| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 441 |
|
SWASTIKA INVESTMART LTD.
(PAN:AABCS6585J)
|
|
|
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
|
IMPOSED PENALTY RS.3,00,000
12-MAR-2024
|
|
| 442 |
|
|
SYNCHROFIN SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1998
20-AUG-1998
|
|
| 443 |
|
|
SYNERGY FINANCIAL SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JUL-1998
27-AUG-1998
|
|
| 444 |
|
|
SYSTEMATIX CORPORATE SERVICES LTD.
(PAN:AAGCS3420D)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN MATTER OF IPO OF XYZ LTD. VIOLATING REGULATION 24(3) OF SEBI (ICDR) REGULATIONS, 2018
DID NOT EXERCISE DUE CARE AND DILIGENCE IN MATTER OF IPO OF XYZ LTD. VIOLATING REGULATION 13 READ WITH CLAUSE 4 OF SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DELAY IN MAKING REQUISITE STATUS UPDATES IN SEBI INTERMEDIARY PORTAL VIOLATING REGULATION 9A(1)(F) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 AND SEBI CIRCULAR DATED 02/05/2017
DID NOT MAINTAIN STRUCTURED DIGITAL DATABASE FOR MERCHANT BANKING RELATED ACTIVITIES DURING INVESTIGATION PERIOD VIOLATING REGULATION 3(5) OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.7,00,000
28-JUN-2024
|
|
| 445 |
|
|
TAMILNADU FINANCE LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 09-SEP-1998 TO 31-OCT-1998
09-SEP-1998
|
|
| 446 |
|
|
TAMILNADU INDUSTRIAL INVESTMENT CORP.LTD.,THE
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-APR-1998
09-JUN-1998
|
|
| 447 |
|
|
TARAL FINANCIAL CONSULTANTS PVT.LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1999
26-MAR-1999
|
|
| 448 |
|
|
TDS SECURITIES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-JUN-1998
10-JUN-1998
|
|
| 449 |
|
|
TEDCO INVESTMENT & FINANCIAL SERVICES PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 24-JUN-1998
26-JUN-1998
|
|
| 450 |
|
|
THOMAS JAMES & ASSOCIATES
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-APR-1998
09-JUN-1998
|
|
| 451 |
|
|
TIMEGUARD MANAGEMENT & FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 04-AUG-1998 TILL THE REMAINING PERIOD OF REGISTRATION
11-AUG-1998
|
|
| 452 |
|
|
TIPSONS CONSULTANCY SERVICES PVT.LTD.
(PAN:AADCT6508J)
|
|
|
ASSOCIATED WITH ISSUE OF U GRO CAPITAL LTD. PRIOR TO ITS APPOINTMENT AS MERCHANT BANKER
DELAY IN FILING OF DRAFT OFFER DOCUMENT WITH STOCK EXCHANGES
DID NOT CHECK WHETHER ANY FINES/PENALTIES WERE LEVIED BY STOCK EXCHANGES ON WATCHOUT INVESTORS WEBSITE
|
IMPOSED PENALTY RS.3,00,000
22-APR-2024
|
|
| 453 |
|
|
TITAN SECURITIES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 29-SEP-1998 TO 28-FEB-1999
29-SEP-1998
|
|
| 454 |
|
|
TITAN SECURITIES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1999
26-MAR-1999
|
|
| 455 |
|
|
TRANS FINANCIAL RESOURCES LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JUL-1998
27-AUG-1998
|
|
| 456 |
|
|
TRANSCORP FINANCE LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 25-JUN-1998
06-JUN-1998
|
|
| 457 |
|
|
TRC FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 17-JUN-1998
23-JUN-1998
|
|
| 458 |
|
|
TRC FINANCIAL SERVICES LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-AUG-1998
06-OCT-1998
|
|
| 459 |
|
|
TRENDZ FINANZ LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1998
20-AUG-1998
|
|
| 460 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-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 23 of 25
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