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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
UPDATED TILL : 11-APR-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.

COMPANIES: PROHIBITED FROM TAKING ANY NEW ASSIGNMENT I.E.NEW CLIENTS AS A MERCHANT BANKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person AFCO CAPITAL INDIA PVT.LTD.

(PAN:AACCF0194M)  
  DID NOT OBTAIN SOFTWARE TO MAINTAIN STRUCTURED DIGITAL DATABASE VIOLATING REGULATIONS 9A(1)(E) AND 13 READ WITH CLAUSE 21 OF SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992

DID NOT MAINTAIN ARMS–LENGTH DISTANCE BETWEEN OTHER GROUP COMPANIES VIOLATING REGULATIONS 9A(1)(E) AND 13 READ WITH CLAUSE 18 OF SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992

COMPLIANCE OFFICER DID NOT HOLD NISM SERIES IIIA CERTIFICATE

DID NOT DISPLAY INFORMATION WITH RESPECT TO GRIEVANCE REDRESSAL MECHANISM AT OFFICE PREMISES

DELAY IN INTIMATING SEBI REGARDING CHANGE IN COMPLIANCE OFFICER

NOT A FIT & PROPER PERSON TO GRANT REGISTRATION AS MERCHANT BANKER

DID NOT FORMULATE AND ADOPT CODE OF CONDUCT FOR INTERMEDIARIES AS AND DID NOT DESIGNATE A COMPLIANCE OFFICER TO MONITOR COMPLIANCE VIOLATING REGULATIONS 3(5), 9(1) AND 9(3) READ WITH SCHEDULE C OF SEBI (PIT) REGULATIONS, 2015   		PROHIBITED FROM TAKING ANY NEW ASSIGNMENT I.E.NEW CLIENTS AS A MERCHANT BANKER FROM 30-MAR-2026 TO 29-APR-2026

30-MAR-2026 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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