| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
SEENOL FINANCE & INVESTMENT PVT.LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-NOV-1998
28-DEC-1998
|
|
| 402 |
|
|
SHAH JADAVJI & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1997
08-JAN-1998
|
|
| 403 |
|
|
SHAILESH SWAMY
|
|
|
|
JOLLY LEASING & FINSTOCK LTD.
|
|
ACCEPTED APPLICATIONS ACCOMPANIED BY ANTE-DATED STOCKINVESTS AFTER CLOSURE OF ISSUE AND ALLOTED SHARES IN PUBLIC ISSUE OF ELVIS INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2002 TO 29-SEP-2004
16-SEP-2002
|
|
| 404 |
|
|
SHANKAR SHARMA
|
|
|
|
FIRST GLOBAL FINANCE PVT.LTD.
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 25-MAY-2001 TILL ENQUIRY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2001 TILL ENQUIRY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2001 TILL ENQUIRY
25-MAY-2001
|
SAT: APPEAL DISMISSED
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES AND FROM ACCESSING IN SECURITIES MARKET IN ANY MANNER FOR A PERIOD OF ONE YEAR I.E. 12/03/2009
SAT: REVIEW APPLICATION DATED 13/07/2010 DISMISSED VIDE ORDER DATED 13/07/2010
SAT: APPEAL FAILED AND DISMISSED LEAVING PARTIES TO BEAR THEIR OWN COSTS
SAT: PRAYER FOR INTERIM STAY GRANTED EARLIER MAY BE ALLOWED TO CONTINUE FOR SOME MORE TIME DECLINED AND DISMISSED, AS PER ORDER DATED 19/03/2010
|
| 405 |
|
|
SHANTERI INVESTMENT PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1998
20-AUG-1998
|
|
| 406 |
|
|
SHAPOORJI PALLONJI FINANCE LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-MAY-1998
09-JUN-1998
|
|
| 407 |
|
|
SHARP & TANNAN ASSOCIATES
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1997
08-JAN-1998
|
|
| 408 |
|
|
SHREE FINANCIAL SERVICES
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1997
08-JAN-1998
|
|
| 409 |
|
|
SHRIYAM BROKING INTERMEDIARY LTD.
|
|
|
DID NOT EXERCISE INDEPENDENT PROFESSIONAL JUDGMENT IN ENSURING THAT ISSUER RECAST ITS ACCOUNTS
DID NOT EXERCISE DUE DILIGENCE TO ENSURE THAT REGISTRAR DELIVERS SHARE CERTIFICATES TO ALLOTTEES BY REGISTERED POST
FACILITATED CONCENTRATION OF HUGE HOLDING WITH THE PROMOTERS/DIRECTORS AND CREATED CONDITIONS FOR PRICE RIGGING IN SCRIP OF HOME TRADE LTD.
DID NOT ENSURE THAT BASIS OF ALLOTMENT WAS DONE IN FAIR AND EQUITABLE MANNER BY ALLOTTING SHARES TO SANJAY AGGARWAL, N.S.TRIVEDI, KETAN SHETH AND SUBODH BHANDARI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 26-NOV-2003 TO 25-JAN-2004
05-NOV-2003
|
|
| 410 |
|
|
SHRIYAM SECURITIES & FINANCE LTD.
|
|
|
DID NOT ADHERE TO PROVISIONS OF SEBI (MERCHANT BANKERS) RULES & REGULATIONS, 1992
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-NOV-1998
|
|
| 411 |
|
|
SICOM LTD.
(PAN:AAACS5524J)
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JAN-1999
26-FEB-1999
|
|
| 412 |
|
|
SIDH GLOBAL EQUITY FUND LTD.
|
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF BARODA AGRO INDUSTRIES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
REGISTRATION EXPIRED
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-APR-2004 TO 22-APR-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2004 TO 22-APR-2007
23-APR-2004
|
|
| 413 |
|
|
SKI CAPITAL SERVICES LTD.
(PAN:AAACS4864K)
|
|
|
DID NOT INDEPENDENTLY EXERCISE DUE DILIGENCE OF ALL DISCLOSURES IN PRIVATE PLACEMENT MEMORANDUM (PPM), SATISFY ITSELF W.R.T. VERACITY AND ADEQUACY OF DISCLOSURES AND MADE INCORRECT SUBMISSION TO SEBI WITHOUT VERIFYING THE FACTS PERTAINING TO DISCIPLINARY HISTORY OF THE FUND MANAGER
|
IMPOSED PENALTY RS.3,00,000
28-NOV-2024
|
|
| 414 |
|
|
SMC CAPITALS LTD.
