| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
LAN DATA SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-DEC-1997
03-DEC-1998
|
|
| 142 |
|
|
LIGHTHOUSE SYSTEMS
|
|
|
|
RAKESH K.KHATOR
|
|
ACTED AS REGISTRAR WITHOUT RENEWAL OF REGISTRATION
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-MAR-2008
|
SAT: ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.50,000 FROM RS.2,00,000 WITH NO ORDER AS TO COSTS
|
| 143 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS WITHIN TIME PRESCRIBED BY SEBI
DID NOT DEMATERIALIZE AND REMATERIALIZE SECURITIES IN PRESCRIBED TIME
DID NOT EXERCISE DUE DILIGENCE WHILE PROCESSING APPLICATIONS WHICH WERE RECEIVED IN VARIOUS PUBLIC ISSUES
|
IMPOSED PENALTY RS.3,00,000
22-FEB-2012
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 144 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
DID NOT CLOSE 62 VULNERABILITIES (9 CRITICAL AND 17 HIGH) IMMEDIATELY AFTER DETECTION THROUGH VULNERABILITY ASSESSMENT & PENETRATION TESTING (VAPT) AUDIT WITHIN THREE MONTHS
|
IMPOSED PENALTY RS.1,00,000
30-DEC-2024
|
|
| 145 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
DID NOT ISSUE OBJECTION MEMO TO THE TRANSFERORS IN CASE OF NON-AVAILABILITY OF SPECIMEN SIGNATURES VIOLATING CLAUSE 3 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATION, 1993
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
24-JUN-2021
|
|
| 146 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
FRAUDULENTLY TRANSFERRED SHARES AND ISSUED DUPLICATE SHARES TO PERSON WHO WERE NOT REAL OWNER OF EQUITY SHARES OF SWISS GLASSCOAT EQUIPMENT LTD. (NOW KNOWN AS HLE GLASCOAT LTD.) VIOLATING CLAUSE 3 OF CODE OF CONDUCT UNDER SCHEDULE III OF REGULATION 13 OF SEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993
|
IMPOSED PENALTY RS.1,00,000
31-JAN-2023
|
|
| 147 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
DID NOT CLOSE 62 VULNERABILITIES (9 CRITICAL AND 17 HIGH) IMMEDIATELY AFTER DETECTION THROUGH VULNERABILITY ASSESSMENT & PENETRATION TESTING (VAPT) AUDIT WITHIN THREE MONTHS
DID NOT REVIEW IMPLEMENTATION OF CYBER SECURITY VIOLATING CLAUSE 7 OF ANNEXURE A TO SEBI CIRCULAR DATED 08/09/2017
|
IMPOSED PENALTY RS.1,00,000
11-FEB-2025
|
|
| 148 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE FURNISHING INFORMATION TO SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,50,000 VIDE CONSENT ORDER)
01-APR-2025
|
|
| 149 |
|
|
LMW MANAGEMENT SERVICES LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 19-FEB-1999
23-AUG-1999
|
|
| 150 |
|
|
LYONS FINANCIAL SERVICES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 26-NOV-1998
26-NOV-1998
|
|
| 151 |
|
|
MAC CONSULTANTS PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-OCT-1996
11-FEB-1998
|
|
| 152 |
|
|
MAC CONSULTANTS PVT.LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 18-JAN-2000
18-JAN-2000
|
|
| 153 |
|
|
MAFATLAL INDUSTRIES LTD.
(PAN:AAACM2813L)
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 15-NOV-1997
11-FEB-1998
|
|
| 154 |
|
|
MAFATLAL INDUSTRIES LTD.
(PAN:AAACM2813L)
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 11-MAR-1999
11-MAR-1999
|
|
| 155 |
|
|
MAGNUM LTD.
(CIN:L74140GJ1992PLC016891)
|
|
|
REGISTRATION EXPIRED ON 15.11.2000
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 15-NOV-2000
12-APR-2001
|
|
| 156 |
|
|
MAHAMAYA INVESTMENTS LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 28-FEB-1998
03-DEC-1998
|
|
| 157 |
|
|
MAHESHWARI DATAMATICS PVT.LTD.
(PAN:AADCM6570H)
|
|
|
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
DELAY IN PROCESSING OF PHYSICAL TRANSFER OF SHARES
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DELAY IN PROCESSING OF TRANSMISSION OF SHARES
DELAY IN PROCESSING OF REQUEST FOR DEMATERIALISATION OF SHARES
DELAY IN PROCESSING OF REQUEST FOR REMATERIALIZATION OF SHARES
|
IMPOSED PENALTY RS.2,00,000
13-DEC-2022
|
|
| 158 |
|
|
MAHESHWARI DATAMATICS PVT.LTD.
(PAN:AADCM6570H)
|
|
|
DELAY IN PROCEESING OF TRANSFER REQUESTS OR TRANSMISSION REQUETS OF SHARES VIOLATING CLAUSE 3C OF LISTING AGREEMENT
DID NOT MAINTAIN SIGNATURE CARDS VIOLATING REGULATION 14(3) OF RTA REGULATIONS READ WITH CLAUSE 2(VII) UNDER RRTI CIRCULAR NO.1 (94-95) DATED 11/10/1994 READ WITH REGULATION 14(3) OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATION, 1993
|
IMPOSED PENALTY RS.3,00,000
31-JAN-2020
|
|
| 159 |
|
|
MAHESHWARI DATAMATICS PVT.LTD.
(PAN:AADCM6570H)
|
|
|
REPRESENTATIVES/EMPLOYEES/AUTHORISED PERSONS DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
VIOLATED 9A(1) (B) OF RTA REGULATIONS READ WITH DRAFT AGREEMENT IN ANNEXURE A OF SCHEDULE II IN SEBI CIRCULAR “INSTRUCTION TO REGISTRAR TO AN ISSUE /SHARE TRANSFER AGENTS DATED 11/10/1994 AND CLAUSE 3 OF SCHEDULE III (CODE OF CONDUCT) READ WITH REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
DID NOT HAVE PROCESS FOR IDENTIFYING OR TAGGING DOCUMENTS WHICH INVESTORS SUBMIT IN CONTINUATION OF THEIR EARLIER SUBMISSION
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DELAY IN PROCESSING OF TRANSMISSION OF SHARES
DELAY IN PROCESSING OF REQUEST FOR CHANGE OF ADDRESS
DELAY IN PROCESSING OF REQUEST FOR CHANGE OF BANK ACCOUNT
DID NOT MAINTAIN REGISTER FOR RECORD OF DESTRUCTION OF DOCUMENTS
|
IMPOSED PENALTY RS.2,00,000
29-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 03/04/2024 RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 18/09/2025 REDUCED THE PENALTY AMOUNT TO RS.2 LAC FROM RS.6 LAC. NO COSTS
|
| 160 |
|
|
MAHESHWARI DATAMATICS PVT.LTD.
(PAN:AADCM6570H)
|
|
|
CONSIDERABLE DELAY IN DEMATERIALIZATION OF SHARES HELD BY PUBLIC SHAREHOLDERS
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAINTAIN DATABASE AND RECORDS OF INVESTOR COMPLAINTS
REQUEST FOR REMATERIALIZATION OF SHARES WERE EXECUTED (ACCEPTED AND REJECTED) BEYOND 30 DAYS OF SUCH REQUESTS
DID NOT HAVE ANY INTERNAL CONTROL SYSTEM IN RESPECT OF DESTRUCTION OF PHYSICAL SHARES AFTER THEY WERE DEMATERIALIZED
|
IMPOSED PENALTY RS.1,00,000
25-FEB-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 8 of 18
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