| 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 MARK FOLIOS FOR ENHANCED DUE DILIGENCE
DID NOT PROVIDE INFORMATION REGARDING LETTERS SENT TO ITS SHAREHOLDERS FOR WHOM SIGNATURE CARDS WERE NOT AVAILABLE
DID NOT HAVE AUTOMATIC “SYSTEM BASED ALERT” MECHANISM FOR ENHANCED DUE DILIGENCE TO GENERATE APPROPRIATE ALERTS
DID NOT REGISTER AGREEMENT BETWEEN REGISTRAR TO AN ISSUE & SHARE TRANSFER AGENT AND ITS CLIENT RTCL LTD.
PROCESSED TRANSMISSION REQUESTS WITHOUT OBTAINING REQUISITE DOCUMENTS AND DELAY IN PROCESSING OF TRANSMISSION REQUESTS
REJECTED REQUEST DEMATERIALIZATION OF SHARES
DID NOT PROCESS REQUEST FOR CHANGE OF ADDRESS
DID NOT PROCESS REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
|
IMPOSED PENALTY RS.7,00,000
24-JUN-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 |
|
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ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
|
|
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ALLEGED MAINTENANCE OF RECORDS AT PLACES OTHER THAN INTIMATED TO SEBI
ALLEGED FAILURE IN SUBMITTING ACCURATE INFORMATION REGARDING ITS CLIENTS, MAINTAIN AND SUBMIT STATEMENT OF CAPITAL ADEQUACY ETC TO SEBI
ALLEGED PROVIDING OF WRONG INFORMATION REGARDING “ASSOCIATES” TO SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
11-APR-2011
|
COMPANY VIDE DD NO.410937 DATED 17/02/2011 DRAWN ON HDFC BANK LTD. HAS PAID RS.8 LACS TOWARDS SETTLEMENT CHARGES
|
| 4 |
|
|
ACCURATE SECURITIES & REGISTRY PVT.LTD.
(PAN:AAECD8837D)
|
|
|
DID NOT MAINTAIN QUARTERLY STATEMENT OF CAPITAL ADEQUACY
DID NOT DISPLAY BASIC INFORMATION REGARDING GRIEVANCE REDRESSAL MECHANISM
DID NOT MAINTAIN PHYSICAL INWARD REGISTER
DID NOT PROVIDE WITH SCANNED COPIES OF TRIPARTITE AGREEMENTS
PROVIDED WRONG INFORMATION AND DID NOT FURNISH REQUIRED INFORMATION
DID NOT HAVE VERIFIABLE RECORD OF FOLIOS AS ON DATE OF CIRCULAR WHICH DO NOT HAVE PAN/BANK ACCOUNT DETAILS VIOLATING SEBI CIRCULAR DATED 20/04/2018
|
IMPOSED PENALTY RS.4,00,000
15-MAR-2024
|
SEBI VIDE ITS NOTICE DATED 06/05/2024 DIRECTED TO PAY RS.4,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 06/05/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 5 |
|
|
AMI COMPUTERS (I) LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 25-SEP-2007
DIRECTED TO TRANSFER RECORDS OF CLIENTS TO ANOTHER AGENCY/CONCERNED COMPANIES
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
25-SEP-2007
|
|
| 6 |
|
|
COMPUTECH SHARECAP LTD.
|
|
|
DID NOT FILE HALF YEARLY REPORTS TO SEBI VIOLATING OF SEBI CIRCULAR NO.CIR/MIRSD/7/2012 DATED 05/07/2012
DELAY IN FILING HALF YEARLY REPORTS TO SEBI VIOLATING OF SEBI CIRCULAR NO.CIR/MIRSD/7/2012 DATED 05/07/2012
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT MAINTAIN AND FURNISH THE RECORDS VIOLATING CLAUSE 2, 16, 17, 18 AND 20 OF CODE OF CONDUCT PRESCRIBED UNDER SCHEDULE III READ WITH REGULATIONS 13 AND 18 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
|
CANCELLED REGISTRATION AS REGISTRAR
11-JUN-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/07/2021 ALLOWED RESPONDENT TO THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANTIME, IF APPELLANT DEPOSITS RS.25 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER BEFORE THE RESPONDENT, EFFECT AND OPERATION OF IMPUGNED ORDER WILL BE REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 06/09/2021 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
|
| 7 |
|
|
KNACK CORPORATE SERVICES PVT.LTD.
|
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 13 WITH CLAUSES 2 AND 3 OF CODE OF CONDUCT UNDER SCHEDULE 111 OF SEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993
|
CANCELLED REGISTRATION AS REGISTRAR
29-JUN-2015
|
|
| 8 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE FURNISHING INFORMATION TO SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,50,000 VIDE CONSENT ORDER)
01-APR-2025
|
|
| 9 |
|
|
MCS SHARE TRANSFER AGENT LTD.
(PAN:AAHCM3618E)
|
|
|
DID NOT MAINTAIN INWARD REGISTER ON DAY TO DAY BASIS AND NOT AFFIXED INWARD NUMBER & DATE OF RECEIPT PERTAINING TO REQUESTS/COMPLAINTS ON THE SAME DAY
PROCESSED REQUEST FOR DEMATERIALISATION OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DELAY IN UPDATION OF CHANGE OF ADDRESS AND BANK ACCOUNT DETAILS
DID NOT CO-OPERATE AND NOT SUBMITTED DOCUMENTS DURING INSPECTION
|
IMPOSED PENALTY RS.3,00,000
29-APR-2022
|
|
| 10 |
|
|
SKYLINE FINANCIAL SERVICES PVT.LTD.
|
|
|
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT MAINTAIN SPECIMEN SIGNATURES OF SHAREHOLDER HOLDING SHARES IN PHYSICAL FORM
ISSUED DUPLICATE SHARE CERTIFICATES WITHOUT VERIFICATION
PROCESSED TRANSFER AND TRANSMISSION REQUESTS WITHOUT OBTAINING PROPER DOCUMENTS AND ON THE BASIS OF DEFICIENT/FAKE DOCUMENT
DID NOT MAINTAIN DATABASE OF DEMAT ALERT REQUEST
DID NOT MAINTAIN CHANGE OF BANK ACCOUNT DETAILS REQUEST
DID NOT MAINTAIN PROOF OF IDENTITY & ADDRESS OF CLIENTS AND DID NOT SUBMIT PAN OF SELLER
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
|
IMPOSED PENALTY RS.8,00,000
27-MAR-2023
|
|
| 11 |
|
|
SPS INTERNATIONAL LTD.
|
|
|
|
S.K.JAIN
|
|
ALLOTTED SHARES TO APPLICANTS WHO HAD APPLIED MUCH AFTER CLOSURE OF PUBLIC ISSUE OF GOLD MULTIFAB LTD.
DID NOT ENSURE PROPER DESPATCH OF SHARE CERTIFICATES AND REFUND ORDERS IN PUBLIC ISSUE OF GOLD MULTIFAB LTD.
PROVIDED FALSE/MISLEADING INFORMATION TO SEBI IN RESPECT TO SUBSCRIPTION RECEIVED AND DESPATCH OF SHARES IN THE PUBLIC ISSUE OF GOLD MULTIFAB LTD.
PROMOTERS OF GOLD MULTIFAB LTD./DIRECTORS ARRANGED FINANCE FOR CIRCUMVENTING REQUIREMENT OF MINIMUM SUBSCRIPTION IN ITS PUBLIC ISSUE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-SEP-2002 TO 19-SEP-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-SEP-2002 TO 19-SEP-2004
18-SEP-2002
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