(PAN:AABCS3706R)
|
|
|
DID NOT ISSUE CORRIGENDUM FOR RECTIFYING ALL ERRORS IN OFFER DOCUMENT OF PUBLIC ISSUE OF NCDS OF KOSAMATTAM FINANCE LTD. VIOLATING CLAUSE 4 OF SCHEDULE III CODE OF CONDUCT READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DELAY IN SUBMISSION OF CORRIGENDUM TO THE OFFER DOCUMENT TO STOCK EXCHANGE IN PUBLIC ISSUE OF NCDS OF KOSAMATTAM FINANCE LTD. VIOLATING OF CLAUSE 4 OF SCHEDULE III CODE OF CONDUCT READ WITH REGULATION 13 OF OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2023
|
SAT: SAT VIDE ITS ORDER DATED 13/10/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 415 |
|
|
SMIFS CAPITAL MARKETS LTD.
|
|
|
|
UTSAV PAREKH
|
|
VIOLATION BY SMIFS SECURITIES LTD. OF SEBI(PROHIBITION OF FRAUDULENT & UNFAIR TRADE PRACTICES RELATING TO SECURITIES MARKET) REGULATIONS IN THE CASE OF DSQ SOFTWARE LTD.AND SOUTH EAST ASIA MARINE ENGINEERING & CONSTRUCTION LTD.
IRREGULARITIES BY SMIFS SECURITIES LTD. IN ISSUANCE OF CONTRACT NOTES, NON-SEGREGATION OF CLIENT/OWN FUNDS ETC.
IRREGULARITIES IN TAKEOVER DIRECTIVES/INSTRUCTIONS/GUIDELINES IN MATTER OF BSL LTD. LEADING TO A CONSOLIDATED PENALTY OF RS.3 CRORE ON SMIFS CAPITAL MARKET LTD. AND ITS ASSOCIATES
ADMINISTRATIVE WARNING TO SMIFS CAPITAL MARKET LTD. IN THE MATTER OF KHSL INDUSTRIES LTD.
|
REJECTED APPLICATION FOR RENEWAL OF REGISTRATION AS MERCHANT BANKER
06-AUG-2004
|
SAT: IMPUGNED ORDER SET ASIDE AND DIRECTED SEBI TO RECONSIDER MATTER IN LIGHT OF AFFIDAVIT FILED BY APPLICANT AND IN THE LIGHT OF NEW POLICY
REJECTED APPLICATION DATED 10/12/2008 FOR RENEWAL OF CERTIFICATE OF REGISTRATION AS A MERCHANT BANKER AND DIRECTED TO STOP CARRYING ON THE ACTIVITIES AS A MERCHANT BANKER WITH IMMEDIATE EFFECT
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 416 |
|
|
SOLOMON RAJ
|
|
|
|
HINDUJA TMT LTD.
|
|
IRREGULARITIES IN RIGHTS ISSUE OF SUBHASH PROJECTS & MARKETING LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2003 TO 10-JAN-2005
11-JAN-2003
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 417 |
|
|
SOUBHAGYA INVESTMENT CONSULTANTS
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1997
08-JAN-1998
|
|
| 418 |
|
|
SPA CAPITAL ADVISORS LTD.
|
|
|
DEFAULTED OF INR 24.19 CRORE AND DECLARED AS WILFUL DEFAULTER BY LAKSHMI VILAS BANK LTD. (NOW DBS BANK INDIA LTD.)
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 24-AUG-2022 TILL OBTAINS CERTIFICATE FROM LAKSHMI VILLAS BANK
DIRECTED NOT TO TAKE UP ANY NEW ASSIGNMENT OF MERCHANT BANKER IN SECURITIES MARKET FROM 24-AUG-2022 TILL OBTAINS CERTIFICATE FROM LAKSHMI VILLAS BANK
24-AUG-2022
|
|
| 419 |
|
|
STANDARD CAPITAL MARKETS LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1998
26-FEB-1999
|
|
| 420 |
|
|
STATE BANK OF INDORE
|
|
|
IN THE CASE OF SAKET EXTRUSIONS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
15-JUL-2002
|
|
| 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 21 of 25
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