| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
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
|
| 2 |
|
|
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
|
| 3 |
|
|
CB MANAGEMENT SERVICES PVT.LTD.
(PAN:AABCC1781C)
|
|
|
DID NOT PRESERVE DOCUMENTS ON THE BASIS OF WHICH DUPLICATE SHARE CERTIFICATES WERE ISSUED
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
DID NOT MAINTAIN PROPER RECORDS IN RESPECT OF REJECTION OF SHARES SENT BY INVESTORS FOR DEMATERIALIZATION
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2011
|
|
| 4 |
|
|
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
|
| 5 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
DID NOT CLOSE 62 VULNERABILITIES (9 CRITICAL AND 17 HIGH) IMMEDIATELY AFTER DETECTION THROUGH VULNERABILITY ASSESSMENT & PENETRATION TESTING (VAPT) AUDIT WITHIN THREE MONTHS
|
IMPOSED PENALTY RS.1,00,000
30-DEC-2024
|
|
| 6 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
DID NOT CLOSE 62 VULNERABILITIES (9 CRITICAL AND 17 HIGH) IMMEDIATELY AFTER DETECTION THROUGH VULNERABILITY ASSESSMENT & PENETRATION TESTING (VAPT) AUDIT WITHIN THREE MONTHS
DID NOT REVIEW IMPLEMENTATION OF CYBER SECURITY VIOLATING CLAUSE 7 OF ANNEXURE A TO SEBI CIRCULAR DATED 08/09/2017
|
IMPOSED PENALTY RS.1,00,000
11-FEB-2025
|
|
| 7 |
|
|
SHAREX DYNAMIC (INDIA) PVT.LTD.
|
|
|
ALLEGED ALLOWING ITS CLIENT CHITRAKUT COMPUTERS PVT.LTD.TO TRANSFER THE SHARES IN OFF-MARKET, WHO WAS DEBARRED BY SEBI IN MATTER OF BAFFIN ENGINEERING PROJECTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
07-DEC-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
