| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
3I INFOTECH LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF NEGATIVE NET-WORTH VIOLATING REGULATION 7 READ WITH 9A(1) (D) OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUN-2019
|
|
| 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 |
|
|
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
|
| 4 |
|
|
ACCURATE SECURITIES & REGISTRY PVT.LTD.
(PAN:AAECD8837D)
|
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|
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 |
|
|
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
|
| 6 |
|
|
ACCURATE SECURITIES & REGISTRY PVT.LTD.
(PAN:AAECD8837D)
|
|
|
DID NOT MAINTAIN MINIMUM NETWORTH OF RS.50 LACS DURING ALL TIMES DURING PERIOD OF REGISTRATION WITH SEBI VIOLATING REGULATION 9A(D) OF SEBI (RTA AND STA) REGULATIONS, 1993
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-SEP-2020
|
|
| 7 |
|
|
ADROIT CORPORATE SERVICES PVT.LTD.
|
|
|
DID NOT MAINTAIN SPECIMEN SIGNATURES OF SHAREHOLDER HOLDING SHARES IN PHYSICAL FORM
PROCESSED REQUEST FOR DEMATERIALISATION OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
ISSUED DUPLICATE SHARE CERTIFICATE WITHOUT HAVING SPECIMEN SIGNATURES
DID NOT ADHERE TO REQUIREMENT OF OBTAINING NISM CERTIFICATION BY STAFF MEMBERS
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 21-OCT-2020 TO 20-JAN-2021
21-OCT-2020
|
|
| 8 |
|
|
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
|
| 9 |
|
|
ALANKIT ASSIGNMENTS LTD.
(PAN:AAACA9483E)
|
|
|
DISCREPANCIES IN REGISTER OF MEMBERS (ROM) OF INDIAN ACRYLICS LTD. AND
STATE BANK OF INDIA
DID NOT MARK FOLIOS WITHOUT PAN AND WITHOUT BANK ACCOUNT DETAILS FOR ENHANCED DUE DILIGENCE DURING INSPECTION PERIOD
|
IMPOSED PENALTY RS.5,00,000
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
|
| 10 |
|
|
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
|
| 11 |
|
|
BIGSHARE SERVICES PVT.LTD.
|
|
|
ALLEGED VIOLATION OF REGULATION 14(3)(C) OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993 READ WITH SEBI CIRCULAR ISSUED VIZ.RRTI CIRCULAR NO.1(94-95) DATED 11/10/1994
ALLEGED VIOLATION OF CLAUSES 2 AND 3 OF CODE OF CONDUCT AS PER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
ALLEGED VIOLATION OF RTI CIRCULAR NO.1 (2000-2001) DATED 09/05/2001 AND CLAUSES 3 AND 4 OF CODE OF CONDUCT AS UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
ALLEGED VIOLATION OF CLAUSE 3 OF CIRCULAR NO.CIR/MIRSD/7/2012 DATED 05/07/2012 AND CLAUSE 2 OF CODE OF CONDUCT AS UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.68,25,000 VIDE CONSENT ORDER)
04-MAR-2022
|
|
| 12 |
|
|
BIGSHARE SERVICES PVT.LTD.
|
|
|
ALLEGED INDULGENCE IN IRREGULARITIES AND LACK OF DUE DILIGENCE AND PROPER CARE IN PROCESSING OF APPLICATIONS RECEIVED IN PUBLIC ISSUE OF NISSAN COPPER LTD. AND OTHER ISSUES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
07-SEP-2009
|
|
| 13 |
|
|
BTS CONSULTANCY SERVICES PVT.LTD.
(PAN:AACCB8463B)
|
|
|
DELAY IN RENEWAL OF AGREEMENT WITH CLIENT COMPANIES VIOLATING REGULATION 9A OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DID NOT FRAME INTERNAL PROCEDURES & STANDARDS IN TERMS OF TIMELINES FOR ITS VARIOUS STA RELATED ACTIVITIES VIOLATING CLAUSE 27 OF CODE OF CONDUCT AS PRESCRIBED IN SCHEDULE III UNDER REGULATION 13 OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DID NOT EXERCISE DUE DILIGENCE IN CARRYING OUT NECESSARY ACTIVITIES PERTAINING TO DIVIDEND WARRANTS VIOLATING CLAUSES 2 AND 5(C) OF CODE OF CONDUCT AS PRESCRIBED IN SCHEDULE III UNDER REGULATION 13 OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DELAY IN TRANSFER OF PHYSICAL SHARES, DEMATERIALIZATION OF SHARES, DEPATCH OF DUPLICATE SHARES, TRANSMISSION OF SHARES, UPDATION OF CHANGE OF ADDRESS ETC. VIOLATING CLAUSES 2 AND 5(C) OF CODE OF CONDUCT AS PRESCRIBED IN SCHEDULE III UNDER REGULATION 13 OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
|
IMPOSED PENALTY RS.1,00,000
21-SEP-2017
|
SAT: SAT VIDE ITS ORDER DATED 10/01/2018 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 20/08/2018 ACCEPTED MISC.APPLICATION FOR RESTORING THE APPEAL. NO COSTS
|
| 14 |
|
|
CAMEO CORPORATE SERVICES LTD.
