| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
CIPHER SECURITIES (I) PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 30-JUN-1998
27-JUL-1998
|
|
| 82 |
|
|
CITICORP BROKERAGE (INDIA) LTD.
|
|
|
SURRENDERED CERTIFICATE OF REGISTRATION
|
CANCELLED REGISTRATION AS UNDERWRITER FROM 31-JAN-2006
31-JAN-2006
|
|
| 83 |
|
|
CLARITY FINANCIAL SERVICES LTD.
(PAN:AABCC0364R)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 10-JUN-1998
18-JUN-1998
|
|
| 84 |
|
|
CLARITY FINANCIAL SERVICES LTD.
(PAN:AABCC0364R)
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1998
26-FEB-1999
|
|
| 85 |
|
|
CLASSIC GLOBAL SECURITIES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 30-JUL-1998
07-AUG-1998
|
|
| 86 |
|
|
CLASSWIN CREDIT CAPITAL LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 14-AUG-1998 TILL THE REMAINING PERIOD OF REGISTRATION
25-AUG-1998
|
|
| 87 |
|
|
CLF CORP.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-OCT-1998
08-OCT-1998
|
|
| 88 |
|
|
CLIO FINANCE LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1998
26-FEB-1999
|
|
| 89 |
|
|
COMFORT FININVEST LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JUL-1998
27-AUG-1998
|
|
| 90 |
|
|
COMFORT SECURITIES LTD.
(PAN:AABCC9625R)
|
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF RS.33.83 CRORES IN IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
DID NOT EXERCISE DUE DILIGENCE, SKILL AND CARE AS INDEPENDENT PROFESSIONAL JUDGEMENT WHILE ACTING AS BOOK RUNNING LEAD MANAGER VIOLATING REGULATIONS 64(1), 8(2) (B), (E) AND (F) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 19-OCT-2022 TO 18-OCT-2023
19-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 02/01/2023 ALLOWED RESPONDENT FURTHER ONE WEEK TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TEN DAYS THEREAFTER
|
| 91 |
|
|
CONSOLIDATED CAPITAL FINANCIALS LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 10-JUN-1998
18-JUN-1998
|
|
| 92 |
|
|
CONSULTANCY CORP.OF INDIA
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1997
08-JAN-1998
|
|
| 93 |
|
|
CORPORATE & FINANCIAL ENGINEERING CONSULTANTS
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1998
26-FEB-1999
|
|
| 94 |
|
|
CORPORATE CAPITAL VENTURES PVT.LTD.
(CIN:U74140DL2009PTC194657
PAN:AAECR4815P)
|
|
|
DID NOT HONOR ITS UNDERWRITING OBLIGATION IN SME IPO OF ICL MULTITRADING INDIA LTD. VIOLATING REGULATIONS 106P(1) OF ICDR REGULATIONS, 2009 READ WITH REGULATION 301(2) OF SEBI (ICDR) REGULATIONS, 2018
|
DIRECTED NOT TO TAKE UP ANY NEW ASSIGNMENT OF MERCHANT BANKER IN SECURITIES MARKET FROM 05-JUL-2019 TILL FURTHER ORDERS
DIRECTED TO MAKE DISCLOSURE OF PENDING ASSIGNMENTS ENGAGED AS MERCHANT BANKER IN OFFER DOCUMENTS PERTAINING TO ISSUES CONCERNING SUCH ASSIGNMENTS
DIRECTED TO PROVIDE DETAILS OF ALL PENDING ASSIGNMENTS AS MERCHANT BANKER TO SEBI WITHIN SEVEN DAYS OF RECEIPT OF ORDER
05-JUL-2019
|
SEBI VIDE ITS ORDER DATED 16/01/2020 CONFIRMED ITS DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 05/07/2019 AND DIRECTED CCV TO REMAIN PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT RELATING TO MERCHANT BANKING ACTIVITIES IN SECURITIES MARKET TILL FURTHER ORDERS. FURTHER, DIRECTED TO INVESTIGATE INTO THE EVENTS SURROUNDING SME-IPO OF ICL AND CCV AND ICL ARE DIRECTED TO EXTEND ALL NECESSARY CO-OPERATION TO THE INVESTIGATION
SAT: SAT VIDE ITS ORDER DATED 22/10/2020 DISPOSED OFF THE APPEAL BY DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE TO APPELLANT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND DIRECTED APPELLANT TO FILE ITS REPLY WITHIN FOUR WEEKS THEREAFTER
SEBI VIDE ITS ORDER DATED 16/03/2021 DISPOSED OFF THE PRESENT PROCEEDINGS AND REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 05/07/2019 AND CONFIRMATORY ORDER DATED 16/01/2020
|
| 95 |
|
|
CORPORATE STRATEGIC ALLIANZ LTD.
