| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
CAMEO CORPORATE SERVICES LTD.
(CIN:U67120TN1998PLC041613)
|
|
|
|
R.D.RAMASWAMY
|
|
|
R.RAVI
|
|
ALLOTTED SHARES IN PHYSICAL FORM INSTEAD OF DEMAT FORM
|
IMPOSED PENALTY RS.7,00,000
30-JUN-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.50,0000 FROM RS.7,00,000
|
| 2 |
|
|
COMPUQUICK DATAMATION (INDIA) LTD.
|
|
|
|
NALIN P.PATEL
|
|
|
PARAGI N.PATEL
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF DHANLAXMI LEASE FINANCE LTD. (MULTIPLE AND BENAMI APPLICATIONS, INCOMPLETE APPLICATIONS, APPLICATIONS ACCEPTED AFTER CLOSURE OF THE ISSUE ETC.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-JUL-2009
|
|
| 3 |
|
|
DYNAMIC SUPERWAYS & EXPORTS LTD.
|
|
|
DID NOT CARRY INSCRIPTION NON-TRANSFERABLE ON SHARES WHICH WERE UNDER LOCK-IN
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
29-OCT-2004
|
|
| 4 |
|
|
FINTECH COMPU SYSTEMS LTD.
|
|
|
ACCEPTED BOGUS APPLICATIONS, ALLOTTED SHARES TO APPLICANTS AND RETURNED APPLICATION MONIES TO THESE APPLICANTS AFTER CLOSURE OF PUBLIC ISSUE
DID NOT EXERCISE DUE DILIGENCE TO DETERMINE BASIS OF ALLOTMENT AND LIST OF PERSONS ENTITLED TO ALLOTMENT
DID NOT ENSURE THAT STOCKINVESTS WERE REALIZED BEFORE SENDING ALLOTMENT ADVICES TO ALLOTTEES
COMMITTED IRREGULARITIES IN DISPATCH OF SHARE CERTIFICATES
SOLD SOME PARTLY PAID SHARES AS FULLY PAID SHARES (PROMOTERS OF PCL) BY AFFIXING FORGED BANK ACKNOWLEDGEMENTS ON ALLOTMENT ADVICES
DID NOT MAINTAIN RECORD OF ACKNOWLEDGEMENT FOR RECEIPT OF FAKE SHARES FOR TRANSFER WHICH MADE IT IMPOSSIBLE TO ASCERTAIN THE IDENTITIES OF THE PERSONS WHO INTRODUCED FAKE SHARES IN THE MARKET FOR CIRCULATION
REGISTRATION OF FINTECH HAD EXPIRED ON OCTOBER 30, 2003 WITHOUT ANY RENEWAL APPLICATION HAVING BEEN RECEIVED
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 10-SEP-2004 TO 09-SEP-2006
10-SEP-2004
|
|
| 5 |
|
|
INTEGRATED ENTERPRISES (INDIA) LTD.
(PAN:AAACI1509F)
|
|
|
DID NOT ENTER INTO AGREEMENT WITH ISSUER COMPANIES
COMMITTED IRREGULARITIES IN ACCEPTING APPLICATIONS IN PUBLIC ISSUE
COMMITTED IRREGULARITIES IN STOCKINVESTS
COMMITTED IRREGULARITIES IN EFFECTING TRANSFERS
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 27-JUN-2000 TO 26-SEP-2000
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
27-JUN-2000
|
|
| 6 |
|
|
KARVY CONSULTANTS LTD.
(PAN:AAACK4247L)
|
|
|
|
RAMASWAMY
|
|
|
S.G.SUBRAMANIAN
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE IN PUBLIC ISSUE OF RAJESH EXPORTS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-OCT-2002
|
|
| 7 |
|
|
NIPAR FINANCIAL SERVICES LTD.
|
|
|
|
AKSHAY ASHWIN PARIKH
|
|
|
NITIN HASMUKH PARIKH
|
|
DID NOT EXERCISE DUE DILIGENCE IN PUBLIC ISSUE OF GROWMORE SOLVENTS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUL-2004 TO 21-JUL-2006
22-JUL-2004
|
SAT: IMPUGNED ORDER UPHELD BUT ABSOLVED PENALTY IMPOSED ON NITIN HASMUKH PARIKH
|
| 8 |
|
|
R&D CONSULTANTS LTD.
|
|
|
COMMITTED IRREGULARITIES IN ALLOTMENT OF SHARES AND FAILURE IN ENSURING DISPATCH OF SHARE CERTIFICATES THROUGH REGISTERED POST IN OFFER FOR SALE OF HOME TRADE LTD.
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 21-NOV-2003 TO 20-MAR-2004
31-OCT-2003
|
|
| 9 |
|
|
SINDHU CORPORATE SERVICES PVT.LTD.
|
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF SANKHYA INFOTECH LTD.
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 10-JUL-2004 TO 09-OCT-2004
18-JUN-2004
|
|
| 10 |
|
|
SOFTRAK TECHNOLOGY EXPORTS LTD.
|
|
|
IRREGULARITIES IN DESPATCH OF SHARES TO ALLOTTEES
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 02-DEC-1997 TO 01-DEC-1998
02-DEC-1997
|
|
| 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
|
|
| 12 |
|
|
SRG INFOTEC LTD.
|
|
|
MANIPULATED PUBLIC ISSUE OF V.R.MATHUR MASS COMMUNICATIONS LTD. WHEREIN MINIMUM SUBSCRIPTION WAS NOT RECEIVED BEFORE ISSUE CLOSURE DATE
ACCEPTED APPLICATIONS FROM CERTAIN INVESTORS ACCOMPANIED BY STOCKINVESTS, MUCH AFTER ISSUE CLOSURE DATE
PROVIDED INCORRECT FIGURES IN 3-DAY AND 7-DAY REPORTS SUBMITTED TO SEBI
DID NOT ENTER INTO AGREEMENT WITH ISSUER COMPANIES
DEFAULTED IN MAINTENANCE OF VARIOUS RECORDS
DEFAULTED IN MAINTENANCE OF DOCUMENTS
DEFAULTED IN MAINTENANCE OF REGISTERS
|
CANCELLED REGISTRATION AS REGISTRAR
16-MAY-2002
|
|
| 13 |
|
|
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
|
| 14 |
|
|
SRIVEN CORPORATE SERVICES PVT.LTD.
|
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF SAATAL KATTHA & CHEMICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2004 TO 12-JAN-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2004 TO 12-JAN-2007
13-JAN-2004
|
|
| 15 |
|
|
SUN GROW DATASOFT PVT.LTD.
|
|
|
|
RAJESH GUPTA
|
|
|
V.M.JINDAL
|
|
INDULGED IN IRREGULARITIES IN PUBLIC ISSUE OF BHARTHARI FINANCIAL SERVICES LTD
INDULGED IN SPECULATIVE GREY MARKET OPERATIONS PRECEDING LISTING OF EQUITY SHARES OF BHARTHARI FINANCIAL SERVICES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-MAR-2009
|
|
| 16 |
|
|
VIBRA FINANCIAL SERVICES LTD.
|
|
|
ALLOTTED SHARES TO APPLICANTS EVEN WHEN NO CONSIDERATION WAS RECEIVED IN PUBLIC ISSUE OF G.S.ORGANICS LTD. AND ALLOTTED SHARES WITHOUT RECEIVING MINIMUM SUBSCRIPTION
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 15-DEC-1999 TO 14-JAN-2000
15-DEC-1999
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