(CIN:U67120TN1998PLC041613)
|
|
|
DID NOT EXERCISE PROPER DUE DILIGENCE WHILE PROCESSING VARIOUS REQUESTS RECEIVED FROM CLAIMANTS/IMPOSTERS VIOLATING CLAUSES 2, 3 AND 16 OF CODE OF CONDUCT IN SCHEDULE III OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 18-OCT-2019
18-OCT-2019
|
SEBI VIDE ITS ORDER DATED 07/11/2019 A) CONFIRMED DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 18/10/2019 B) DIRECTED SEBI TO CARRY OUT A SPECIAL PURPOSE INSPECTION TO INSPECT BOOKS OF ACCOUNTS INCLUDING DUE DILIGENCE ADOPTED BY NOTICEE IN RESPECT OF UNCLAIMED SHARES, PROCEDURE BEING FOLLOWED FOR ISSUE OF DUPLICATE SHARES, STEPS TAKEN BY THE NOTICEE WITH REGARD TO RECTIFICATION OF REGISTER OF MEMBERS PERTAINING TO WRONG TRANSFER OF SHARES ETC. WITHIN NINETY DAYS FROM DATE OF THIS ORDER. INTERIM ORDER SHALL CONTINUE TILL THE EXPIRY OF NINETY DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 26/11/2019 PARTLY ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 18/10/2019 IN SO FAR AS IT RESTRAINED THE APPELLANT FROM ACCEPTING FRESH CLIENTS. NO COSTS
|
| 15 |
|
|
CAMEO CORPORATE SERVICES LTD.
(CIN:U67120TN1998PLC041613)
|
|
|
FAILED IN MAINTAINING PROPER RECORD OF PREPRINTED STATIONERY I.E. SHARE CERTIFICATES IN MATTER OF PENTAMEDIA GRAPHICS LTD.
|
IMPOSED PENALTY RS.1,50,000
30-NOV-2009
|
SAT: SAT VIDE ITS ORDER DATED 21/06/2017 ALLOWED THE APPELLANT TO WITHDRAWN THE APPEAL AS ALSO MISC. APPLICATION. NO COSTS
|
| 16 |
|
|
CB MANAGEMENT SERVICES PVT.LTD.
(PAN:AABCC1781C)
|
|
|
DELAY IN PROCEESING OF TRANSMISSION REQUESTS OF SHARES OF EASTERN INVESTMENTS LTD. VIOLATING CLAUSE 2 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 13 OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DID NOT SEND INTIMATION TO EXCHANGE (S) IN RESPECT OF ISSUANCE OF DUPLICATE SHARES OF 15 COMPANIES VIOLATING CLAUSE 2 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 13 OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DELAY IN SENDING INTIMATION TO EXCHANGE (S) IN RESPECT OF ISSUANCE OF DUPLICATE SHARES OF 2 COMPANIES VIOLATING CLAUSE 2 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 13 OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DELAY IN EFFECTING REQUEST FOR CHANGE OF ADDRESS AND BANK DETAILS ETC. VIOLATING CLAUSE 1(A) OF SCHEDULE I TO DRAFT OF AGREEMENT BETWEEN SHARE TRANSFER AGENT AND COMPANY SPECIFIED VIDE RTI CIRCULAR NO.1 (94-95) DATED 11/10/1994
DID NOT TAKE ACTION/REDRESSED INVESTOR’S GRIEVANCES WITHIN STIPULATED TIME VIOLATING REGULATION 9(A) (E) OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DID NOT PROCESS REQUESTS OF TRANSFER, DEMAT, REMAT, DUPLICATE ETC. FROM SHARESHOLDERS VIOLATING REGULATION 14(3) (C) OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993 READ WITH INSTRUCTION 2 (VII) OF RTI CIRCULAR NO.1 (94-95) DATED 11/10/1994
|
IMPOSED PENALTY RS.11,00,000
13-FEB-2017
|
SAT: SAT VIDE ITS ORDER DATED 26/06/2018 DISPOSED OFF APPEAL AND MISC.APPLICATION. GRANTED APPROVAL UNDER SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATIONS, 2014 FOR SETTLEMENT. NO COSTS
|
| 17 |
|
|
CB MANAGEMENT SERVICES PVT.LTD.
(PAN:AABCC1781C)
|
|
|
DID NOT MAINTAIN SPECIMEN SIGNATURES OF SHAREHOLDER HOLDING SHARES IN PHYSICAL FORM
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DELAY IN PROCESSING OF TRANSMISSION OF SHARES
|
IMPOSED PENALTY RS.3,00,000
30-AUG-2022
|
|
| 18 |
|
|
CB MANAGEMENT SERVICES PVT.LTD.
(PAN:AABCC1781C)
|
|
|
DRAFT AGREEMENT AS PRESCRIBED BY SEBI TAMPERED IN ITS AGREEMENT WITH EXIDE INDUSTRIES LTD.
DID NOT MAINTAIN SYSTEM LOGS CONTAINING RECORDS OF CHANGES CARRIED OUT IN FOLIO
DID NOT ENABLE SYSTEM BASED ALERTS OR POP-UPS WITH RESPECT TO FOLIOS WITH DIVIDENDS UNPAID FOR MORE THAN THREE YEARS
DID NOT MAINTAIN PHYSICAL REGISTER TO RECORD DESTRUCTION OF DOCUMENTS
|
IMPOSED PENALTY RS.4,00,000
28-FEB-2025
|
|
| 19 |
|
|
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
|
| 20 |
|
|
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
|
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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