| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
KREO CAPITAL PVT.LTD.
(PAN:AAQCA7346A)
|
|
|
DID NOT REPORT LENDING ACTIVITY IN HALF YEARLY REPORTS SUBMITTED TO SEBI
DID NOT FURNISH CHANGE IN KEY MANAGERIAL PERSONNEL AND CONTINUE TO SHOW AN ADVISOR AS A KEY MANAGERIAL PERSONNEL TO SEBI VIOLATING REGULATION 9A(1)(F) OF SEBI (MERCHANT BANKER) REGULATIONS, 1992 READ WITH PARA 1.1 AND 1.2 OF CHAPTER 1 OF MASTER CIRCULAR DATED 26/09/2023
|
IMPOSED PENALTY RS.2,00,000
28-NOV-2025
|
|
| 42 |
|
|
KUNVARJI FINSTOCK PVT.LTD.
(PAN:AAACK8760E)
|
|
|
DID NOT ENSURE THAT CONTENTS OF LETTER OF OFFER WERE TRUE FAIR AND ADEQUATE IN ALL MATERIAL ASPECTS VIOLATING REGULATIONS 27(2) AND 27(5) OF SAST REGULATIONS, 2011 AND REGULATION 13 READ WITH CLAUSE 4 OF SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF MEDIAONE GLOBAL ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.3,00,000
07-NOV-2025
|
|
| 43 |
|
|
ONEVIEW CORPORATE ADVISORS PVT.LTD.
(PAN:AAHCS5232N)
|
|
|
DID NOT MAINTAIN STRUCTURED DIGITAL DATABASE (SDD) CONTAINING NATURE OF UPSI AND NAMES OF SUCH PERSONS OR ENTITIES WITH WHOM UPSI WAS SHARED VIOLATING REGULATIONS 3(5) AND 9 READ WITH SCHEDULE C OF SEBI (PIT) REGULATIONS, 2015
DID NOT UPLOAD DISCLOSURE FOR INVESTOR COMPLAINTS ON ITS WEBSITE
DELAY IN UPLOADING DISCLOSURE OF INVESTOR COMPLAINTS ON ITS WEBSITE
AUTHORISED PERSONS DID NOT HAVE NISM CERTIFICATION
|
IMPOSED PENALTY RS.5,00,000
07-OCT-2025
|
|
| 44 |
|
|
SAFFRON CAPITAL ADVISORS PVT.LTD.
|
|
|
DID NOT EXERCISE DUE DILIGENCE WHILE ENSURING VERACITY AND ADEQUACY OF DISCLOSURE MADE IN IPO PROSPECTUS IN RESPECT TO UTILIZATION OF BRIDGE LOAN OF RS.20 CRORES FROM UNION BANK OF INDIA VIOLATING 60(7)(A) AND 64(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF ACROPETAL TECHNOLOGIES LTD.
DID NOT EXERCISE DUE DILIGENCE WHILE ENSURING VERACITY AND ADEQUACY OF DISCLOSURE MADE IN IPO PROSPECTUS IN RESPECT TO UTILIZATION OF BRIDGE LOAN OF RS.20 CRORES FROM UNION BANK OF INDIA VIOLATING CLAUSES 1 TO 4, 6, 7 AND 20 OF CODE OF CONDUCT FOR MERCHANT BANKERS SPECIFIED IN UNDER SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF IPO OF ACROPETAL TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.5,00,000
18-DEC-2020
|
SAT: SAT VIDE ITS ORDER DATED 12/03/2021 CONDONED THE DELAY OF 15 DAYS IN FILING OF APPEAL AND ALLOWED THE APPLICATION. DIRECTED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. MATTER TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 03/05/2021
|
| 45 |
|
|
SARTHI CAPITAL ADVISORS PVT.LTD.
(PAN:AARCS6417P)
|
|
|
DID NOT MAKE DISCLOSURE OF DEVIATION IN UTILIZATION OF FUNDS BY VIVO COLLABORATION SOLUTIONS LTD.
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
|
IMPOSED PENALTY RS.15,00,000
22-MAR-2024
|
|
| 46 |
|
|
SB CAPITAL CONSULTANTS PVT.LTD.
|
|
|
DID NOT OBTAIN PRIOR APPROVAL FROM SEBI FOR CHANGE IN CONTROL IN TERMS OF PROVISIONS OF REGULATION 9A(1) (A) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992, CLAUSE 3 OF CODE OF CONDUCT AS SPECIFIED UNDER REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 AND SEBI CIRCULAR CIR/MIRSD/14/2011 DATED 02/08/2011
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2016
|
|
| 47 |
|
|
SBI CAPITAL MARKETS LTD.
(PAN:AAACS7914E)
|
|
|
DID NOT MAKE DISCLOSURE IN RHP REGARDING REJECTION OF PROPOSAL OF FOREST DIVERSION OF ITS IRON ORE MINE BY MINISTRY OF ENVIRONMENT AND FOREST (MOEF) VIOLATING REGULATION 57(1), 57(2) (A) (II) AND 64 (1) OF SEBI (ICDR REGULATIONS), 2009 AND REGULATION 13 OF THE MERCHANT BANKERS REGULATIONS, 1992 IN MATTER OF IPO OF ELECTROCSTEEL CASTINGS LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAR-2016
|
SAT: SAT VIDE ITS ORDER DATED 14/11/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.50 LACS FROM RS.1.0 CRORE TO BE PAID JOINTLY AND SEVERALLY BY THE APPELLANTS
|
| 48 |
|
|
SBI CAPITAL MARKETS LTD.
