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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: DID NOT ADHERE TO SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ACCURATE SECURITIES & REGISTRY PVT.LTD.  
  PROCESSED TRANSFER OF SHARES DESPITE SIGNIFICANT MISMATCH BETWEEN SIGNATURE OF TRANSFEROR AND HIS SPECIMEN SIGNATURE

DID NOT HAVE ANY SYSTEM/POLICY FOR MAKER-CHECKER WHILE PROCESSING TRANSFER, DEMATERIALISATION, REMATERIALISATION AND TRANSMISSION REQUEST ETC. VIOLATING CLAUSES 8 AND 9 OF CODE OF CONDUCT AS SPECIFIED IN SCHEDULE III OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993

DID NOT HAVE VALID NCFM/NISM CERTIFICATE

DID NOT EXECUTE TRIPARTITE AGREEMENT WITH ISSUER COMPANIES AND THEIR ERSTWHILE STAS VIOLATING REGULATION 7(4) OF SEBI (LODR) REGULATIONS, 2015  		IMPOSED PENALTY RS.5,00,000

19-APR-2022 		SEBI VIDE ITS NOTICE DATED 10/01/2023 DIRECTED TO PAY RS.5,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 10/01/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED

SEBI VIDE ITS NOTICE DATED 14/03/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG

SEBI VIDE ITS NOTICE DATED 01/04/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 10/01/2023

SEBI VIDE ITS ORDER DATED 01/04/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6205 OF 2023 DATED 10/01/2023
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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