| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
DOMBIVLI NAGARI SAHAKARI BANK LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BLUE COAST HOTELS & RESORTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF BLUE COAST HOTELS & RESORTS LTD.
|
IMPOSED PENALTY RS.1,00,000
12-APR-2010
|
|
| 22 |
|
|
HDFC BANK LTD.
(PAN:AAACH2702H)
|
|
|
CIRCULATED FINANCIAL FIGURES PRIOR TO ITS OFFICIAL ANNOUNCEMENT/PUBLICATION VIOLATING REGULATIONS 3(1) AND 3(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 READ WITH SECTION 12A(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
DIRECTED TO STRENGTHEN ITS PROCESSES/SYSTEMS/CONTROLS ENSURE INSTANCES OF LEAKAGE OF UNPUBLISHED PRICE SENSITIVE INFORMATION DO NOT RECUR IN FUTURE
DIRECTED TO CONDUCT INTERNAL INQUIRY INTO THE LEAKAGE OF UNPUBLISHED PRICE SENSITIVE INFORMATION RELATING TO ITS FINANCIAL RESULTS AND DIRECTED TO TAKE APPROPRIATE ACTION AGAINST RESPONSIBLE PERSONS
23-FEB-2018
|
|
| 23 |
|
|
IDBI BANK LTD.
|
|
|
|
M.V.PHADKE
|
|
DEBITED ACCOUNT OF DIFFERENT ENTITY AGAINST APPLICATION MONEY INSTEAD OF ACCOUNT FROM WHERE STOCKINVESTS WERE ISSUED IN IPO OF ANIK SHIP BREAKING INDUSTRIES LTD.
|
ADVISED TO BE CAREFUL AND CAUTIOUS IN CONDUCT OF BUSINESS AS A BANKER TO AN ISSUE
25-MAY-2009
|
|
| 24 |
|
|
ING BANK N.V.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 30-NOV-1998
03-JUN-1999
|
|
| 25 |
|
|
KALUPUR COMMERCIAL CO-OPERATIVE BANK LTD.,THE
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 31-JAN-1998
03-JUN-1999
|
|
| 26 |
|
|
KALUPUR COMMERCIAL CO-OPERATIVE BANK LTD.,THE
|
|
|
VIOLATED CODE OF CONDUCT UNDER REGULATION 16 OF SEBI (BANKER TO AN ISSUE) RULES AND REGULATIONS, 1994
|
RESTRAINED FROM UNDERTAKING ANY FRESH ASSIGNMENT AS A BANKER TO AN ISSUE FROM 17-FEB-1997 TO 16-AUG-1997
26-FEB-1997
|
|
| 27 |
|
|
M.V.PHADKE
|
|
|
|
IDBI BANK LTD.
|
|
DEBITED ACCOUNT OF DIFFERENT ENTITY AGAINST APPLICATION MONEY INSTEAD OF ACCOUNT FROM WHERE STOCKINVESTS WERE ISSUED IN IPO OF ANIK SHIP BREAKING INDUSTRIES LTD.
|
ADVISED TO BE CAREFUL AND CAUTIOUS IN CONDUCT OF BUSINESS AS A BANKER TO AN ISSUE
25-MAY-2009
|
|
| 28 |
|
|
MASHREQBANK PSC
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 30-NOV-1997
11-FEB-1998
|
|
| 29 |
|
|
N.C.JAIN
|
|
|
|
PUNJAB NATIONAL BANK
PAN:AAACP0165G
|
|
FACILITATED COMPANY, PROMOTERS AND ASSOCIATES IN PROCESS OF ARRANGING MONEY FOR APPLICATIONS MADE IN RIGHTS ISSUE OF MAJESTIC INDUSTRIES LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN RIGHTS ISSUE OF MAJESTIC INDUSTRIES LTD.
