If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 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.

COMPANIES: VIOLATED SEBI (MERCHANT BANKER) REGULATIONS, 1992

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person CHARTERED CAPITAL & INVESTMENT LTD.

(PAN:AAACC6247L)  
  ALLEGED ACTIVELY INVOLVEMENT IN BUY-BACK OF SHARES OF COMPANY BY PROVIDING ADVICE/GUIDANCE/CONTROLLING THE FUNCTIONS OF EQUIRUS CAPITAL PVT.LTD. WITHOUT BEING OFFICIALLY APPOINTED AS MERCHANT BANKER TO BUY BACK ISSUE VIOLATING REGULATION 21A OF SEBI (MERCHANT BANKER) REGULATIONS, 1992 IN MATTER OF MAZDA LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,87,500 VIDE CONSENT ORDER)

22-JUL-2022
2 
History of entity/person JM FINANCIAL LTD.

(PAN:AAACJ2590B)  
  ALLEGED VIOLATION OF REGULATION 29(4) OF SEBI (DELISTING) REGULATIONS, 2021 IN THE MATTER OF ELCID INVESTMENTS LTD.

ALLEGED VIOLATION OF REGULATION 13 READ WITH SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN THE MATTER OF ELCID INVESTMENTS LTD.  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)

21-MAY-2024
3 
History of entity/person VIVRO FINANCIAL SERVICES PVT.LTD.

(PAN:AAACV5002E)  
  ALLEGED INDULGENCE IN ISSUANCE OF MISLEADING ADVERTISEMENT IN RESPECT OF PUBLIC ISSUE VIOLATING CLAUSE 7 OF CODE OF CONDUCT AS PRESCRIBED IN SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF MUTHOOTTU MINI FINANCIERS LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,11,875 VIDE CONSENT ORDER)

31-MAY-2022
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2024
No part of this site may be reproduced without the explicit permission of the owners.

top