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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 10-JAN-2026

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

REGISTRARS: VIOLATIONS SPECIFIED IN EARLIER SEBI/NSE ORDERS/CIRCULARS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person KFIN TECHNOLOGIES LTD.

(PAN:AAGCK6303B)  
  ALLEGED FAILURE IN EXERCISING DUE DILIGENCE WHILE PROCESSING REQUEST FOR DEMATERIALISATION OF SHARES

ALLEGED FAILURE IN MARKING FOLIOS NOT HAVING PAN OR BANK ACCOUNT DETAILS   		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.87,75,000 VIDE CONSENT ORDER)

26-AUG-2025 		 
2
History of entity/person 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.

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