| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANAND S.BHALAKIA
(PAN:AABPB9293K)
|
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
SAT: SAT VIDE ITS ORDER DATED 18/01/2018 DISPOSED OFF THE APPEAL WITH DIRECTION TO SEBI TO ISSUE SHOW CAUSE NOTICE TO THE APPELLANT WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 2 |
|
|
ANIL JATHAN
(PAN:ADCPJ1922H)
|
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
|
| 3 |
|
|
BALRAM MUKHERJEE
(PAN:CIGPM5834A)
|
|
|
|
SHAREPRO SERVICE INDIA PVT.LTD.
PAN:AAICS5500L
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
|
| 4 |
|
|
BHAGYALAKSHMI GOVINDRAJ RAO
(PAN:AEGPR6549K)
|
|
|
|
SHAREPRO SERVICE INDIA PVT.LTD.
PAN:AAICS5500L
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
SAT: SAT VIDE ITS ORDER DATED 17/01/2018 DISPOSED OFF APPEAL AND DIRECTED SEBI TO ISSUE SHOW-CAUSE NOTICE WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 5 |
|
|
GOVINDRAJ RAO
(PAN:AGAPR1557P)
|
|
|
|
SHAREPRO SERVICE INDIA PVT.LTD.
PAN:AAICS5500L
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
|
| 6 |
|
|
INDIRA PRASHANT KARKERA
(PAN:ADUPK3802B)
|
|
|
|
SHAREPRO SERVICE INDIA PVT.LTD.
PAN:AAICS5500L
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
|
| 7 |
|
|
KRISHNA M.GHOSH
(PAN:ALOPG9555D)
|
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
|
| 8 |
|
|
NAGESH NARAYAN KARKERA
(PAN:BPYPK6412A)
|
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
|
| 9 |
|
|
NALIN P.PATEL
|
|
|
|
COMPUQUICK DATAMATION (INDIA) LTD.
|
|
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 10 |
|
|
NARAYAN DEVADIGA
(PAN:AUBPD6990R)
|
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 PROCEEDINGS AGAINST MR.NARAYAN DEVADIGA HAVE BEEN CLOSED
|
| 11 |
|
|
PARAGI N.PATEL
|
|
|
|
COMPUQUICK DATAMATION (INDIA) LTD.
|
|
VIOLATED REGULATION 3 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 12 |
|
|
PRASHANT NARAYAN KARKERA
(PAN:AANPK8238K)
|
|
|
|
SHAREPRO SERVICE INDIA PVT.LTD.
PAN:AAICS5500L
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
|
| 13 |
|
|
RAJU LANDGE
|
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
|
| 14 |
|
|
SHRIKANT CHANDULAL BHALAKIA
(PAN:AGJPB6222E)
|
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
SAT: SAT VIDE ITS ORDER DATED 18/01/2018 DISPOSED OFF THE APPEAL WITH DIRECTION TO SEBI TO ISSUE SHOW CAUSE NOTICE TO THE APPELLANT WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 15 |
|
|
SUKHDEV BHOSALE
(PAN:BUHPB1708E)
|
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
|
| 16 |
|
|
SURESH UNAVANE
(PAN:AAXPU3881C)
|
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
|
| 17 |
|
|
SWAPNIL SUTAR
(PAN:EKZPS4710N)
|
|
|
DID NOT MAINTAIN INTERNAL SYSTEMS, CHECK & BALANCES AND CONTROL TO KEEP RECORDS OF UNPAID DIVIDEND AND ISSUED NEW INSTRUMENTS FOR UNPAID DIVIDEND
AUTHORIZED ISSUANCES OF NEW CERTIFICATES WITHOUT ANY REQUEST OR AUTHORISATION FROM SHAREHOLDERS
DID NOT MAINTAIN PROPER CONTROL OVER SHARE TRANSFER OPERATIONS
TRANSFERRED SHARES AND DIVIDENDS FROM THE ACCOUNTS OF GENUINE INVESTORS TO ENTITIES LINKED WITH THE TOP MANAGEMENT
FALSIFIED RECORDS TO AVOID AUDIT TRAILS
DID NOT COOPERATE WITH INVESTIGATION AND ATTEMPTED TO MISLED THE INVESTIGATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-MAR-2016 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-MAR-2016 TILL FURTHER ORDERS
22-MAR-2016
|
SEBI VIDE ITS ORDER DATED 03/11/2017 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 22/03/2016
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
