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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: DEFAULTED/IRREGULARITIES IN NCFM/NISM CERTIFICATES

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

(PAN:AADCM6570H)  
  DID NOT HAVE REQUISITE NISM CERTIFICATE

VIOLATED 9A(1) (B) OF RTA REGULATIONS READ WITH DRAFT AGREEMENT IN ANNEXURE A OF SCHEDULE II IN SEBI CIRCULAR “INSTRUCTION TO REGISTRAR TO AN ISSUE /SHARE TRANSFER AGENTS DATED 11/10/1994 AND CLAUSE 3 OF SCHEDULE III (CODE OF CONDUCT) READ WITH REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993

DID NOT HAVE PROCESS FOR IDENTIFYING OR TAGGING DOCUMENTS WHICH INVESTORS SUBMIT IN CONTINUATION OF THEIR EARLIER SUBMISSION

DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES

DELAY IN PROCESSING OF TRANSMISSION OF SHARES

DELAY IN PROCESSING OF REQUEST FOR CHANGE OF ADDRESS

DELAY IN PROCESSING OF REQUEST FOR CHANGE OF BANK ACCOUNT

DID NOT MAINTAIN REGISTER FOR RECORD OF DESTRUCTION OF DOCUMENTS  		IMPOSED PENALTY RS.6,00,000

29-DEC-2023 		SAT: SAT VIDE ITS ORDER DATED 03/04/2024 RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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