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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.

MERCHANT BANKERS: DIRECTED NOT TO TAKE UP ANY NEW ASSIGNMENT OF MERCHANT BANKER IN SECURITIES MARKET

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

(PAN:AAECR4815P
CIN:U74140DL2009PTC194657)  
  DID NOT HONOR ITS UNDERWRITING OBLIGATION IN SME IPO OF ICL MULTITRADING INDIA LTD. VIOLATING REGULATIONS 106P(1) OF ICDR REGULATIONS, 2009 READ WITH REGULATION 301(2) OF SEBI (ICDR) REGULATIONS, 2018  DIRECTED NOT TO TAKE UP ANY NEW ASSIGNMENT OF MERCHANT BANKER IN SECURITIES MARKET

DIRECTED TO MAKE DISCLOSURE OF PENDING ASSIGNMENTS ENGAGED AS MERCHANT BANKER IN OFFER DOCUMENTS PERTAINING TO ISSUES CONCERNING SUCH ASSIGNMENTS

DIRECTED TO PROVIDE DETAILS OF ALL PENDING ASSIGNMENTS AS MERCHANT BANKER TO SEBI WITHIN SEVEN DAYS OF RECEIPT OF ORDER

05-JUL-2019 		SEBI VIDE ITS ORDER DATED 16/01/2020 CONFIRMED ITS DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 05/07/2019 AND DIRECTED CCV TO REMAIN PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT RELATING TO MERCHANT BANKING ACTIVITIES IN SECURITIES MARKET TILL FURTHER ORDERS. FURTHER, DIRECTED TO INVESTIGATE INTO THE EVENTS SURROUNDING SME-IPO OF ICL AND CCV AND ICL ARE DIRECTED TO EXTEND ALL NECESSARY CO-OPERATION TO THE INVESTIGATION

SAT: SAT VIDE ITS ORDER DATED 22/10/2020 DISPOSED OFF THE APPEAL BY DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE TO APPELLANT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND DIRECTED APPELLANT TO FILE ITS REPLY WITHIN FOUR WEEKS THEREAFTER

SEBI VIDE ITS ORDER DATED 16/03/2021 DISPOSED OFF THE PRESENT PROCEEDINGS AND REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 05/07/2019 AND CONFIRMATORY ORDER DATED 16/01/2020
2 
History of entity/person SPA CAPITAL ADVISORS LTD.  
  DEFAULTED OF INR 24.19 CRORE AND DECLARED AS WILFUL DEFAULTER BY LAKSHMI VILAS BANK LTD. (NOW DBS BANK INDIA LTD.)  SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 24-AUG-2022 TILL OBTAINS CERTIFICATE FROM LAKSHMI VILLAS BANK

DIRECTED NOT TO TAKE UP ANY NEW ASSIGNMENT OF MERCHANT BANKER IN SECURITIES MARKET

24-AUG-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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