| 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 |
|
|
ALANKIT ASSIGNMENTS LTD.
(PAN:AAACA9483E)
|
|
|
DELAY IN LODGING COMPLAINTS/REQUESTS IN RECORDS/SYSTEM DURING INSPECTION PERIOD
DID NOT SUBMIT CORRECT DATA
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS FROM 13-APR-2023 TO 12-OCT-2023
13-APR-2023
|
SAT: SAT VIDE ITS ORDER DATED 18/05/2023 PARTLY ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 13/04/2023
|
| 3 |
|
|
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
|
|
| 4 |
|
|
BEETAL FINANCIAL & COMPUTER SERVICES PVT.LTD.
|
|
|
DEFAULTED IN MAINTENANCE OF DOCUMENTS
DID NOT REDRESS INVESTOR COMPLAINTS WITHIN TIME PRESCRIBED BY SEBI
DID NOT RECONCILE DEMAT REQUESTS ON A DAILY BASIS
|
IMPOSED PENALTY RS.30,000
30-SEP-2011
|
|
| 5 |
|
|
INDUS PORTFOLIO PVT.LTD.
(PAN:AABCI3730R)
|
|
|
PROCESSED TRANSFER AND TRANSMISSION REQUESTS WITHOUT OBTAINING PROPER DOCUMENTS AND ON THE BASIS OF DEFICIENT/FAKE DOCUMENT
DID NOT MAINTAIN PROPER DOCUMENTS, RECORDS, SYSTEM LOG AND SYSTEM BASED ALERTS TO EXERCISE ENHANCED DUE DILIGENCE
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 13-MAR-2023 TO 30-JUN-2023
13-MAR-2023
|
|
| 6 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS WITHIN TIME PRESCRIBED BY SEBI
DID NOT DEMATERIALIZE AND REMATERIALIZE SECURITIES IN PRESCRIBED TIME
DID NOT EXERCISE DUE DILIGENCE WHILE PROCESSING APPLICATIONS WHICH WERE RECEIVED IN VARIOUS PUBLIC ISSUES
|
IMPOSED PENALTY RS.3,00,000
22-FEB-2012
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 7 |
|
|
MAHESHWARI DATAMATICS PVT.LTD.
(PAN:AADCM6570H)
|
|
|
CONSIDERABLE DELAY IN DEMATERIALIZATION OF SHARES HELD BY PUBLIC SHAREHOLDERS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAINTAIN DATABASE AND RECORDS OF INVESTOR COMPLAINTS
REQUEST FOR REMATERIALIZATION OF SHARES WERE EXECUTED (ACCEPTED AND REJECTED) BEYOND 30 DAYS OF SUCH REQUESTS
DID NOT HAVE ANY INTERNAL CONTROL SYSTEM IN RESPECT OF DESTRUCTION OF PHYSICAL SHARES AFTER THEY WERE DEMATERIALIZED
|
IMPOSED PENALTY RS.1,00,000
25-FEB-2011
|
|
| 8 |
|
|
MCS LTD.
(PAN:AAACM8027G)
|
|
|
DID NOT REDRESS INVESTOR GRIEVANCES DESPITE BEING DIRECTED BY SEBI
ACCEPTED OVERLAPPING MANDATES FOR THREE LARGE PUBLIC ISSUES WITHOUT HAVING PROPER INFRASTRUCTURE/MANPOWER
|
IMPOSED PENALTY RS.2,00,000
24-JAN-2006
|
|
| 9 |
|
|
MCS LTD.
(PAN:AAACM8027G)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS WITHIN TIME PRESCRIBED BY SEBI
|
IMPOSED PENALTY RS.25,00,000
03-MAR-2009
|
SAT: IMPUGNED ORDER DATED 03/03/2009 MODIFIED AND PENALTY AMOUNT REDUCED TO RS.1,00,000 FROM RS.25,00,000 VIDE ORDER DATED 06/05/2010. NO ORDER AS TO COSTS
|
| 10 |
|
|
SHAREPRO SERVICE INDIA PVT.LTD.
(PAN:AAICS5500L)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.1,00,000
04-JUN-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
