| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
COMFORT SECURITIES LTD.
(PAN:AABCC9625R)
|
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF RS.33.83 CRORES IN IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
DID NOT EXERCISE DUE DILIGENCE, SKILL AND CARE AS INDEPENDENT PROFESSIONAL JUDGEMENT WHILE ACTING AS BOOK RUNNING LEAD MANAGER VIOLATING REGULATIONS 64(1), 8(2) (B), (E) AND (F) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 19-OCT-2022 TO 18-OCT-2023
19-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 02/01/2023 ALLOWED RESPONDENT FURTHER ONE WEEK TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TEN DAYS THEREAFTER
|
| 22 |
|
|
CONSOLIDATED CAPITAL FINANCIALS LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 10-JUN-1998
18-JUN-1998
|
|
| 23 |
|
|
COSTPLUS CREDIT CAPITAL LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-SEP-1998 TILL THE REMAINING PERIOD OF REGISTRATION
17-SEP-1998
|
|
| 24 |
|
|
DANI & MERCHANT'S FIN.PROD.& SERV.(I) LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 09-SEP-1998
16-OCT-1998
|
|
| 25 |
|
|
DOOGAR & ASSOCIATES LTD.
|
|
|
DID NOT EXERCISE DUE DILIGENCE IN PUBLIC ISSUE OF MANU FINLEASE LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 15-JAN-2001 TO 14-MAR-2001
08-FEB-2001
|
|
| 26 |
|
|
DOOGAR & ASSOCIATES LTD.
|
|
|
DID NOT ISSUE ADVERTISEMENT FOR PUBLIC ANNOUNCEMENT FOR ACQUISITION OF SHARES OF KAYCEE INDUSTRIES LTD.
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 17-OCT-2003 TO 16-NOV-2003
05-NOV-2003
|
|
| 27 |
|
|
EIDER FINANCIAL SERVICES LTD.
(CIN:U74140HP1989PLC009243)
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-SEP-1998 TILL THE REMAINING PERIOD OF REGISTRATION
17-SEP-1998
|
|
| 28 |
|
|
FICOM PROJECT TECHNOLOGIST PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 05-JUN-1998
15-JUN-1998
|
|
| 29 |
|
|
FIRST OVERSEAS CAPITAL LTD.
(PAN:AAACL4737A)
|
|
|
ENGAGED IN BUSINESS OTHER THAN SECURITIES
DID NOT POSSESS ADEQUATE FINANCIAL RESOURCES ON ACCOUNT OF LOWER NET WORTH TO ACQUIRE SECURITIES IN RESPECT OF UNDERWRITING OBLIGATIONS
DEFAULTED IN SUBMISSION OF QUARTERLY REPORTS TO SEBI
DELAY IN FILING OF HALF YEARLY REPORTS
DID NOT MAKE DISCLOSURE OF TYPE OF ISSUE (IPO/ FPO), SUBSCRIPTION LEVEL, DETAILS OF QIB HOLDING, FINANCIALS OF ISSUER, TRADING STATUS IN SCRIP OF ISSUER, CHANGE IN DIRECTORS, STATUS OF UTILIZATION OF ISSUE PROCEEDS, PRICE-RELATED DATA, BASIS FOR ISSUE PRICE, ETC ON ITS WEBSITE
KEY MANAGEMENT PERSONNEL DID NOT OBTAIN SERIES III-A AND NISM IX CERTIFICATIONS
|
DEBARRED FROM TAKING ANY NEW MANDATE IN RELATION TO BUSINESS OF ISSUE MANAGEMENT EITHER BY MAKING ARRANGEMENTS REGARDING SELLING, BUYING OR SUBSCRIBING TO SECURITIES OR ACTING AS MANAGER, CONSULTANT, ADVISER OR RENDERING CORPORATE ADVISORY SERVICE IN RELATION TO SUCH ISSUE MANAGEMENT FROM 03-OCT-2025 TO 02-DEC-2025
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 03-OCT-2025 TO 02-DEC-2025
23-OCT-2024
|
SAT: SAT VIDE ITS ORDER DATED 11/12/2024 PARTLY ALLOWED THE APPEAL AND STAYED THE DIRECTION IN PARA NO.96 TO DEBAR FROM TAKING NEW MANDATE SUBJECT TO APPELLANT BRINGING IN RS.3 CRORE WITHIN FIFTEEN DAYS FROM DATE OF THIS ORDER AND ENSURE MAINTAIN NET-WORTH CAPITAL ADEQUACY OF RS.5 CRORE. DIRECTED TO FILE REPLY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 03/10/2025 SUSPENDED THE CERTIFICATE OF REGISTRATION FOR TWO MONTH FROM DATE OF THIS ORDER
|
| 30 |
|
|
FISCAL LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 10-AUG-1998
14-AUG-1998
|
|
| 31 |
|
|
GATEWAY CAPITAL MANAGEMENT PVT.LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 19-JUN-1998
26-JUN-1998
|
|
| 32 |
|
|
GAZI SECURITIES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 13-AUG-1998
17-AUG-1998
|
|
| 33 |
|
|
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
|
|
| 34 |
|
|
GUJARAT FISCON LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 13-AUG-1998
17-AUG-1998
|
|
| 35 |
|
|
IMPERIAL CORPORATE FINANCE & SERVICES PVT.LTD.
|
|
|
|
R.KANNAN
|
|
|
V.K.NAIK
|
|
DID NOT EXERCISE DUE CARE & DILIGENCE IN RIGHTS ISSUE OF GAMMON INDIA LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-MAY-2003 TO 22-MAY-2003
10-APR-2003
|
SAT: IMPUGNED ORDER AND ORDER PASSED BY ENQUIRY OFFICER SET ASIDE, NO ORDER AS TO COSTS
|
| 36 |
|
|
INDO PACIFIC SECURITIES LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 12-AUG-1998
17-AUG-1998
|
|
| 37 |
|
|
INDO-CASTLE FINANCE LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 09-SEP-1998
16-OCT-1998
|
|
| 38 |
|
|
INTERACT LEASING & FINANCE LTD.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 08-OCT-1998
08-OCT-1998
|
|
| 39 |
|
|
J.J.CHAUDHARI & CO.
|
|
|
DID NOT PAY FEES TO SEBI
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 04-MAY-1998
08-MAY-1998
|
|
| 40 |
|
|
KEYNOTE CORPORATE SERVICES LTD.
(PAN:AAACK3234D)
|
|
|
COMMITTED IRREGULARITIES IN PUBLIC ISSUE OF MAHA CHEMICALS LTD.
|
SUSPENDED REGISTRATION AS MERCHANT BANKER FROM 16-OCT-2003 TO 15-DEC-2003
26-SEP-2003
|
SAT: ORDER MODIFIED WITH NO ORDER AS TO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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