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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: VIOLATED SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person NICHE TECHNOLOGIES PVT.LTD.

(PAN:AAACO2823L)  
  DID NOT MAINTAIN SPECIMEN SIGNATURE CARDS IN HARD COPY/MAGNETIC MEDIA VIOLATING REGULATION 71 OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 2018 READ WITH CLAUSE 2 (VII) OF RRTI CIRCULAR NO.1 (94-95) DATED 11/10/1994

DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY, PROMPTITUDE AND DID NOT EXERCISE DUE DILIGENCE, ENSURE PROPER CARE AND INDEPENDENT PROFESSIONAL JUDGEMENT VIOLATING CLAUSES 1 TO 3 OF CODE OF CONDUCT AS SPECIFIED UNDER REGULATION 13 OF SEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993  		IMPOSED PENALTY RS.1,00,000

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

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