| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
20TH CENTURY FINANCE CORP.LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 28-JUL-2000
28-JUL-2000
|
|
| 2 |
|
|
3I INFOTECH LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF NEGATIVE NET-WORTH VIOLATING REGULATION 7 READ WITH 9A(1) (D) OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUN-2019
|
|
| 3 |
|
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
|
|
|
ALLEGED MAINTENANCE OF RECORDS AT PLACES OTHER THAN INTIMATED TO SEBI
ALLEGED FAILURE IN SUBMITTING ACCURATE INFORMATION REGARDING ITS CLIENTS, MAINTAIN AND SUBMIT STATEMENT OF CAPITAL ADEQUACY ETC TO SEBI
ALLEGED PROVIDING OF WRONG INFORMATION REGARDING “ASSOCIATES” TO SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
11-APR-2011
|
COMPANY VIDE DD NO.410937 DATED 17/02/2011 DRAWN ON HDFC BANK LTD. HAS PAID RS.8 LACS TOWARDS SETTLEMENT CHARGES
|
| 4 |
|
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
|
|
|
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT MARK FOLIOS FOR ENHANCED DUE DILIGENCE
DID NOT PROVIDE INFORMATION REGARDING LETTERS SENT TO ITS SHAREHOLDERS FOR WHOM SIGNATURE CARDS WERE NOT AVAILABLE
DID NOT HAVE AUTOMATIC “SYSTEM BASED ALERT” MECHANISM FOR ENHANCED DUE DILIGENCE TO GENERATE APPROPRIATE ALERTS
DID NOT REGISTER AGREEMENT BETWEEN REGISTRAR TO AN ISSUE & SHARE TRANSFER AGENT AND ITS CLIENT RTCL LTD.
PROCESSED TRANSMISSION REQUESTS WITHOUT OBTAINING REQUISITE DOCUMENTS AND DELAY IN PROCESSING OF TRANSMISSION REQUESTS
REJECTED REQUEST DEMATERIALIZATION OF SHARES
DID NOT PROCESS REQUEST FOR CHANGE OF ADDRESS
DID NOT PROCESS REQUEST FOR ISSUANCE OF DUPLICATE SHARES
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
|
IMPOSED PENALTY RS.7,00,000
24-JUN-2024
|
SAT: SAT VIDE ITS ORDER DATED 05/09/2024 STAYED OPERATION OF IMPUGNED ORDER AND GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 5 |
|
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
(Depository Participants : CDSL/NSDL,Member : BSE/NSE/OTC)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
DID NOT REDRESS INVESTOR COMPLAINTS
ALLOWED TERMINALS TO UNREGISTERED SUB-BROKERS
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
VIOLATED SEBI CODE OF CONDUCT
DID NOT MAKE PAYMENTS TO CLIENTS IN TIME
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
STOCK EXCHANGE ADVISED TO DEBIT MEMBER’S DEPOSIT
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-APR-2009
|
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LIMITED ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI’S WITHIN 30 DAYS
INTERIM ORDER DATED 17/08/2007 MODIFIED TO THE EXTENT THAT ABHIPRA CAPITAL LTD. ALLOWED TO OPEN NEW TRADING ACCOUNTS AS WELL AS DIRECTED TO SUBMIT DOCUMENTARY EVIDENCE FOR SETTLEMENT OF THE DUES OF JOHARI'S WITHIN 30 DAYS
COMPANY VIDE DD NO.501444 DATED 07/03/2009 AND 501397 DATED 06/03/2009 DRAWN ON ICICI BANK LTD. HAS PAID RS.10 LACS TOWARDS SETTLEMENT CHARGES AND RS.1 LAC TOWARDS ADMINISTRATIVE CHARGES RESPECTIVELY
INTERIM ORDER DATED 17/08/2007 MODIFIED AND ALLOWED TO OPEN NEW DP ACCOUNTS
INTERIM ORDER DATED 17/08/2007 MODIFIED AND ALLOWED TO ENTERING INTO NEW AGREEMENT AS RTA/STA
INTERIM ORDER DATED 29/10/2007 MODIFIED BY LIFTING 30 DAYS TIME STIPULATED THEREIN FOR SETTLING THE DUES OF JOHARI’S.SAME AS ABOVE 10 MATTER SETTLED THROUGH ARBITRATION AWARD AND BY CONSENT ORDER DATED 8.04.2009
|
| 6 |
|
|
ABHIPRA CAPITAL LTD.
(PAN:AABCA1702F)
|
|
|
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT POSSESS AND MAINTAIN SPECIMEN SIGNATURE CARDS
DID NOT MARK FOLIOS FOR ENHANCED DUE DILIGENCE
DID NOT MAINTAIN SYSTEM FOR SYSTEM-BASED ALERTS TO EXERCISE ENHANCED DUE DILIGENCE
DID NOT ISSUE LETTERS UNDER REGISTERED/SPEED POST SEEKING PAN AND BANK DETAILS TO ALL FOLIO HOLDERS FOR WHICH PAN AND BANK DETAILS WERE NOT AVAILABLE
DID NOT APPOINT COMPLIANCE OFFICER
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 28-AUG-2024 TO 27-SEP-2024
28-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 05/09/2024 STAYED OPERATION OF IMPUGNED ORDER AND GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 7 |
|
|
ABHIPRA CONSULTANTS
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 02-SEP-1999
02-SEP-1999
|
|
| 8 |
|
|
ABS CONSULTANT PVT.LTD.
