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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: RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ALANKIT ASSIGNMENTS LTD.  
  DELAY IN LODGING COMPLAINTS/REQUESTS IN RECORDS/SYSTEM DURING INSPECTION PERIOD

DID NOT SUBMIT CORRECT DATA

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME  		RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS FROM 13-APR-2023 TO 12-OCT-2023

13-APR-2023 		SAT: SAT VIDE ITS ORDER DATED 18/05/2023 PARTLY ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 13/04/2023
2 
History of entity/person PURVA SHAREGISTRY (INDIA) PVT.LTD.  
  DID NOT MAINTAIN SPECIMEN SIGNATURES OF SHAREHOLDER HOLDING SHARES IN PHYSICAL FORM

DELAY IN PROCESSING OF REQUEST FOR DEMATERIALISATION OF SHARES

PROCESSED REQUESTS FOR DEMATERIALIZATION OF PHYSICAL FOLIOS WHERE SPECIMEN SIGNATURES WERE NOT AVAILABLE BASED ON THE INSTRUCTIONS PROVIDED BY THE ISSUER COMPANIES

PROCESSED DEMAT REQUESTS WHERE DEMAT REQUESTS FORMS WERE NOT AVAILABLE WITH THE COMPANIES ON THE INSTRUCTIONS PROVIDED FROM THE COMPANIES

PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS  		RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS FROM 09-MAR-2021 TO 08-APR-2021

09-MAR-2021
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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