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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: VIOLATED SEBI (CERTIFICATION OF ASSOCIATED PERSONS IN SECURITIES MARKETS) REGULATIONS, 2007

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person FIRST OVERSEAS CAPITAL LTD.  
  ENGAGED IN BUSINESS OTHER THAN SECURITIES

DID NOT POSSESS ADEQUATE FINANCIAL RESOURCES ON ACCOUNT OF LOWER NET WORTH TO ACQUIRE SECURITIES IN RESPECT OF UNDERWRITING OBLIGATIONS

DEFAULTED IN SUBMISSION OF QUARTERLY REPORTS TO SEBI

DELAY IN FILING OF HALF YEARLY REPORTS

DID NOT MAKE DISCLOSURE OF TYPE OF ISSUE (IPO/ FPO), SUBSCRIPTION LEVEL, DETAILS OF QIB HOLDING, FINANCIALS OF ISSUER, TRADING STATUS IN SCRIP OF ISSUER, CHANGE IN DIRECTORS, STATUS OF UTILIZATION OF ISSUE PROCEEDS, PRICE-RELATED DATA, BASIS FOR ISSUE PRICE, ETC ON ITS WEBSITE

KEY MANAGEMENT PERSONNEL DID NOT OBTAIN SERIES III-A AND NISM IX CERTIFICATIONS   		DEBARRED FROM TAKING ANY NEW MANDATE IN RELATION TO BUSINESS OF ISSUE MANAGEMENT EITHER BY MAKING ARRANGEMENTS REGARDING SELLING, BUYING OR SUBSCRIBING TO SECURITIES OR ACTING AS MANAGER, CONSULTANT, ADVISER OR RENDERING CORPORATE ADVISORY SERVICE IN RELATION TO SUCH ISSUE MANAGEMENT FROM 23-OCT-2024 UNTIL FURTHER ORDERS

23-OCT-2024
2 
History of entity/person SWASTIKA INVESTMART LTD.

(PAN:AABCS6585J)  
  DID NOT HAVE VALID NCFM/NISM CERTIFICATE  IMPOSED PENALTY RS.3,00,000

12-MAR-2024
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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