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 – 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: PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ASHIKA CAPITAL LTD.  
  DID NOT MAKE DISCLOSURE OR MADE WRONG DISCLOSURE IN RHP/PROSPECTUS VIOLATING REGULATION 60(7)(A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SUDAR INDUSTRIES LTD.

DID NOT EXERCISE DUE DILIGENCE WITH RESPECT TO DISCLOSURE MADE IN RHP/PROSPECTUS VIOLATING REGULATION 64(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SUDAR INDUSTRIES LTD.

DID NOT CARRY OUT PROPER DUE DILIGENCE WITH RESPECT TO INFORMATION AND DECLARATION IN RHP/PROSPECTUS IN IPO OF SUDAR INDUSTRIES LTD. VIOLATING REGULATION 13 READ WITH CLAUSES 1 TO 4,6,7 AND 21 OF SCHEDULE III OF CODE OF CONDUCT OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992  		PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 17-MAR-2021 TO 16-JUN-2021

DIRECTED TO DISCLOSE CONTENTS OF SEBI’S DIRECTIONS ON ITS WEBSITE(S) IMMEDIATELY

17-MAR-2021
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