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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 (PFUTP) REGULATIONS, 2003

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

(PAN:AACCK2193D)  
  ACCEPTED CANCELLATION OF REDEMPTION APPLICATION OF TAURUS MUTUAL FUND EVEN AFTER DECLARATION OF NAV AND BEFORE PAYMENT OF PROCEEDS VIOLATING REGULATIONS 3(A) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TAURUS MUTUAL FUND

DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 13 READ WITH CLAUSES 1 TO 3 OF CODE OF CONDUCT UNDER SCHEDULE III OF SEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993 IN MATTER OF TAURUS MUTUAL FUND  		IMPOSED PENALTY RS.1,50,00,000

22-DEC-2021
2 
History of entity/person MCS LTD.

(PAN:AAACM8027G)  
  DID NOT FOLLOW PROPER PROCEDURE AND NOT EXERCISING DUE CARE AND DILIGENCE IN PROCESS OF ISSUANCE OF DUPLICATE SHARES CERTIFICATE VIOLATING REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2026

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026

28-FEB-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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