| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
GAZI SECURITIES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 13-AUG-1998
17-AUG-1998
|
|
| 162 |
|
|
GAZI SECURITIES LTD.
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JAN-1999
26-FEB-1999
|
|
| 163 |
|
|
GEOJIT FINANCIAL SERVICES LTD.
(PAN:AABCG1935E)
|
|
|
DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-JAN-1999
26-FEB-1999
|
|
| 164 |
|
|
GILTEDGE INVESTMENT BANKING SERVICES LTD.
|
|
|
IRREGULARITIES IN TRANSACTIONS IN GOVERNMENT SECURITIES
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-MAY-2002 TO 30-MAY-2002
16-MAY-2002
|
|
| 165 |
|
|
GLOBAL FINANCE & SECURITIES LTD.
|
|
|
DID NOT APPLY FOR RENEWAL OF REGISTRATION
REGISTRATION EXPIRED
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-AUG-1998
06-OCT-1998
|
|
| 166 |
|
|
GLOBAL FINANCE CORP.LTD.
|
|
|
DID NOT EXERCISE DUE DILIGENCE
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 14-MAY-1998
03-JUN-1998
|
|
| 167 |
|
|
GLOBAL PORTFOLIO SERVICES PVT.LTD.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 21-NOV-1997
28-NOV-1997
|
|
| 168 |
|
|
GOLDCREST FINANCE (INDIA) LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-SEP-1998
27-NOV-1998
|
|
| 169 |
|
|
GOLDMAN SACHS (INDIA) SECURITIES PVT.LTD.
|
|
|
ALLEGED VIOLATION OF PARAGRAPH 20 OF CODE OF CONDUCT FOR MERCHANT BANKERS UNDER SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF YES BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,80,242 VIDE CONSENT ORDER)
29-JUN-2018
|
|
| 170 |
|
|
GRETEX CORPORATE SERVICES LTD.
(CIN:L74999MH208PLC288128
PAN:AACCD9875F)
|
|
|
DID NOT EXERCISE ADEQUATE DUE DILIGENCE IN RESPECT OF THE SME PUBLIC ISSUE OF JAYANT INFRATECH LTD., PARTICULARLY CONCERNING OBJECT OF “PAYMENT OF SECURITY DEPOSIT FOR RENTING OF OFFICE SPACE” AND DISCREPANCIES IN THE STATEMENT OF FINANCIAL INDEBTEDNESS VIOLATING REGULATION 13 READ WITH CLAUSES 1,3, 4,7 AND 20 OF SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DID NOT MAINTAIN MINIMUM NETWORTH
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR CONTRACT OR LAUNCH A NEW SCHEME FROM 30-OCT-2025 TO 19-NOV-2025
30-OCT-2025
|
|
| 171 |
|
|
GRETEX CORPORATE SERVICES LTD.
(CIN:L74999MH208PLC288128
PAN:AACCD9875F)
|
|
|
DID NOT EXERCISE ADEQUATE DUE DILIGENCE WITH RESPECT TO PREVIOUS IPO APPLICATION AND ENSURING APPROPRIATE DISCLOSURES IN DRHP VIOLATING REGULATIONS 245(2)(B) AND 245(3) READ WITH CLAUSE (14)(N) OF PART A OF SCHEDULE VI OF SEBI (ICDR) REGULATIONS, 2018 AND REGULATIONS 9A(1)(E) AND 13 READ WITH CLAUSES 4 AND 21 OF SCHEDULE III OF SEBI (MERCHANT BANKER) REGULATIONS, 1992
DID NOT MAKE DISCLOSURE OF KEY PERFORMANCE INDICATORS IN OFFER DOCUMENTS VIOLATING REGULATION 245(2)(B) AND 245(3) READ WITH CLAUSE (9)(K)(3) OF PART A OF SCHEDULE VI OF SEBI (ICDR) REGULATIONS, 2018 AND REGULATIONS 9A(1)(E) AND 13 READ WITH CLAUSES 4 AND 21 OF SCHEDULE III OF SEBI (MERCHANT BANKER) REGULATIONS, 1992
DID NOT SUBMIT DUE DILIGENCE CERTIFICATE AT THE TIME OF FILING OFFER DOCUMENT VIOLATING REGULATION 25(9)(B) READ WITH FORM C OF SCHEDULE V OF SEBI (ICDR) REGULATIONS, 2018 AND REGULATIONS 9A(1)(E) AND 13 READ WITH CLAUSES 3 AND 21 OF SCHEDULE III OF SEBI (MERCHANT BANKER) REGULATIONS, 1992
DID NOT CONDUCT ADEQUATE AND INDEPENDENT DUE DILIGENCE AT DRHP STAGE WITH RESPECT TO ISSUER’S FUND REQUIREMENT, BACKGROUND VERIFICATION OF COMPANY, ITS PROMOTERS, DIRECTORS, VENDORS AND KEY CUSTOMERS VIOLATING REGULATION 245(3) OF SEBI (ICDR) REGULATIONS, 2018 AND REGULATION 13 READ WITH CLAUSE 4 OF SCHEDULE III AND REGULATION 9A(1)(E) OF SEBI (MERCHANT BANKER) REGULATIONS, 1992
