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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.

REGISTRARS: COMMITTED IRREGULARITIES IN MAINTENANCE OF CLIENT REGISTRATION/DATABASE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ABHIPRA CAPITAL LTD.  
  ALLEGED MAINTENANCE OF RECORDS AT PLACES OTHER THAN INTIMATED TO SEBI

ALLEGED FAILURE IN SUBMITTING ACCURATE INFORMATION REGARDING ITS CLIENTS, MAINTAIN AND SUBMIT STATEMENT OF CAPITAL ADEQUACY ETC TO SEBI

ALLEGED PROVIDING OF WRONG INFORMATION REGARDING “ASSOCIATES” TO SEBI  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)

11-APR-2011 		COMPANY VIDE DD NO.410937 DATED 17/02/2011 DRAWN ON HDFC BANK LTD. HAS PAID RS.8 LACS TOWARDS SETTLEMENT CHARGES
2 
History of entity/person ALANKIT ASSIGNMENTS LTD.  
  ALLEGED DELAY IN REDRESSAL OF COMPLAINTS

ALLEGED DEFAULT IN MAINTENANCE OF BOOK OF ACCOUNTS AND RECORDS

ALLEGED DELAY IN SUBMISSION OF NET WORTH CERTIFICATE

ALLEGED FAILURE IN COMPLYING WITH MODEL AGREEMENT

ALLEGED FAILURE IN EXERCISING DUE DILIGENCE WHILE EXECUTING TRIPARTITE AGREEMENT  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,75,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)

31-AUG-2009
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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