| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ALPHA FINANCIAL SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 15-JAN-1998
03-DEC-1998
|
|
| 22 |
|
|
AMALGAMATED INVESTMENTS LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 11-MAR-1999
11-MAR-1999
|
|
| 23 |
|
|
AMI COMPUTERS (I) LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 25-SEP-2007
DIRECTED TO TRANSFER RECORDS OF CLIENTS TO ANOTHER AGENCY/CONCERNED COMPANIES
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
25-SEP-2007
|
|
| 24 |
|
|
ANAR FIN ENGINEERS PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 26-NOV-1998
26-NOV-1998
|
|
| 25 |
|
|
ANTHER FINANCE & CONSULTANCY PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 26-NOV-1998
26-NOV-1998
|
|
| 26 |
|
|
APPU REGISTRAR LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 25-AUG-1999
25-AUG-1999
|
|
| 27 |
|
|
ARCHANA SOFTWARE LTD.
(PAN:AAACS9087L)
|
|
|
ALLEGED DELAY IN DEMATERIALIZATION OF SECURITIES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
06-MAY-2009
|
|
| 28 |
|
|
ARS CONSULTANTS
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 30-NOV-1997
11-FEB-1998
|
|
| 29 |
|
|
ARS CONSULTANTS
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 30-NOV-1997
03-DEC-1998
|
|
| 30 |
|
|
ARYAMAN FINANCIAL SERVICES LTD.
(PAN:AABCA1376P)
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 26-APR-1999
26-APR-1999
|
|
| 31 |
|
|
BEEKAY SOFTWARE CONSULTANTS LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 26-APR-1999
26-APR-1999
|
|
| 32 |
|
|
BEETAL FINANCIAL & COMPUTER SERVICES PVT.LTD.
|
|
|
DEFAULTED IN MAINTENANCE OF DOCUMENTS
DID NOT REDRESS INVESTOR COMPLAINTS WITHIN TIME PRESCRIBED BY SEBI
DID NOT RECONCILE DEMAT REQUESTS ON A DAILY BASIS
|
IMPOSED PENALTY RS.30,000
30-SEP-2011
|
|
| 33 |
|
|
BHAVRAJ MERCANTILE CORP.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-OCT-1997
11-FEB-1998
|
|
| 34 |
|
|
BHAVRAJ MERCANTILE CORP.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-OCT-1997
03-DEC-1998
|
|
| 35 |
|
|
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
|
|
| 36 |
|
|
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
|
|
| 37 |
|
|
BM GLOBAL CAPITAL PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 30-SEP-1997
03-DEC-1998
|
|
| 38 |
|
|
BRAHMAYYA & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 30-JUN-1998
04-MAR-1999
|
|
| 39 |
|
|
BSES LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-OCT-1997
11-FEB-1998
|
|
| 40 |
|
|
BTS CONSULTANCY SERVICES PVT.LTD.
(PAN:AACCB8463B)
|
|
|
DELAY IN RENEWAL OF AGREEMENT WITH CLIENT COMPANIES VIOLATING REGULATION 9A OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DID NOT FRAME INTERNAL PROCEDURES & STANDARDS IN TERMS OF TIMELINES FOR ITS VARIOUS STA RELATED ACTIVITIES VIOLATING CLAUSE 27 OF CODE OF CONDUCT AS PRESCRIBED IN SCHEDULE III UNDER REGULATION 13 OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DID NOT EXERCISE DUE DILIGENCE IN CARRYING OUT NECESSARY ACTIVITIES PERTAINING TO DIVIDEND WARRANTS VIOLATING CLAUSES 2 AND 5(C) OF CODE OF CONDUCT AS PRESCRIBED IN SCHEDULE III UNDER REGULATION 13 OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DELAY IN TRANSFER OF PHYSICAL SHARES, DEMATERIALIZATION OF SHARES, DEPATCH OF DUPLICATE SHARES, TRANSMISSION OF SHARES, UPDATION OF CHANGE OF ADDRESS ETC. VIOLATING CLAUSES 2 AND 5(C) OF CODE OF CONDUCT AS PRESCRIBED IN SCHEDULE III UNDER REGULATION 13 OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
|
IMPOSED PENALTY RS.1,00,000
21-SEP-2017
|
SAT: SAT VIDE ITS ORDER DATED 10/01/2018 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 20/08/2018 ACCEPTED MISC.APPLICATION FOR RESTORING THE APPEAL. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 10/04/2019 PARTLY ALLOWED THE APPEAL AND REDUCED PENALTY AMOUNT TO RS.1 LAC FROM RS.3 LACS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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