DID NOT PROVIDE ACCURATE INFORMATION IN OFFER DOCUMENT WITH RESPECT TO CFO AND REGISTERED OFFICE OF COMPANY AND DID NOT CONDUCT ADEQUATE AND INDEPENDENT DUE DILIGENCE AT DRHP STAGE WITH RESPECT TO ELIGIBILITY OF MEMBERS FOR CONSTITUTION OF AUDIT COMMITTEE VIOLATING REGULATION 245(3) OF SEBI (ICDR) REGULATIONS, 2018 AND REGULATIONS 9A(1)(E) AND 13 READ WITH CLAUSE 4 OF SCHEDULE III OF SEBI (MERCHANT BANKER) REGULATIONS, 1992
DID NOT CONDUCT ADEQUATE AND INDEPENDENT DUE DILIGENCE AT DRHP STAGE WITH RESPECT TO CAPITAL STRUCTURE, BACKGROUND VERIFICATION OF COMPANY, ITS PROMOTERS, DIRECTORS, VENDORS AND KEY CUSTOMERS VIOLATING REGULATION 245(3) OF SEBI (ICDR) REGULATIONS, 2018 AND REGULATION 13 READ WITH CLAUSE 4 OF SCHEDULE III AND REGULATION 9A(1)(E OF SEBI (MERCHANT BANKER) REGULATIONS, 1992
DID NOT INTIMATE CHANGES IN INFORMATION PREVIOUSLY SUBMITTED TO SEBI REGARDING CHANGES IN REGISTERED OFFICE ADDRESS, PRINCIPAL PLACE OF DOING BUSINESS AND APPOINTMENT/ CESSATION OF DIRECTORS/KEY MANAGERIAL PERSONNEL VIOLATING REGULATION 9A(1)(F) OF SEBI (MERCHANT BANKER) REGULATIONS, 1992 READ WITH CLAUSE 1 OF CHAPTER I OF SEBI MASTER CIRCULAR SEBI/HO/CFD/POD-1/P/CIR/2023/157 DATED 26/09/2023
DID NOT INTIMATE ACQUISITION OF SECURITIES PURSUANT TO DEVOLVEMENT ON UNDERWRITING OBLIGATIONS VIOLATING REGULATION 27 OF SEBI (MERCHANT BANKER) REGULATIONS, 1992
DID NOT CARRY OUT CHANGES IN DRHP AS SPECIFIED IN SEBI OBSERVATION LETTER VIOLATING REGULATION 25(5) OF SEBI (ICDR) REGULATIONS, 2018
|
IMPOSED PENALTY RS.15,00,000
13-JAN-2026
|
|
| 172 |
|
|
GSL SECURITIES LTD.
(PAN:AAACG1845Q
CIN:L65990MH1994PLC077417)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 09-SEP-1998
16-OCT-1998
|
|
| 173 |
|
|
GUINESS CORPORATE ADVISORS PVT.LTD.
(PAN:AAHCS5232N)
|
|
|
DID NOT EXERCISE DUE DILIGENCE WITH RESPECT TO DISCLOSURES MADE IN PROSPECTUS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.VIOLATING CLAUSES 1,3,4, 6 AND 7 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DID NOT EXERCISE DUE DILIGENCE WITH RESPECT TO DISCLOSURES MADE IN PROSPECTUS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.VIOLATING REGULATION 64(1) OF SEBI ICDR REGULATIONS, 2009
|
IMPOSED PENALTY RS.5,00,000
04-DEC-2019
|
|
| 174 |
|
|
GUJARAT CAPITAL VENTURES LTD.
|
|
|
DID NOT SUBMIT EMPLOYEE DATABASE
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 02-SEP-1998
02-SEP-1998
|
|
| 175 |
|
|
GUJARAT FISCON LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 13-AUG-1998
17-AUG-1998
|
|
| 176 |
|
|
GUJARAT STATE INVESTMENTS LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1997
08-JAN-1998
|
|
| 177 |
|
|
GURJAR FINANCIAL SERVICES PVT.LTD.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 31-DEC-1997
08-JAN-1998
|
|
| 178 |
|
|
GURUNATH MUDLAPUR
|
|
|
|
ATHERSTONE CAPITAL MARKETS LTD.
PAN:AAGCA1449J
|
|
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF ONELIFE CAPITAL ADVISORS LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 16/01/2013 CONFIRMED ITS DIRECTIONS ISSUED IN PARAGRAPHS 14.3, 14.4, 14.5, 14.6, 14.8 AND 14.9 OF EX-PARTE ORDER DATED 28/12/2011 READ WITH ORDER DATED 15/02/2012
|
| 179 |
|
|
H.BALDEV & CO.
|
|
|
REGISTRATION EXPIRED
DID NOT APPLY FOR RENEWAL OF REGISTRATION
|
CANCELLED REGISTRATION AS MERCHANT BANKER FROM 15-DEC-1997
08-JAN-1998
|
|
| 180 |
|
|
HARYANA STATE INDUSTRIAL DEVELOPMENT CORP.LTD.
|
|
|
DID NOT ENSURE TIMELY DESPATCH OF SHARE CERTIFICATE TO AN NRI INVESTOR IN PUBLIC ISSUE OF NARAIN JEWELS INTERNATIONAL LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
01-DEC-2000
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 25
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