(PAN:AACCC8085A)
|
|
|
DID NOT ENSURE ADEQUATE, ACCURATE/COMPLETE AND ALL RELEVANT MATERIAL DISCLOSURES IN IPO PROSPECTUS VIOLATING REGULATION 64(1) OF ICDR REGULATIONS IN MATTER OF RUSHIL DÉCOR LTD.
DID NOT EXERCISE DUE DILIGENCE AND VERIFY ADEQUACY OF DISCLOSURES IN IPO PROSPECTUS VIOLATING REGULATION 13 OF MERCHANT BANKERS REGULATIONS READ WITH CLAUSES 1 TO 7 AND 21 OF CODE OF CONDUCT FOR MERCHANT BANKERS SPECIFIED IN SCHEDULE III OF MERCHANT BANKERS REGULATIONS, 1992 IN MATTER OF RUSHIL DÉCOR LTD.
|
IMPOSED PENALTY RS.8,00,000
12-MAY-2017
|
SAT: APPEAL DISMISSED
|
| 96 |
|
|
CORPORATE STRATEGIC ALLIANZ LTD.
(PAN:AACCC8085A)
|
|
|
DID NOT MAKE DISCLOSURE OF REFERENCE TO WEB LINK TO ENABLE INVESTORS TO MONITOR POST ISSUE PERFORMANCE OF THE ISSUES HANDLED FOR A PERIOD OF THREE YEARS FROM THE DATE OF LISTING IN PROSPECTUS OF AMRAPALI CAPITAL & FINANCE SERVICES LTD.
DID NOT MAKE DISCLOSURE OF COMPLETE AND ADEQUATE INFORMATION TO INVESTORS TO ARRIVE AT A FAIR JUDGEMENT TO INVEST IN THE ISSUE OF ACE TOURS WORLDWIDE LTD. VIOLATING CLAUSE 4, 6 & 7 OF SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKER) REGULATIONS, 1992
DID NOT MAKE DISCLOSURE OF COMPLETE AND ADEQUATE INFORMATION TO INVESTORS TO ARRIVE AT A FAIR JUDGEMENT TO INVEST IN THE ISSUE OF ACE TOURS WORLDWIDE LTD. VIOLATING REGULATION 57(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
IMPOSED PENALTY RS.15,00,000
22-FEB-2017
|
SAT: SAT VIDE ITS ORDER DATED 29/03/2019 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 22/02/2017. NO COSTS
|
| 97 |
|
|
CORPORATE STRATEGIC ALLIANZ LTD.
(PAN:AACCC8085A)
|
|
|
NO LONGER A FIT AND PROPER PERSON TO CONTINUE ITS ACTIVITIES AS MERCHANT BANKER VIOLATING REGULATION 9A(1)(E) READ WITH REGULATION 6(GG) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 AND SECTION 12(1) OF SEBI ACT, 1992
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 24-AUG-2020 ONE YEAR FROM DATE OF ACTUAL RECEIPT BY SEBI
24-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2022 DISMISSED THE APPEAL. NO COSTS
|
| 98 |
|
|
CORPORATE STRATEGIC ALLIANZ LTD.
(PAN:AACCC8085A)
|
|
|
DID NOT MAINTAIN NECESSARY INFRASTRUCTURE TO CARRY OUT MERCHANT BANKING ACTIVITIES
DID NOT PAY RENEWAL FEES
DID NOT INTIMATE CHANGE IN ADDRESS AND CONTACT DETAILS TO SEBI
DID NOT SUBMIT HALF YEARLY REPORTS TO SEBI
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 21-MAR-2025
21-MAR-2025
|
|
| 99 |
|
|
CORPORATE STRATEGIC ALLIANZ LTD.
(PAN:AACCC8085A)
|
|
|
DID NOT EXERCISE DUE DILIGENCE TO VERIFY TRUE AND CORRECT STATEMENTS ADEQUACY OF DISCLOSURE MADE IN IPO PROSPECTUS VIOLATING REGULATION 64(1) AND CLAUSES 1, 4, 6 AND 7 SPECIFIED IN SCHEDULE III READ WITH REGULATION 13 OF SEBI OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 2003 IN MATTER OF IPO OF TIMBOR HOME LTD.
|
IMPOSED PENALTY RS.1,00,000
23-MAR-2021
|
SEBI VIDE ITS NOTICE DATED 31/08/2021 DIRECTED TO PAY RS.1,06,293.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/08/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4133 OF 2021 DATED 31/08/2021
|
| 100 |
|
|
COSTPLUS CREDIT CAPITAL LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-SEP-1998 TILL THE REMAINING PERIOD OF REGISTRATION
17-SEP-1998
|
|
| 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 5 of 25
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