| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 361 |
|
RAJASTHAN BANK FINANCIAL SERVICES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1998
26-FEB-1999
|
|
| 362 |
|
|
RAJASTHAN FINANCIAL CORP.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-NOV-1998
28-DEC-1998
|
|
| 363 |
|
|
RAMEGO PORTFOLIO (INDIA) LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-MAY-1998
09-JUN-1998
|
|
| 364 |
|
|
RAMESH LAKSHMAN & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-JUN-1998
27-JUL-1998
|
|
| 365 |
|
|
RAMILA N.DESAI
|
|
|
|
RAMILA N.DESAI,M/S
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-APR-1998
09-JUN-1998
|
|
| 366 |
|
|
RAMILA N.DESAI,M/S
|
|
|
|
RAMILA N.DESAI
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-APR-1998
09-JUN-1998
|
|
| 367 |
|
|
RANJAN AGARWAL
|
|
|
|
ATHERSTONE CAPITAL MARKETS LTD.
PAN:AAGCA1449J
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF ONELIFE CAPITAL ADVISORS LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 16/01/2013 CONFIRMED ITS DIRECTIONS ISSUED IN PARAGRAPHS 14.3, 14.4, 14.5, 14.6, 14.8 AND 14.9 OF EX-PARTE ORDER DATED 28/12/2011 READ WITH ORDER DATED 15/02/2012
|
| 368 |
|
|
RATAN S.MAMA & CO.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1999
26-MAR-1999
|
|
| 369 |
|
|
RATHI RESEARCH & SECURITIES SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-JUN-1998
27-JUL-1998
|
|
| 370 |
|
|
RAUNAQ FINANCE LTD.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 19-NOV-1997
28-DEC-1997
|
|
| 371 |
|
|
RBS EQUITIES (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN OBTAINING PRIOR APPROVAL FOR CHANGE IN STATUS OF CONSTITUTION I.E.INDIRECT CHANGE IN CONTROL AS REQUIRED UNDER REGULATION 9A(1) (A) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
13-MAY-2011
|
|
| 372 |
|
|
REALGROWTH FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 27-JUL-1998 TILL THE REMAINING PERIOD OF REGISTRATION
05-AUG-1998
|
|
| 373 |
|
|
REALGROWTH FINANCIAL SERVICES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1998
26-FEB-1999
|
|
| 374 |
|
|
REGENCY TRUST LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-OCT-1998
08-OCT-1998
|
|
| 375 |
|
|
REGENCY TRUST LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JAN-1999
26-FEB-1999
|
|
| 376 |
|
|
RIGHT CORPORATE SERVICES LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-AUG-1998
06-OCT-1998
|
|
| 377 |
|
|
RIGHT CORPORATE SERVICES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 27-JUL-1998 TILL THE REMAINING PERIOD OF REGISTRATION
05-AUG-1998
|
|
| 378 |
|
|
ROCKLAND LEASING LTD.
|
|
|
DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF PASUPATI FABRICS LTD.
DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF ELQUE POLYSTERS LTD.
DID NOT FULFILL UNDERWRITING OBLIGATION IN PUBLIC ISSUE OF BSM KNIT FAB INDIA LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 13-APR-1999 TO 15-OCT-1999
13-APR-1999
|
|
| 379 |
|
|
RSA CAPITAL MARKETS PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-JUN-1998
27-JUL-1998
|
|
| 380 |
|
|
RUBICON SECURITIES PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 13-AUG-1998 TILL THE REMAINING PERIOD OF REGISTRATION
19-AUG-1998
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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| Page 19 of 25
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