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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.

PERSONS: VIOLATED SEBI (CREDIT RATING AGENCIES) REGULATIONS, 1999

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person DEEPESH JOISHAR

(PAN:AEUPJ9436R)  
  DID NOT ANNOUNCE CLOSURE OF TRADING WINDOW DURING UPSI PERIOD WHEN CREDIT RATING WAS DOWNGRADED VIOLATING CLAUSE 4 OF SCHEDULE B OF SUB REGULATION (1) AND (2) OF REGULATION 9 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MERCATOR LTD.

DID NOT ANNOUNCE CLOSURE OF TRADING WINDOW DURING UPSI PERIOD WHEN CREDIT RATING WAS DOWNGRADED VIOLATING CLAUSES 7 AND 3 OF CODE OF CONDUCT AND REGULATIONS 13 AND 15(2) OF SEBI (CRA) REGULATIONS, 1999 IN MATTER OF MERCATOR LTD.   		IMPOSED PENALTY RS.2,00,000

31-OCT-2022 		SEBI VIDE ITS NOTICE DATED 23/12/2022 DIRECTED TO PAY RS.2,05,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 20/02/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6157 OF 2022 DATED 23/12/2022  
2
History of entity/person RAJESH MOKASHI

(PAN:AAGPM0568B)  
  INFLUENCED EMPLOYEE OF CARE TO ENSURE FAVOURABLE RATINGS TOWARDS CERTAIN ISSUERS   DIRECTED NOT TO BE ASSOCIATED WITH ANY SEBI REGISTERED INTERMEDIARY, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

20-APR-2023 		SAT: SAT VIDE ITS ORDER DATED 03/07/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 17/08/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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