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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.

REGISTRARS: WARNED/DIRECTED TO EXERCISE DUE CARE AND CAUTION WHILE CONDUCTING BUSINESS AS REGISTRAR TO ISSUE & SHARE TRANSFER AGENT

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

(PAN:AABCI3730R)  
  DID NOT VERIFY PAN DETAILS OF CLIENTS FROM WEBSITE OF INCOME TAX DEPARTMENT

DID NOT EXAMINE BASIC DOCUMENTS SUCH AS SIGNATURE SPECIMEN AND PAN DETAILS

DID NOT HAVE ANY SYSTEM TO MAINTAIN LOGS AND GENERATION OF ALERTS   		PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS REGISTRAR

WARNED/DIRECTED TO EXERCISE DUE CARE AND CAUTION WHILE CONDUCTING BUSINESS AS REGISTRAR TO ISSUE & SHARE TRANSFER AGENT

13-MAR-2023 		 
2
History of entity/person S.K.INFOSOLUTIONS PVT.LTD.  
  PROVIDED SERVICES WITHOUT ENTERING INTO VALID AGREEMENTS WITH CLIENTS

DID NOT MAINTAIN PHYSICAL INWARD REGISTER

DID NOT COLLECT REQUISITE DOCUMENTS TO PROCESS TRANSMISSION REQUESTS

DID NOT PROCESS TRANSFER RE-LODGMENT REQUEST AS PER EXTANT REGULATIONS/CIRCULARS ETC.

DID NOT PROCESS DIVIDEND REVALIDATION REQUEST IN ADHERENCE TO REGULATIONS/CIRCULARS ETC.

PAID MAJORITY OF REVALIDATED DIVIDEND ONLY THROUGH DD AND FAILED TO KEEP RECORD

DID NOT MAINTAIN SYSTEM LOG

DID NOT MAINTAIN SYSTEM FOR SYSTEM-BASED ALERTS TO EXERCISE ENHANCED DUE DILIGENCE

DID NOT PRODUCE RECORDS FOR ISSUING LETTERS TO PHYSICAL SHAREHOLDERS WHOSE PAN, BANK DETAILS WERE NOT AVAILABLE

DID NOT FRAME POLICY REGARDING CONTROL ON STATIONERY

DID NOT MAINTAIN REGISTER FOR RECORD OF DESTRUCTION OF DOCUMENTS   		WARNED/DIRECTED TO EXERCISE DUE CARE AND CAUTION WHILE CONDUCTING BUSINESS AS REGISTRAR TO ISSUE & SHARE TRANSFER AGENT

DIRECTED TO APPOINT INDEPENDENT QUALIFIED PRACTICING COMPANY SECRETARY WHO DOES NOT HAVE ANY CONFLICT OF INTEREST AND WHO HAS NOT BEEN ENGAGED EARLIER NOTICE, TO CONDUCT AUDIT OF CORRECTIVE ACTIONS TAKEN TO CURE LAPSES

DIRECTED TO FILE AUDIT REPORT

06-OCT-2023 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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