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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 : 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.

BANKERS: VIOLATED SEBI (BANKER TO AN ISSUE) RULES AND REGULATIONS, 1994

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person IDBI BANK LTD.  
History of entity/person M.V.PHADKE
  		DEBITED ACCOUNT OF DIFFERENT ENTITY AGAINST APPLICATION MONEY INSTEAD OF ACCOUNT FROM WHERE STOCKINVESTS WERE ISSUED IN IPO OF ANIK SHIP BREAKING INDUSTRIES LTD.  ADVISED TO BE CAREFUL AND CAUTIOUS IN CONDUCT OF BUSINESS AS A BANKER TO AN ISSUE

25-MAY-2009
2 
History of entity/person KALUPUR COMMERCIAL CO-OPERATIVE BANK LTD.,THE  
  VIOLATED CODE OF CONDUCT UNDER REGULATION 16 OF SEBI (BANKER TO AN ISSUE) RULES AND REGULATIONS, 1994  RESTRAINED FROM UNDERTAKING ANY FRESH ASSIGNMENT AS A BANKER TO AN ISSUE FROM 17-FEB-1997 TO 16-AUG-1997

26-FEB-1997
3 
History of entity/person UNITED WESTERN BANK LTD.,THE  
  VIOLATED SEBI (BANKERS TO AN ISSUE) RULES & REGULATIONS IN PUBLIC ISSUE OF INTERADS EXPORTS LTD.  DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 10-JUL-1997 TO 09-JAN-1998

15-JUL-1997
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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