| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ARYAMAN FINANCIAL SERVICES LTD.
|
|
|
ALLEGED INDULGENCE IN VIOLATION OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN VIOLATION OF SEBI TAKEOVER CODE, 1997
ALLEGED INDULGENCE IN VIOLATION OF SEBI (BUY-BACK OF SECURITIES) REGULATIONS, 1998
ALLEGED INDULGENCE IN VIOLATION OF SEBI ACT, 1992
ALLEGED INDULGENCE IN SEBI (MERCHANT BANKER) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
02-SEP-2009
|
|
| 2 |
|
|
CENTRUM CAPITAL LTD.
(PAN:AAACC5099G)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE VIOLATING PROVISIONS OF REGULATION 24(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MADHUSUDAN SECURITIES LTD.
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE VIOLATING REGULATION 13 READ WITH CLAUSES 1 TO 4 AND 14 OF CODE OF CONDUCT FOR MERCHANT BANKERS SPECIFIED IN SCHEDULE II OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF MADHUSUDAN SECURITIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.19,76,250 VIDE CONSENT ORDER)
15-JUL-2015
|
|
| 3 |
|
|
DSP MERRILL LYNCH LTD.
|
|
|
ALLEGED INDULGENCE IN SEBI (MERCHANT BANKER) REGULATIONS, 1992
ALLEGED VIOLATION OF VARIOUS PROVISIONS OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.30,50,000 VIDE CONSENT ORDER)
12-JAN-2010
|
|
| 4 |
|
|
EDELWEISS CAPITAL LTD.
|
|
|
ALLEGED INDULGENCE IN VIOLATION OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE WHILE CONDUCTING BUSINESS AS A MERCHANT BANKER I.E.DID NOT ADOPT INDEPENDENT PROFESSIONAL JUDGEMENTS IN VERIFYING RECORDS/VISITING PLACES OF ISSUER COMPANIES, DID NOT PROVIDE CORRECT INFORMATION AND/OR PROVIDE MISLEADING INFORMATION IN DRHP, DID NOT ENSURE ADEQUATE DISCLOSURES IN DRHP, DID NOT SUPERVISE ACTIVITIES OF SUB-SYNDICATE MEMBER, DID NOT FOLLOW PROPERLY DUE DILIGENCE IN RESPECT OF POST ISSUE ACTIVITIES OF SEVERAL ISSUER COMPANIES, DID NOT SUPERVISE ACTIVITIES OF BANKERS AND REGISTRAR TO ISSUE ETC.
ALLEGED FAILURE IN ADHERING TO SEBI DIRECTIVES IN MATTER OF PUBLIC OFFER/ANNOUNCEMENT AS SPECIFIED UNDER SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
11-MAY-2011
|
|
| 5 |
|
|
GOLDMAN SACHS (INDIA) SECURITIES PVT.LTD.
|
|
|
ALLEGED VIOLATION OF PARAGRAPH 20 OF CODE OF CONDUCT FOR MERCHANT BANKERS UNDER SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF YES BANK LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,80,242 VIDE CONSENT ORDER)
29-JUN-2018
|
|
| 6 |
|
|
JM FINANCIAL CONSULTANTS PVT.LTD.
|
|
|
ALLEGED FAILURE IN FOLLOWING CODE OF CONDUCT PRESCRIBED FOR MERCHANT BANKERS AS PER REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN EXERCISING DUE DILIGENCE AND FURNISHING OF DUE DILIGENCE CERTIFICATE VIOLATING CLAUSES 5.1,5.3.3.1,11.3.5(V)(A) OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES 2000
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
25-AUG-2009
|
|
| 7 |
|
|
KEYNOTE CORPORATE SERVICES LTD.
(PAN:AAACK3234D)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE, PROPER CARE AND INDEPENDENT PROFESSIONAL JUDGEMENT IN PUBLIC ISSUE OF CONSORTEX KARL DOELITZSCH (INDIA) LTD.VIOLATING CLAUSE 2 OF CODE OF CONDUCT FOR MERCHANT BANKERS AS SPECIFIED IN SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
31-OCT-2012
|
|
| 8 |
|
|
KOTAK MAHINDRA CAPITAL CO.LTD.
|
|
|
ALLEGED FAILURE IN FOLLOWING CODE OF CONDUCT PRESCRIBED FOR MERCHANT BANKERS AS PER REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
ALLEGED DEFAULT IN FURNISHING DUE DILIGENCE REPORT AND VIOLATED CLAUSES 5.1,5.3.3.1,6.9.2.1,11.3.6,7.3, 7.4.1,7.7.7,16.2.2.2.OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,50,000 VIDE CONSENT ORDER)
27-AUG-2009
|
|
| 9 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
|
|
|
ALLEGED VIOLATION OF REGULATION 6 (GG) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 READ WITH SCHEDULE II OF SEBI (INTERMEDIARIES) REGULATIONS, 2008
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.16,80,000 VIDE CONSENT ORDER)
09-FEB-2017
|
|
| 10 |
|
|
RBS EQUITIES (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN OBTAINING PRIOR APPROVAL FOR CHANGE IN STATUS OF CONSTITUTION I.E.INDIRECT CHANGE IN CONTROL AS REQUIRED UNDER REGULATION 9A(1) (A) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
13-MAY-2011
|
|
| 11 |
|
|
VERTEX SECURITIES LTD.
|
|
|
ALLEGED FAILURE IN OBTAINING PRIOR APPROVAL FOR CHANGE IN STATUS OF CONSTITUTION I.E.INDIRECT CHANGE IN CONTROL AS REQUIRED UNDER REGULATION 9A(1) (A) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
06-SEP-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
