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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
PERIOD COVERED : 01-JAN-1997 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.

STOCK BROKERS: PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A UNDERWRITER

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

(PAN:AAACK2618R)  

(Member : BSE)
  PARTICIPATED ACTIVELY IN THE SCHEME DIRECTLY AND INDIRECTLY ADVANCED MONIES TO ENTITIES AND INDUCED THEM TO SUBSCRIBE TO IPO OF COMPANY WITH INTENTION TO SECURE MINIMUM SUBSCRIPTION TO ISSUE PUBLIC VIOLATING SEBI ACT, 1992 AND REGULATION 3(B), (C), (D), 4(1) AND 4(2) (C) OF SEBI (PFUTP) REGULATIONS, 2003 IN THE MATTER OF IPO OF EMMBI POLYARNS LTD. (NOW KNOWN AS EMMBI INDUSTRIES LTD.)  PROHIBITED FROM TAKING ANY NEW ASSIGNMENT AS A UNDERWRITER FROM 27-APR-2016 TO 26-MAY-2016

06-APR-2016
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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