| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 461 |
|
TRC FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 17-JUN-1998
23-JUN-1998
|
|
| 462 |
|
|
TRENDZ FINANZ LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1998
20-AUG-1998
|
|
| 463 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
|
|
|
DID NOT EXERCISE DUE DILIGENCE IN PUBLIC ISSUE OF BALAJI TELEFILMS LTD.
VIOLATED OF CLAUSE 2 OF THE CODE OF CONDUCT LAID DOWN IN SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS 1992
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
14-MAY-2002
|
|
| 464 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
(Member : NSE)
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF HFCL, ZEE, ADANI, GTL, RANBAXY, SAB TV, SHONKH, PADMINI (FORMERLY PADMINI POLYMERS LTD.) AND AFTEK WITH KP ENTITIES
INDULGED IN MANIPULATIVE ACTIVITIES LIKE SYNCHRONIZED TRADING
FINANCED TRANSACTIONS TO GIVE SEMBLANCE OF PURCHASE AND SALE OF SHARES AT THE EXCHANGES
INDULGED IN CIRCULAR TRADING
CREATED ARTIFICIAL MARKET
BENCHMARKED PRICES OF CERTAIN SCRIPS BY EXECUTING NON-GENUINE TRANSACTIONS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-NOV-2007 TO 11-NOV-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-NOV-2007 TO 11-NOV-2012
12-NOV-2007
|
SAT: APPEAL DISMISSED AS INFRUCTUOUS
|
| 465 |
|
|
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
|
|
| 466 |
|
|
TRIUMPH INTERNATIONAL FINANCE INDIA LTD.
(PAN:AAACE0308A)
|
|
|
VIOLATED SEBI ACT, RULES & REGULATIONS
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS MERCHANT BANKER FROM 21-JUN-2001 TILL FURTHER ORDER
21-JUN-2001
|
|
| 467 |
|
|
TWENTY FIRST CENTURY CAPITALS LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-OCT-1998
27-NOV-1998
|
|
| 468 |
|
|
UNION BANK OF INDIA
|
|
|
DID NOT CARRY INSCRIPTION NON-TRANSFERABLE ON SHARES WHICH WERE UNDER LOCK-IN
|
NOT ACTED NEGLIGENTLY WARRANTING IMPOSITION OF PENALTY
01-NOV-2004
|
|
| 469 |
|
|
USHAKIRAN FINANCE LTD.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 21-NOV-1997
28-NOV-1997
|
|
| 470 |
|
|
USHER FINANCIALS PVT.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
|
|
| 471 |
|
|
UTSAV PAREKH
|
|
|
|
SMIFS CAPITAL MARKETS LTD.
|
|
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
|
| 472 |
|
|
UTTARANCHAL FINANCE LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1999
26-MAR-1999
|
|
| 473 |
|
|
V.K.BHANDARI
|
|
|
|
CENTRAL BANK OF INDIA
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE IN PUBLIC ISSUE OF SAATAL KATTHA & CHEMICALS LTD
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
03-SEP-2002
|
|
| 474 |
|
|
V.K.LADHA & ASSOCIATES
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1997
08-JAN-1998
|
|
| 475 |
|
|
V.K.NAIK
|
|
|
|
IMPERIAL CORPORATE FINANCE & SERVICES PVT.LTD.
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE IN RIGHTS ISSUE OF GAMMON INDIA LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-MAY-2003 TO 22-MAY-2003
10-APR-2003
|
SAT: IMPUGNED ORDER AND ORDER PASSED BY ENQUIRY OFFICER SET ASIDE, NO ORDER AS TO COSTS
|
| 476 |
|
|
VANTAGE FINANCIAL SERVICES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 28-FEB-1999
26-MAR-1999
|
|
| 477 |
|
|
VATSA CORP.LTD.
|
|
|
IRREGULARITIES IN PUBLIC ISSUE OF HITEK INDUSTRIES (BIHAR) LTD.
IRREGULARITIES IN BUYING, SELLING AND DEALING IN SCRIP OF HITEK INDUSTRIES (BIHAR) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-AUG-2003 TO 11-AUG-2008
12-AUG-2003
|
|
| 478 |
|
|
VEER HARIA SECURITIES PVT.LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1999
26-MAR-1999
|
|
| 479 |
|
|
VENTURECORP CONSULTANTS PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-FEB-1998
20-AUG-1998
|
|
| 480 |
|
|
VERTEX SECURITIES LTD.
(PAN:AAACV7979E)
|
|
|
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.3,00,000 VIDE CONSENT ORDER)
06-SEP-2011
|
|
| 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 24 of 25
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