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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 28-AUG-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

BANKERS: ADVISED TO BE CAREFUL AND CAUTIOUS IN CONDUCT OF BUSINESS AS A BANKER TO AN ISSUE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person A.K.AHUJA  
Click here to view complete history of this specific entity/person PUNJAB NATIONAL BANK
  		FACILITATED COMPANY, PROMOTERS AND ASSOCIATES IN PROCESS OF ARRANGING MONEY FOR APPLICATIONS MADE IN RIGHTS ISSUE OF MAJESTIC INDUSTRIES LTD.

DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN RIGHTS ISSUE OF MAJESTIC INDUSTRIES LTD.   		DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 24-AUG-2009 TO 07-SEP-2009

03-AUG-2009 		 
2
History of entity/person AMERICAN EXPRESS BANK LTD.  
  REGISTRATION EXPIRED

DID NOT APPLY FOR RENEWAL OF REGISTRATION   		CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 15-NOV-1997

11-FEB-1998 		 
3
History of entity/person AXIS BANK LTD.

(PAN:AAACU2414K)  
  CIRCULATED FINANCIAL FIGURES PRIOR TO ITS OFFICIAL ANNOUNCEMENT/PUBLICATION VIOLATING REGULATIONS 3(1) AND 3(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 READ WITH SECTION 12A(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992   DIRECTED TO STRENGTHEN ITS PROCESSES/SYSTEMS/CONTROLS ENSURE INSTANCES OF LEAKAGE OF UNPUBLISHED PRICE SENSITIVE INFORMATION DO NOT RECUR IN FUTURE

DIRECTED TO CONDUCT INTERNAL INQUIRY INTO THE LEAKAGE OF UNPUBLISHED PRICE SENSITIVE INFORMATION RELATING TO ITS FINANCIAL RESULTS AND DIRECTED TO TAKE APPROPRIATE ACTION AGAINST RESPONSIBLE PERSONS

27-DEC-2017 		 
4
History of entity/person BANK OF BAHRAIN & KUWAIT B.S.C.  
  REGISTRATION EXPIRED

DID NOT APPLY FOR RENEWAL OF REGISTRATION   		CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 31-OCT-1997

11-FEB-1998 		 
5
History of entity/person BANK OF BARODA

(PAN:AAACB1534F)  
  COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF JALTARANG MOTELS LTD.

ALLOWED WITHDRAWAL OF FUNDS FROM PUBLIC ISSUE ACCOUNT BY ISSUER COMPANY WITHOUT ENSURING THAT EACH STOCK EXCHANGE MENTIONED IN PROSPECTUS HAD ACCORDED PERMISSION FOR LISTING   		DIRECTED TO REFUND MONEY COLLECTED IN PUBLIC ISSUE

27-JAN-2000 		SAT: APPEAL DISMISSED  
6
History of entity/person BANK OF MADURA LTD.  
  NEGLIGENCE IN RESPECT OF OPERATION IN ACCOUNT IN MATTER OF PUBLIC ISSUE OF NORTH STAR GEMS (INDIA) LTD.   DIRECTED TO ACT WITH DUE SKILL, CARE & DILIGENCE WHILE ACTING AS BANKER TO ISSUE

16-OCT-2002 		 
7
History of entity/person BANK OF PUNJAB LTD.  
  REGISTRATION EXPIRED

DID NOT APPLY FOR RENEWAL OF REGISTRATION   		CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 07-DEC-1998

03-JUN-1999 		 
8
History of entity/person BRITISH BANK OF MIDDLE EAST  
  REGISTRATION EXPIRED

DID NOT APPLY FOR RENEWAL OF REGISTRATION   		CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 14-MAR-1999

03-JUN-1999 		 
9
History of entity/person CANARA BANK  
Click here to view complete history of this specific entity/person DENIS RODRIQUES
  		ACCEPTED 200 APPLICATIONS ACCOMPANIED BY ANTE-DATED STOCKINVESTS OF VALUE OF RS. 17.50 LACS AFTER CLOSURE OF THE PUBLIC ISSUE OF RAJESH EXPORTS LTD.   SUSPENDED REGISTRATION AS BANKER TO ISSUE FROM 31-OCT-2002 TO 31-JAN-2003

10-OCT-2002 		 
10
History of entity/person CANARA BANK  
  COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF INCAP FINANCIAL SERVICES LTD.   DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 20-MAR-2000 TO 19-JUN-2000

03-APR-2000 		 
11
History of entity/person CANARA BANK  
  ACCEPTED SHARE APPLICATIONS AFTER CLOSURE OF PUBLIC ISSUE OF FINE AGROMATICS LTD.   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

18-DEC-2009 		 
12
History of entity/person CENTURION BANK LTD.  
  REGISTRATION EXPIRED

DID NOT APPLY FOR RENEWAL OF REGISTRATION   		CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 31-JAN-1998

02-APR-1998 		 
13
History of entity/person CITY UNION BANK LTD.  
  REGISTRATION EXPIRED

DID NOT APPLY FOR RENEWAL OF REGISTRATION   		CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 25-SEP-1998

03-JUN-1999 		 
14
History of entity/person CORPORATION BANK  
  COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF GOLD MULTIFAB LTD.

ACCEPTED APPLICATIONS AFTER CLOSURE OF PUBLIC ISSUE OF DHANLAXMI LEASE FINANCE LTD.

COMPANY DID NOT RECEIVE MINIMUM SUBSCRIPTION BEFORE CLOSURE OF THE ISSUE

FUNDS TRANSFERRED FROM PUBLIC ISSUE ACCOUNT OF COMPANY EVEN WHEN CHEQUES WERE ISSUED FROM CURRENT ACCOUNT OF COMPANY   		DEBARRED FROM CARRYING ACTIVITIES AS BANKERS TO ISSUES FROM 18-FEB-2000 TO 17-AUG-2000

18-FEB-2000 		 
15
History of entity/person CORPORATION BANK  
Click here to view complete history of this specific entity/person N.SUBRAMANIAM
  		COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF ADINATH EXPORTS LTD.   CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

12-FEB-2003 		 
16
History of entity/person COSMOS CO-OPERATIVE BANK LTD.,THE  
  BANKERS TO ISSUE CEASED TO BE REGISTERED WITH SEBI   CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 15-DEC-1999

15-DEC-1999 		 
17
History of entity/person CREDIT AGRICOLE INDOSUEZ  
  REGISTRATION EXPIRED   CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 30-NOV-1997

04-MAY-1998 		 
18
History of entity/person DENA BANK  
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITIES LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)

26-APR-2011 		 
19
History of entity/person DENIS RODRIQUES  
Click here to view complete history of this specific entity/person CANARA BANK
  		ACCEPTED 200 APPLICATIONS ACCOMPANIED BY ANTE-DATED STOCKINVESTS OF VALUE OF RS. 17.50 LACS AFTER CLOSURE OF THE PUBLIC ISSUE OF RAJESH EXPORTS LTD.   SUSPENDED REGISTRATION AS BANKER TO ISSUE FROM 31-OCT-2002 TO 31-JAN-2003

10-OCT-2002 		 
20
History of entity/person DEVELOPMENT CREDIT BANK LTD.  
  REGISTRATION EXPIRED

DID NOT APPLY FOR RENEWAL OF REGISTRATION   		CANCELLED REGISTRATION AS BANKER TO ISSUE FROM 15-NOV-1997

11-FEB-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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