(PAN:AAACS7914E)
|
|
|
DELIBERATELY SUPPRESSED CRUCIAL MATERIAL FACTS CONCERINING ENTRY DIRECTIVES/INSTRUCTIONS/GUIDELINES FOR PARTICIPATION BY NON-RESIDENT INVESTORS IN AN INDIAN COMPANY VIOLATING CLAUSE 1 OF FORM C OF SCHEDULE VI OF REGULATIONS 8(2)(B), 57(1), 57(2)(A)(II) AND 64(1) OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INITIAL PUBLIC OFFER OF CREDIT ANALYSIS & RESEARCH LTD.
DELIBERATELY SUPPRESSED CRUCIAL MATERIAL FACTS CONCERINING ENTRY DIRECTIVES/INSTRUCTIONS/GUIDELINES FOR PARTICIPATION BY NON-RESIDENT INVESTORS IN AN INDIAN COMPANY VIOLATIING CLAUSES 1, 4, 6, 7 AND 20 OF CODE OF CONDUCT FOR MERCHANT BANKERS AS SPECIFIED IN SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF INITIAL PUBLIC OFFER OF CREDIT ANALYSIS & RESEARCH LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-NOV-2014
|
SAT: SAT VIDE ITS ORDER DATED 04/10/2016 MODIFIED ITS EARLIER ORDER DATED 30/09/2016 AS “PER MAJORITY: AS PER MAJORITY DECISION, THE APPEAL IS ALLOWED AND THE IMPUGNED ORDER IS SET ASIDE WITH NO ORDER AS TO COSTS. “PER MINORITY: AS PER MINORITY DECISION, THE APPEAL IS DISMISSED AND THE IMPUGNED ORDER IS UPHELD WITH NO OTDER AS TO COTS.”
|
| 49 |
|
|
SKI CAPITAL SERVICES LTD.
(PAN:AAACS4864K)
|
|
|
DID NOT INDEPENDENTLY EXERCISE DUE DILIGENCE OF ALL DISCLOSURES IN PRIVATE PLACEMENT MEMORANDUM (PPM), SATISFY ITSELF W.R.T. VERACITY AND ADEQUACY OF DISCLOSURES AND MADE INCORRECT SUBMISSION TO SEBI WITHOUT VERIFYING THE FACTS PERTAINING TO DISCIPLINARY HISTORY OF THE FUND MANAGER
|
IMPOSED PENALTY RS.3,00,000
28-NOV-2024
|
|
| 50 |
|
|
SMC CAPITALS LTD.
(PAN:AABCS3706R)
|
|
|
DID NOT ISSUE CORRIGENDUM FOR RECTIFYING ALL ERRORS IN OFFER DOCUMENT OF PUBLIC ISSUE OF NCDS OF KOSAMATTAM FINANCE LTD. VIOLATING CLAUSE 4 OF SCHEDULE III CODE OF CONDUCT READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DELAY IN SUBMISSION OF CORRIGENDUM TO THE OFFER DOCUMENT TO STOCK EXCHANGE IN PUBLIC ISSUE OF NCDS OF KOSAMATTAM FINANCE LTD. VIOLATING OF CLAUSE 4 OF SCHEDULE III CODE OF CONDUCT READ WITH REGULATION 13 OF OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2023
|
SAT: SAT VIDE ITS ORDER DATED 13/10/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 51 |
|
|
SWASTIKA INVESTMART LTD.
(PAN:AABCS6585J)
|
|
|
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
|
IMPOSED PENALTY RS.3,00,000
12-MAR-2024
|
|
| 52 |
|
|
SYSTEMATIX CORPORATE SERVICES LTD.
(PAN:AAGCS3420D)
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN MATTER OF IPO OF XYZ LTD. VIOLATING REGULATION 24(3) OF SEBI (ICDR) REGULATIONS, 2018
DID NOT EXERCISE DUE CARE AND DILIGENCE IN MATTER OF IPO OF XYZ LTD. VIOLATING REGULATION 13 READ WITH CLAUSE 4 OF SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
DELAY IN MAKING REQUISITE STATUS UPDATES IN SEBI INTERMEDIARY PORTAL VIOLATING REGULATION 9A(1)(F) OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 AND SEBI CIRCULAR DATED 02/05/2017
DID NOT MAINTAIN STRUCTURED DIGITAL DATABASE FOR MERCHANT BANKING RELATED ACTIVITIES DURING INVESTIGATION PERIOD VIOLATING REGULATION 3(5) OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.7,00,000
28-JUN-2024
|
|
| 53 |
|
|
TIPSONS CONSULTANCY SERVICES PVT.LTD.
(PAN:AADCT6508J)
|
|
|
ASSOCIATED WITH ISSUE OF U GRO CAPITAL LTD. PRIOR TO ITS APPOINTMENT AS MERCHANT BANKER
DELAY IN FILING OF DRAFT OFFER DOCUMENT WITH STOCK EXCHANGES
DID NOT CHECK WHETHER ANY FINES/PENALTIES WERE LEVIED BY STOCK EXCHANGES ON WATCHOUT INVESTORS WEBSITE
|
IMPOSED PENALTY RS.3,00,000
22-APR-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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