| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
MAHESHWARI DATAMATICS PVT.LTD.
(PAN:AADCM6570H)
|
|
|
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
DID NOT PUBLISH ADVERTISEMENT IN NEWSPAPER FOR LOSS OF SHARE CERTIFICATES VIOLATING CLAUSE 23 OF GENERAL DIRECTIVES/INSTRUCTIONS/GUIDELINES FOR PROCESSING OF DOCUMENTS OF RTI CIRCULAR NO.1 (2000-2001) DATED 09/05/2001
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 09-DEC-2019 TO 08-JAN-2020
DIRECTED TO DISCLOSE CONTENTS OF SEBI’S DIRECTIONS ON ITS WEBSITE(S) IMMEDIATELY
09-DEC-2019
|
|
| 162 |
|
|
MANAGEMENT CONSULTANTS
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 15-JAN-1998
03-DEC-1998
|
|
| 163 |
|
|
MARDIA LEASING & FINANCIAL SERVICES LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 15-MAY-1998
03-DEC-1998
|
|
| 164 |
|
|
MCC FINANCE LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 03-JUN-1999
03-JUN-1999
|
|
| 165 |
|
|
MCS LTD.
(PAN:AAACM8027G)
|
|
|
ISSUED DUPLICATE SHARE CERTIFICATE WITHOUT HAVING SPECIMEN SIGNATURES
ISSUED DUPLICATE SHARE CERTIFICATE WITHOUT ISSUING ANY ADVERTISEMENT IN NEWSPAPER
|
CANCELLED REGISTRATION AS REGISTRAR FROM 01-MAR-2023
01-MAR-2023
|
|
| 166 |
|
|
MCS LTD.
(PAN:AAACM8027G)
|
|
|
DID NOT REDRESS INVESTOR GRIEVANCES DESPITE BEING DIRECTED BY SEBI
ACCEPTED OVERLAPPING MANDATES FOR THREE LARGE PUBLIC ISSUES WITHOUT HAVING PROPER INFRASTRUCTURE/MANPOWER
|
IMPOSED PENALTY RS.2,00,000
24-JAN-2006
|
|
| 167 |
|
|
MCS LTD.
(PAN:AAACM8027G)
|
|
|
|
ALOK AGARWAL
|
|
|
RAMESH AGARWAL
|
|
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE IN PUBLIC ISSUE OF OIL & NATURAL GAS CORP.LTD., POWER TRADING CORP.OF INDIA LTD. & BANK OF MAHARASHTRA LTD.
VIOLATED RULE 4(1) (E) OF SEBI (REGISTRARS TO AN ISSUE & SHARE TRANSFER AGENTS) RULES, 1993
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 05-JUL-2007 TO 19-JUL-2007
14-JUN-2007
|
|
| 168 |
|
|
MCS LTD.
(PAN:AAACM8027G)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS WITHIN TIME PRESCRIBED BY SEBI
|
IMPOSED PENALTY RS.25,00,000
03-MAR-2009
|
SAT: IMPUGNED ORDER DATED 03/03/2009 MODIFIED AND PENALTY AMOUNT REDUCED TO RS.1,00,000 FROM RS.25,00,000 VIDE ORDER DATED 06/05/2010. NO ORDER AS TO COSTS
|
| 169 |
|
|
MCS LTD.
(PAN:AAACM8027G)
|
|
|
DID NOT FOLLOW PROPER PROCEDURE AND NOT EXERCISING DUE CARE AND DILIGENCE IN PROCESS OF ISSUANCE OF DUPLICATE SHARES CERTIFICATE VIOLATING REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
28-FEB-2023
|
|
| 170 |
|
|
MCS LTD.
(PAN:AAACM8027G)
|
|
|
REFUSED TO HANDOVER RECORDS/DATA AND DID NOT ISSUE NOC OF DEMATERIALIZATION PROCESS
|
DIRECTED TO TRANSFER RECORDS OF CLIENTS TO ANOTHER AGENCY/CONCERNED COMPANIES
11-AUG-2008
|
SAT: APPEAL INFRUCTUOUS AND DISPOSED OFF, WITH NO ORDER AS TO COSTS
DIRECTED TO TRANSFER ALL DATA/RECORDS TO ISSUERS/COMPLAINANTS OR TO THEIR NEW APPOINTED RTA AND ISSUE NOC TO CONCERNED DEPOSITORIES WITHIN 15 DAYS FROM DATE OF THIS ORDER. CEASE AND DESIST FROM VIOLATING PROVISIONS OF LAW
|
| 171 |
|
|
MCS SHARE TRANSFER AGENT LTD.
