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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.

MERCHANT BANKERS: LAUNCHED CRIMINAL PROSECUTION

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER DATE OF ACTION FURTHER DEVELOPMENTS
1 
History of entity/person RUSODAY & CO.LTD.  
  DID NOT EXERCISE DUE CARE & DILIGENCE IN PUBLIC ISSUE OF V.R.MATHUR MASS COMMUNICATIONS LTD.

VIOLATED SEBI CODE OF CONDUCT  		LAUNCHED CRIMINAL PROSECUTION

03-SEP-2001 		03-SEP-2001   COMPANY LAW BOARD VIDE ITS ORDER DATED 06/12/2005 CONFIRMED THAT OFFENCES UNDER SECTION 63 AND 68 OF THE COMPANIES ACT, 1956 HAVE BEEN COMPOUNDED AND COMPOUNDING FEE OF RS.45,000.00 HAS BEEN REMMITTED BY THE APPLICANTS ON 28/11/2005
2 
History of entity/person STI FINANCE LTD.  
  DID NOT EXERCISE DUE CARE & DILIGENCE IN PUBLIC ISSUE OF V.R.MATHUR MASS COMMUNICATIONS LTD.

VIOLATED SEBI CODE OF CONDUCT  		LAUNCHED CRIMINAL PROSECUTION

03-SEP-2001 		03-SEP-2001   COMPANY LAW BOARD VIDE ITS ORDER DATED 06/12/2005 CONFIRMED THAT OFFENCES UNDER SECTION 63 AND 68 OF THE COMPANIES ACT, 1956 HAVE BEEN COMPOUNDED AND COMPOUNDING FEE OF RS.45,000.00 HAS BEEN REMMITTED BY THE APPLICANTS ON 28/11/2005
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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