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SOURCE OF INFORMATION : MSEI
PERIOD COVERED : 20-MAY-2010 TO 21-NOV-2024

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: VIOLATED SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person COMFORT SECURITIES LTD.  
  INDULGED IN SIPHONING OFF/DIVERSION OF RS.33.83 CRORES IN IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.

DID NOT EXERCISE DUE DILIGENCE, SKILL AND CARE AS INDEPENDENT PROFESSIONAL JUDGEMENT WHILE ACTING AS BOOK RUNNING LEAD MANAGER VIOLATING REGULATIONS 64(1), 8(2) (B), (E) AND (F) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.  		SUSPENDED REGISTRATION AS MERCHANT BANKER

20-OCT-2022
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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