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
01-FEB-2006
|
|
| 9 |
|
|
ACCURATE SECURITIES & REGISTRY PVT.LTD.
(PAN:AAECD8837D)
|
|
|
DID NOT MAINTAIN MINIMUM NETWORTH OF RS.50 LACS DURING ALL TIMES DURING PERIOD OF REGISTRATION WITH SEBI VIOLATING REGULATION 9A(D) OF SEBI (RTA AND STA) REGULATIONS, 1993
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
02-SEP-2020
|
|
| 10 |
|
|
ACCURATE SECURITIES & REGISTRY PVT.LTD.
(PAN:AAECD8837D)
|
|
|
DID NOT MAINTAIN QUARTERLY STATEMENT OF CAPITAL ADEQUACY
DID NOT DISPLAY BASIC INFORMATION REGARDING GRIEVANCE REDRESSAL MECHANISM
DID NOT MAINTAIN PHYSICAL INWARD REGISTER
DID NOT PROVIDE WITH SCANNED COPIES OF TRIPARTITE AGREEMENTS
PROVIDED WRONG INFORMATION AND DID NOT FURNISH REQUIRED INFORMATION
DID NOT HAVE VERIFIABLE RECORD OF FOLIOS AS ON DATE OF CIRCULAR WHICH DO NOT HAVE PAN/BANK ACCOUNT DETAILS VIOLATING SEBI CIRCULAR DATED 20/04/2018
|
IMPOSED PENALTY RS.4,00,000
15-MAR-2024
|
SEBI VIDE ITS NOTICE DATED 06/05/2024 DIRECTED TO PAY RS.4,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 06/05/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 01/05/2025 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 06/05/2024
SEBI VIDE ITS ORDER DATED 01/05/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7785 OF 2024 DATED 06/05/2024
|
| 11 |
|
|
ACCURATE SECURITIES & REGISTRY PVT.LTD.
(PAN:AAECD8837D)
|
|
|
PROCESSED TRANSFER OF SHARES DESPITE SIGNIFICANT MISMATCH BETWEEN SIGNATURE OF TRANSFEROR AND HIS SPECIMEN SIGNATURE
DID NOT HAVE ANY SYSTEM/POLICY FOR MAKER-CHECKER WHILE PROCESSING TRANSFER, DEMATERIALISATION, REMATERIALISATION AND TRANSMISSION REQUEST ETC. VIOLATING CLAUSES 8 AND 9 OF CODE OF CONDUCT AS SPECIFIED IN SCHEDULE III OF SEBI (REGISTRARS TO AN ISSUE AND SHARE TRANSFER AGENTS) REGULATIONS, 1993
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT EXECUTE TRIPARTITE AGREEMENT WITH ISSUER COMPANIES AND THEIR ERSTWHILE STAS VIOLATING REGULATION 7(4) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000
19-APR-2022
|
SEBI VIDE ITS NOTICE DATED 10/01/2023 DIRECTED TO PAY RS.5,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/01/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 14/03/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.6,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 01/04/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 10/01/2023
SEBI VIDE ITS ORDER DATED 01/04/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6205 OF 2023 DATED 10/01/2023
|
| 12 |
|
|
ADAM COMSOF LTD.
|
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
MAJOR SHAREHOLDER OF APPLICANT COMPANY RAJKUMAR C BASANTANI WHO WAS ITS CHAIRMAN DURING YEARS 1999 TO 2002 WAS DEBARRED FROM DEALING IN SECURITIES MARKET FOR A PERIOD OF 3 YEARS
|
REJECTED APPLICATION FOR RENEWAL OF REGISTRATION AS REGISTRAR
16-JUL-2004
|
|
| 13 |
|
|
ADROIT CORPORATE SERVICES PVT.LTD.
|
|
|
DID NOT MAINTAIN SPECIMEN SIGNATURES OF SHAREHOLDER HOLDING SHARES IN PHYSICAL FORM
PROCESSED REQUEST FOR DEMATERIALISATION OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE
PROCESSED TRANSFER OF SHARES WITHOUT HAVING SPECIMEN SIGNATURE RECORDS
ISSUED DUPLICATE SHARE CERTIFICATE WITHOUT HAVING SPECIMEN SIGNATURES
DID NOT ADHERE TO REQUIREMENT OF OBTAINING NISM CERTIFICATION BY STAFF MEMBERS
|
PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 21-OCT-2020 TO 20-JAN-2021
21-OCT-2020
|
|
| 14 |
|
|
AKSHAY ASHWIN PARIKH
|
|
|
|
NIPAR FINANCIAL SERVICES LTD.
|
|
DID NOT EXERCISE DUE DILIGENCE IN PUBLIC ISSUE OF GROWMORE SOLVENTS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUL-2004 TO 21-JUL-2006
22-JUL-2004
|
SAT: IMPUGNED ORDER UPHELD BUT ABSOLVED PENALTY IMPOSED ON NITIN HASMUKH PARIKH
|
| 15 |
|
|
ALANKIT ASSIGNMENTS LTD.
