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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.

COMPANIES: RESTRAINED FROM ASSOCIATING EITHER DIRECTLY OR INDIRECTLY, WITH ANY INTERMEDIARY OR HOLDING ANY CONTROLLING SHAREHOLDING IN ANY INTERMEDIARY TILL SUCH TIME FREED BY COMPETENT COURT OF THE CHARGES ALLEGED IN FIR

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

(PAN:AAACU3953D)  
History of entity/person PAWAN BANSAL

(PAN:ACFPB2226A)
  		DID NOT ADHERE TO ELIGIBILITY CRITERIA OF BEING ‘FIT AND PROPER PERSON’ IN ACCORDANCE WITH MERCHANT BANKERS REGULATIONS READ WITH INTERMEDIARIES REGULATIONS  RESTRAINED FROM ASSOCIATING EITHER DIRECTLY OR INDIRECTLY, WITH ANY INTERMEDIARY OR HOLDING ANY CONTROLLING SHAREHOLDING IN ANY INTERMEDIARY TILL SUCH TIME FREED BY COMPETENT COURT OF THE CHARGES ALLEGED IN FIR

17-MAR-2016 		SAT: SAT VIDE ITS ORDER DATED 09/05/2016 GIVEN LIBERTY TO APPELLANTS TO MAKE A REPRESENTATION TO SEBI WITHIN ONE WEEK FROM THE DATE OF THIS ORDER AND IF SUCH A REPRESENTATION IS MADE WITHIN ONE WEEK FROM DATE OF THIS ORDER, DIRECTED SEBI TO CONSIDER THE REPRESENTATION AND AFTER HEARING APPELLANTS PASS AN ORDER IN ACCORDANCE WITH LAW WITHIN A PERIOD OF TWO WEEKS THEREAFTER. NO COSTS
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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