| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Depository Participants : CDSL/NSDL,Member : BSE/NSE/OTC)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT REDRESS INVESTOR COMPLAINTS
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED SEBI CODE OF CONDUCT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)^CO^08-APR-2009
D FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
17-AUG-2007~
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LTD. ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI'S WITHIN 30 DAYS
|
| 2 |
|
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
|
|
|
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT POSSESS AND MAINTAIN SPECIMEN SIGNATURE CARDS
DID NOT MARK FOLIOS FOR ENHANCED DUE DILIGENCE
DID NOT MAINTAIN SYSTEM FOR SYSTEM-BASED ALERTS TO EXERCISE ENHANCED DUE DILIGENCE
DID NOT ISSUE LETTERS UNDER REGISTERED/SPEED POST SEEKING PAN AND BANK DETAILS TO ALL FOLIO HOLDERS FOR WHICH PAN AND BANK DETAILS WERE NOT AVAILABLE
DID NOT APPOINT COMPLIANCE OFFICER
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 28-AUG-2024 TO 27-SEP-2024
28-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 05/09/2024 STAYED OPERATION OF IMPUGNED ORDER AND GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 3 |
|
|
ABS CONSULTANT PVT.LTD.
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
01-FEB-2006
|
|
| 4 |
|
|
ALANKIT ASSIGNMENTS LTD.
(PAN:AAACA9483E)
|
|
|
ALLEGED DELAY IN REDRESSAL OF COMPLAINTS
ALLEGED DEFAULT IN MAINTENANCE OF BOOK OF ACCOUNTS AND RECORDS
ALLEGED DELAY IN SUBMISSION OF NET WORTH CERTIFICATE
ALLEGED FAILURE IN COMPLYING WITH MODEL AGREEMENT
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE WHILE EXECUTING TRIPARTITE AGREEMENT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,75,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
31-AUG-2009
|
|
| 5 |
|
|
GLOBAL FINANCE CORP.LTD.
|
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 19-JUN-1997
19-JUN-1997
|
|
| 6 |
|
|
IKON VISIONS PVT.LTD.
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN MATTER OF CONSORTEX KARL DOELITZEH (INDIA) LTD.
FAILED TO RECONCILE RECORDS OF DEMATERIALISED SECURITIES WITH THE SECURITIES ISSUED ON DAILY BASIS
|
DIRECTED NOT TO TRANSFER SHARES OF CONSORTEX KARL DOELITZEH (INDIA) LTD. HELD BY DIRECTORS
29-SEP-2005
|
|
| 7 |
|
|
MCS LTD.
(PAN:AAACM8027G)
|
|
|
|
ALOK AGARWAL
|
|
|
RAMESH AGARWAL
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN PUBLIC ISSUE OF OIL & NATURAL GAS CORP.LTD., POWER TRADING CORP.OF INDIA LTD. & BANK OF MAHARASHTRA LTD.
VIOLATED RULE 4(1) (E) OF SEBI (REGISTRARS TO AN ISSUE & SHARE TRANSFER AGENTS) RULES, 1993
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 05-JUL-2007 TO 19-JUL-2007
14-JUN-2007
|
|
| 8 |
|
|
SRG INFOTEC LTD.
|
|
|
MANIPULATED PUBLIC ISSUE OF V.R.MATHUR MASS COMMUNICATIONS LTD.
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY AND FAIRNESS IN CONDUCT OF BUSINESS
|
CANCELLED REGISTRATION AS REGISTRAR
16-MAY-2002
|
SAT: ORDER MODIFIED WITH NO ORDER AS TO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