(PAN:AAACA9483E)
|
|
|
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT EXECUTE TRIPARTITE AGREEMENTS WITH SEVEN COMPANIES
DID NOT POSSESS AND MAINTAIN SPECIMEN SIGNATURE CARDS
DELAY IN PROCESSING OF REQUEST FOR ISSUANCE OF DUPLICATE SHARES
ISSUED DUPLICATE SHARE CERTIFICATE TO INVESTOR OTHER THAN ORIGINAL
SHAREHOLDER
DID NOT OBTAIN TRANSMISSION FORM WHILE PROCESSING TRANSMISSION REQUEST
UPLOADED WRONG SIGNATURE FOR FOLIO
DELAY IN PROCESSING OF DEMAT REQUESTS
PROCESSED CHANGE OF ADDRESS WITHOUT REQUEST
DID NOT CHANGE ADDRESS DESPITE REQUEST
DELAY IN PROCESSING THE TRANSFER OF RE-LODGMENT REQUEST
DID NOT HAVE PROPER DOCUMENTATION FOR PROCESSING OF RE-LODGEMENT REQUEST
DID NOT CONSIDER REJECTION POINTS RAISED BY LISTED COMPANY
DID NOT PROVIDE ORIGINAL TRANSFER DEED AND DID NOT PROVIDE SIGNATURE ON TRANSFEROR ON COPIES OF DEEDS
PROCESSED TRANSFER REQUESTS OF SHARES IN PHYSICAL FORM AFTER CUTOFF DATE 01/04/2019
DID NOT REPORT CHANGES IN APPOINTMENT AND RESIGNATION OF DIRECTORS AND KEY PERSONNEL
DID NOT FURNISH COPIES OF LETTERS SENT TO SHAREHOLDERS FOR COLLECTING PAN AND BANK DETAILS FOR FOLIOS
DID NOT HAVE ADEQUATE SYSTEM (I.E. SYSTEM-BASED ALERTS) IN PLACE TO IDENTIFY THE FOLIOS (AND ALERT THE RTA EMPLOYEE) REQUIRING ENHANCED DUE DILIGENCE WHILE PROCESSING ANY REQUEST
|
IMPOSED PENALTY RS.10,00,000
28-FEB-2025
|
SAT: SAT VIDE ITS ORDER DATED 12/06/2025 CONDONED THE DELAY OF 11 DAYS IN FILING OF APPEAL AND GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 16 |
|
|
ALANKIT ASSIGNMENTS LTD.
(PAN:AAACA9483E)
|
|
|
DELAY IN LODGING COMPLAINTS/REQUESTS IN RECORDS/SYSTEM DURING INSPECTION PERIOD
DID NOT SUBMIT CORRECT DATA
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS FROM 13-APR-2023 TO 12-OCT-2023
13-APR-2023
|
SAT: SAT VIDE ITS ORDER DATED 18/05/2023 PARTLY ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 13/04/2023
|
| 17 |
|
|
ALANKIT ASSIGNMENTS LTD.
(PAN:AAACA9483E)
|
|
|
DISCREPANCIES IN REGISTER OF MEMBERS (ROM) OF INDIAN ACRYLICS LTD. AND
STATE BANK OF INDIA
DID NOT MARK FOLIOS WITHOUT PAN AND WITHOUT BANK ACCOUNT DETAILS FOR ENHANCED DUE DILIGENCE DURING INSPECTION PERIOD
|
IMPOSED PENALTY RS.5,00,000
28-FEB-2025
|
SAT: SAT VIDE ITS ORDER DATED 12/06/2025 CONDONED THE DELAY OF 11 DAYS IN FILING OF APPEAL AND GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 18 |
|
|
ALANKIT ASSIGNMENTS LTD.
(PAN:AAACA9483E)
|
|
|
ALLEGED DELAY IN REDRESSAL OF COMPLAINTS
ALLEGED DEFAULT IN MAINTENANCE OF BOOK OF ACCOUNTS AND RECORDS
ALLEGED DELAY IN SUBMISSION OF NET WORTH CERTIFICATE
ALLEGED FAILURE IN COMPLYING WITH MODEL AGREEMENT
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE WHILE EXECUTING TRIPARTITE AGREEMENT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,75,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
31-AUG-2009
|
|
| 19 |
|
|
ALEMBIC CHEMICAL WORKS CO.LTD.
|
|
|
CEASED TO BE REGISTERED WITH SEBI AS REGISTRAR
|
CANCELLED REGISTRATION AS REGISTRAR FROM 26-APR-1999
26-APR-1999
|
|
| 20 |
|
|
ALOK AGARWAL
|
|
|
|
MCS LTD.
PAN:AAACM8027G
|
|
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
|
|
| 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 1 of 18
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