENCY TO MONITOR USE OF PROCEEDS IRRESPECTIVE OF ISSUE SIZE

14-MAY-2025 		 
4
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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