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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 13-JUL-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.

MERCHANT BANKERS: DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person KEYNOTE CORPORATE SERVICES LTD.  
  ALLEGED FAILURE IN EXERCISING DUE DILIGENCE AS POST-ISSUE LEAD MANAGER IN IPO OF NISSAN COPPER LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)

09-APR-2009
2 
History of entity/person KEYNOTE CORPORATE SERVICES LTD.  
  ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN RIGHTS-CUM-PUBLIC ISSUE OF MAJESTIC INDUSTRIES LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

15-FEB-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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