(PAN:AAHCM3618E)
|
|
|
DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY, DID NOT FULFIL ITS OBLIGATIONS IN PROMPT, ETHICAL AND PROFESSIONAL MANNER AND DID NOT EXERCISE DUE CARE & DILIGENCE VIOLATING CLAUSES 1 TO 3, 13, 25, 27, 28 AND 30 OF CODE OF CONDUCT AS SPECIFIED IN SCHEDULE III READ WITH REGULATION 13 (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993
|
IMPOSED PENALTY RS.1,00,000
04-JAN-2023
|
|
| 172 |
|
|
MCS SHARE TRANSFER AGENT LTD.
(PAN:AAHCM3618E)
|
|
|
DID NOT PROVIDE REQUIRED DOCUMENTS TO AUDITOR APPOINTED BY SEBI VIOLATING REGULATION 18(1) READ WITH 21 OF SEBI (RTI AND STA) REGULATIONS, 1993
DID NOT PROVIDE REQUIRED DOCUMENTS TO AUDITOR APPOINTED BY SEBI VIOLATING CLAUSE 18 OF CODE OF CONDUCT IN SCHEDULE III UNDER REGULATION 13 OF SEBI (RTI AND STA) REGULATIONS, 1993
|
IMPOSED PENALTY RS.5,00,000
24-AUG-2020
|
|
| 173 |
|
|
MCS SHARE TRANSFER AGENT LTD.
(PAN:AAHCM3618E)
|
|
|
DID NOT PROVIDE COMPLETE INFORMATION WITH REGARD TO CHANGE OF BANK ACCOUNT DETAILS REQUEST VIOLATING REGULATIONS 18(1) AND (4) OF SEBI (REGISTRARS AND SHARE TRANSFER AGENT) REGULATIONS, 1993 AND CLAUSE 2 OF CODE OF CONDUCT AS SPECIFIED UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
|
IMPOSED PENALTY RS.3,00,000
31-OCT-2022
|
|
| 174 |
|
|
MCS SHARE TRANSFER AGENT LTD.
(PAN:AAHCM3618E)
|
|
|
DID NOT MAINTAIN INWARD REGISTER ON DAY TO DAY BASIS AND NOT AFFIXED INWARD NUMBER & DATE OF RECEIPT PERTAINING TO REQUESTS/COMPLAINTS ON THE SAME DAY
PROCESSED REQUEST FOR DEMATERIALISATION OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DELAY IN UPDATION OF CHANGE OF ADDRESS AND BANK ACCOUNT DETAILS
DID NOT CO-OPERATE AND NOT SUBMITTED DOCUMENTS DURING INSPECTION
|
IMPOSED PENALTY RS.3,00,000
29-APR-2022
|
|
| 175 |
|
|
MCS SHARE TRANSFER AGENT LTD.
(PAN:AAHCM3618E)
|
|
|
DID NOT MAINTAIN BACKUP OF EMAIL CORRESPONDENCE MADE WITH ITS CLIENTS INCLUDING SUPPORTING DOCUMENTS VIOLATING CLAUSES 1 TO 3, 5 AND 20 OF SCHEDULE III (CODE OF CONDUCT) READ WITH REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
DID NOT IMPLEMENT SYSTEM BASED ALERTS TO EXERCISE ENHANCED DUE DILIGENCE FOR CASES WHERE PAN AND BANK ACCOUNT DETAILS OF SHAREHOLDER WERE MISSING IN FOLIOS
|
IMPOSED PENALTY RS.2,00,000
18-JUL-2025
|
|
| 176 |
|
|
MEGA CUSTODIAL SERVICES LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 11-MAR-1999
11-MAR-1999
|
|
| 177 |
|
|
MENNEN FINANCIAL SERVICES LTD.
|
|
|
DELAY IN PAYMENT OF REGISTRATION FEE TO SEBI VIOLATING REGULATION 9A(C) AND 12(1) READ WITH SCHEDULE II OF SEBI (REGISTRAR TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATION, 1993
DID NOT SUBMIT PERIODIC REPORTS AS REQUIRED BY SEBI VIDE ITS CIRCULAR NO.CIR/MIRSD/7/2012 DATED 05/07/2012 IN CLAUSES 3 AND 4
|
CANCELLED REGISTRATION AS REGISTRAR FROM 18-MAY-2020
18-MAY-2020
|
|
| 178 |
|
|
METROPOLIS FINANCIAL CONSULTANTS LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS REGISTRAR FROM 26-NOV-1998
26-NOV-1998
|
|
| 179 |
|
|
MICROSOFT DEVELOPMENT CONSULTANCY
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 20-OCT-1999
20-OCT-1999
|
|
| 180 |
|
|
MODERN DENIM LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS REGISTRAR FROM 31-DEC-1997
03-DEC-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 9 of 18
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