| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
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
|
| 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 |
|
|
ACCURATE SECURITIES & REGISTRY PVT.LTD.
(PAN:AAECD8837D)
|
|
|
PROCESSED TRANSFER OF SHARES DESPITE SIGNIFICANT MISMATCH BETWEEN SIGNATURE OF TRANSFEROR AND HIS SPECIMEN SIGNATURE
DID NOT HAVE ANY SYSTEM/POLICY FOR MAKER-CHECKER WHILE PROCESSING TRANSFER, DEMATERIALISATION, REMATERIALISATION AND TRANSMISSION REQUEST ETC. VIOLATING CLAUSES 8 AND 9 OF CODE OF CONDUCT AS SPECIFIED IN SCHEDULE III OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT EXECUTE TRIPARTITE AGREEMENT WITH ISSUER COMPANIES AND THEIR ERSTWHILE STAS VIOLATING REGULATION 7(4) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000
19-APR-2022
|
SEBI VIDE ITS NOTICE DATED 10/01/2023 DIRECTED TO PAY RS.5,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/01/2023 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
|
| 4 |
|
|
ALANKIT ASSIGNMENTS LTD.
(PAN:AAACA9483E)
|
|
|
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT EXECUTE TRIPARTITE AGREEMENTS WITH SEVEN COMPANIES
DID NOT POSSESS AND MAINTAIN SPECIMEN SIGNATURE CARDS
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
ISSUED DUPLICATE SHARE CERTIFICATE TO INVESTOR OTHER THAN ORIGINAL
SHAREHOLDER
DID NOT OBTAIN TRANSMISSION FORM WHILE PROCESSING TRANSMISSION REQUEST
UPLOADED WRONG SIGNATURE FOR FOLIO
DELAY IN PROCESSING OF DEMAT REQUESTS
PROCESSED CHANGE OF ADDRESS WITHOUT REQUEST
DID NOT CHANGE ADDRESS DESPITE REQUEST
DELAY IN PROCESSING THE TRANSFER OF RE-LODGMENT REQUEST
DID NOT HAVE PROPER DOCUMENTATION FOR PROCESSING OF RE-LODGEMENT REQUEST
DID NOT CONSIDER REJECTION POINTS RAISED BY LISTED COMPANY
DID NOT PROVIDE ORIGINAL TRANSFER DEED AND DID NOT PROVIDE SIGNATURE ON TRANSFEROR ON COPIES OF DEEDS
PROCESSED TRANSFER REQUESTS OF SHARES IN PHYSICAL FORM AFTER CUTOFF DATE 01/04/2019
DID NOT REPORT CHANGES IN APPOINTMENT AND RESIGNATION OF DIRECTORS AND KEY PERSONNEL
DID NOT FURNISH COPIES OF LETTERS SENT TO SHAREHOLDERS FOR COLLECTING PAN AND BANK DETAILS FOR FOLIOS
DID NOT HAVE ADEQUATE SYSTEM (I.E. SYSTEM-BASED ALERTS) IN PLACE TO IDENTIFY THE FOLIOS (AND ALERT THE RTA EMPLOYEE) REQUIRING ENHANCED DUE DILIGENCE WHILE PROCESSING ANY REQUEST
|
IMPOSED PENALTY RS.10,00,000
28-FEB-2025
|
SAT: SAT VIDE ITS ORDER DATED 12/06/2025 CONDONED THE DELAY OF 11 DAYS IN FILING OF APPEAL AND GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 5 |
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