|
DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 24-AUG-2009 TO 07-SEP-2009
03-AUG-2009
|
|
| 30 |
|
|
N.SUBRAMANIAM
|
|
|
|
CORPORATION BANK
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF ADINATH EXPORTS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
12-FEB-2003
|
|
| 31 |
|
|
NEDUNGADI BANK LTD.,THE
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 30-NOV-1997
11-FEB-1998
|
|
| 32 |
|
|
NEW INDIA CO-OPERATIVE BANK LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 07-MAR-1998
02-APR-1998
|
|
| 33 |
|
|
NEW INDIA CO-OPERATIVE BANK LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 07-MAR-1999
03-JUN-1999
|
|
| 34 |
|
|
PUNJAB NATIONAL BANK
(PAN:AAACP0165G)
|
|
|
COMMITTED IRREGULARITIES IN APPLICATIONS ACCOMPANIED BY STOCKINVESTS IN PUBLIC ISSUE OF ELVIS INDIA LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
03-SEP-2002
|
|
| 35 |
|
|
PUNJAB NATIONAL BANK
(PAN:AAACP0165G)
|
|
|
RELEASED FUNDS RECEIVED FOR PUBLIC ISSUE OF RENCO GEARS LTD. TO COMPANY BEFORE LISTING APPROVAL WAS GRANTED BY STOCK EXCHANGES
|
SUSPENDED REGISTRATION AS BANKER TO ISSUE FROM 19-APR-2000 TO 18-JUL-2000
04-MAY-2000
|
|
| 36 |
|
|
PUNJAB NATIONAL BANK
(PAN:AAACP0165G)
|
|
|
|
A.K.AHUJA
|
|
|
N.C.JAIN
|
|
|
R.K.JOSHI
|
|
FACILITATED COMPANY, PROMOTERS AND ASSOCIATES IN PROCESS OF ARRANGING MONEY FOR APPLICATIONS MADE IN RIGHTS ISSUE OF MAJESTIC INDUSTRIES LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN RIGHTS ISSUE OF MAJESTIC INDUSTRIES LTD.
|
DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 24-AUG-2009 TO 07-SEP-2009
03-AUG-2009
|
|
| 37 |
|
|
PUNJAB NATIONAL BANK
(PAN:AAACP0165G)
|
|
|
ACCEPTED APPLICATIONS AFTER CLOSURE OF PUBLIC ISSUE OF DHANLAXMI LEASE FINANCE LTD.
DID NOT EXERCISE DUE DILIGENCE IN WEEDING OUT MULTIPLE APPLICATIONS
DID NOT EXERCISE DUE DILIGENCE IN WEEDING OUT BENAMI APPLICATIONS
DEFAULTED IN MAINTENANCE OF DATE-WISE RECORDS OF NUMBER OF APPLICATIONS RECEIVED
DEFAULTED IN MAINTENANCE OF DATE-WISE RECORDS OF NAMES OF INVESTORS
DEFAULTED IN MAINTENANCE OF DATE-WISE RECORDS OF AMOUNT RECEIVED
|
DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 18-OCT-2002 TO 17-APR-2003
18-OCT-2002
|
|
| 38 |
|
|
PUNJAB NATIONAL BANK
(PAN:AAACP0165G)
|
|
|
|
S.K.MOHANTY
|
|
|
V.P.GOSWAMI
|
|
|
VASUDEVAN
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF MAHA CHEMICALS LTD.
ACCEPTED APPLICATIONS FROM CERTAIN INVESTORS ACCOMPANIED BY STOCKINVESTS, MUCH AFTER ISSUE CLOSURE DATE
|
DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 01-OCT-2003 TO 30-NOV-2003
10-SEP-2003
|
|
| 39 |
|
|
PUNJAB NATIONAL BANK
(PAN:AAACP0165G)
|
|
|
|
S.K.MOHANTY
|
|
COMMITTED IRREGULARITIES IN ISSUANCE OF STOCKINVEST WHICH ENABLED GROWMORE SOLVENTS LTD. TO CLAIM RECEIPT OF MINIMUM SUBSCRIPTION OF 90% IN ITS PUBLIC ISSUE AND ENABLED AN OTHERWISE INELIGIBLE ISSUE TO GET LISTED AT STOCK EXCHANGE (ORDER PASSED AGAINST NAVRANGPURA BRANCH OF THE BANK)
|
DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 11-AUG-2004 TO 10-SEP-2004
21-JUL-2004
|
|
| 40 |
|
|
PUNJAB NATIONAL BANK
(PAN:AAACP0165G)
|
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF INCAP FINANCIAL SERVICES LTD.
|
DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 20-MAR-2000 TO 19-JUN-2000
03-APR-2000
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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