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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 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 (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person BIGSHARE SERVICES PVT.LTD.  
  ALLEGED INDULGENCE IN IRREGULARITIES AND LACK OF DUE DILIGENCE AND PROPER CARE IN PROCESSING OF APPLICATIONS RECEIVED IN PUBLIC ISSUE OF NISSAN COPPER LTD. AND OTHER ISSUES  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)

07-SEP-2009
2 
History of entity/person BIGSHARE SERVICES PVT.LTD.  
  ALLEGED VIOLATION OF REGULATION 14(3)(C) OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993 READ WITH SEBI CIRCULAR ISSUED VIZ.RRTI CIRCULAR NO.1(94-95) DATED 11/10/1994

ALLEGED VIOLATION OF CLAUSES 2 AND 3 OF CODE OF CONDUCT AS PER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993

ALLEGED VIOLATION OF RTI CIRCULAR NO.1 (2000-2001) DATED 09/05/2001 AND CLAUSES 3 AND 4 OF CODE OF CONDUCT AS UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993

ALLEGED VIOLATION OF CLAUSE 3 OF CIRCULAR NO.CIR/MIRSD/7/2012 DATED 05/07/2012 AND CLAUSE 2 OF CODE OF CONDUCT AS UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.68,25,000 VIDE CONSENT ORDER)

04-MAR-2022
3 
History of entity/person KFIN TECHNOLOGIES LTD.

(PAN:AAGCK6303B)  
  ALLEGED DISCREPANCIES OBSERVED IN ITS INWARD SYSTEM

ALLEGED DELAY IN PROCESSING OF TRANSFER AND TRANSMISSION REQUESTS

ALLEGED DELAY IN ISSUANCE OF DUPLICATE SHARE CERTIFICATE

ALLEGED DISCREPANCIES IN ISSUANCE OF DUPLICATE SHARE CERTIFICATE

ALLEGED FAILURE IN ISSUANCE OF LETTERS TO COLLECT BANK DETAILS OF SHAREHOLDERS

ALLEGED MISREPRESENTATION OF FACTS TO SEBI REGARDING AVAILABILITY OF SPECIMEN SIGNATURE OF SHAREHOLDERS  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.91,20,000 VIDE CONSENT ORDER)

04-NOV-2022
4 
History of entity/person MONDKAR COMPUTERS PVT.LTD.  
  ALLEGED FAILURE IN OBTAINING PRIOR APPROVAL FOR CHANGE IN SHAREHOLDING RESULTING IN CHANGE IN CONTROL AS REQUIRED UNDER REGULATION 9A(1) (A) OF SEBI (REGISTRAR TO AN ISSUE & SHARE TRANSFER AGENTS) REGULATIONS, 1993 IN MATTER OF TRANSFER OF 50340 SHARES (59.98%) FROM MR.MILIND MONDKAR AND MS.SHUBHA MONDKAR TO IT PEOPLE PVT.LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)

18-MAY-2011
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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