| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
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)^CO^08-APR-2009
D FROM UNDERTAKING FRESH BUSINESS AS REGISTRAR FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
DIRECTED NOT TO OPEN FRESH DEMAT ACCOUNTS FROM 17-AUG-2007 PENDING COMPLETION OF ENQUIRY PROCEEDINGS
17-AUG-2007~
|
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
|
| 2 |
|
|
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
|
| 3 |
|
|
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
|
|
| 4 |
|
|
ARCHANA SOFTWARE LTD.
(PAN:AAACS9087L)
|
|
|
ALLEGED DELAY IN DEMATERIALIZATION OF SECURITIES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
06-MAY-2009
|
|
| 5 |
|
|
BIGSHARE SERVICES PVT.LTD.
|
|
|
ALLEGED VIOLATION OF REGULATION 14(3)(C) OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993 READ WITH SEBI CIRCULAR ISSUED VIZ.RRTI CIRCULAR NO.1(94-95) DATED 11/10/1994
ALLEGED VIOLATION OF CLAUSES 2 AND 3 OF CODE OF CONDUCT AS PER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
ALLEGED VIOLATION OF RTI CIRCULAR NO.1 (2000-2001) DATED 09/05/2001 AND CLAUSES 3 AND 4 OF CODE OF CONDUCT AS UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
ALLEGED VIOLATION OF CLAUSE 3 OF CIRCULAR NO.CIR/MIRSD/7/2012 DATED 05/07/2012 AND CLAUSE 2 OF CODE OF CONDUCT AS UNDER REGULATION 13 OF SEBI (REGISTRAR & SHARE TRANSFER AGENT) REGULATIONS, 1993
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.68,25,000 VIDE CONSENT ORDER)
04-MAR-2022
|
|
| 6 |
|
|
BIGSHARE SERVICES PVT.LTD.
|
|
|
ALLEGED INDULGENCE IN IRREGULARITIES AND LACK OF DUE DILIGENCE AND PROPER CARE IN PROCESSING OF APPLICATIONS RECEIVED IN PUBLIC ISSUE OF NISSAN COPPER LTD. AND OTHER ISSUES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
07-SEP-2009
|
|
| 7 |
|
|
KFIN TECHNOLOGIES LTD.
(PAN:AAGCK6303B)
|
|
|
ALLEGED DISCREPANCIES OBSERVED IN ITS INWARD SYSTEM
ALLEGED DELAY IN PROCESSING OF TRANSFER AND TRANSMISSION REQUESTS
ALLEGED DELAY IN ISSUANCE OF DUPLICATE SHARE CERTIFICATE
ALLEGED DISCREPANCIES IN ISSUANCE OF DUPLICATE SHARE CERTIFICATE
ALLEGED FAILURE IN ISSUANCE OF LETTERS TO COLLECT BANK DETAILS OF SHAREHOLDERS
ALLEGED MISREPRESENTATION OF FACTS TO SEBI REGARDING AVAILABILITY OF SPECIMEN SIGNATURE OF SHAREHOLDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.91,20,000 VIDE CONSENT ORDER)
04-NOV-2022
|
|
| 8 |
|
|
LINK INTIME INDIA PVT.LTD.
(PAN:AAACI4998N)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE FURNISHING INFORMATION TO SEBI
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,50,000 VIDE CONSENT ORDER)
01-APR-2025
|
|
| 9 |
|
|
MONDKAR COMPUTERS PVT.LTD.
|
|
|
ALLEGED FAILURE IN OBTAINING PRIOR APPROVAL FOR CHANGE IN SHAREHOLDING RESULTING IN CHANGE IN CONTROL AS REQUIRED UNDER REGULATION 9A(1) (A) OF SEBI (REGISTRAR TO AN ISSUE & SHARE TRANSFER AGENTS) REGULATIONS, 1993 IN MATTER OF TRANSFER OF 50340 SHARES (59.98%) FROM MR.MILIND MONDKAR AND MS.SHUBHA MONDKAR TO IT PEOPLE PVT.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
18-MAY-2011
|
|
| 10 |
|
|
SHAREX DYNAMIC (INDIA) PVT.LTD.
|
|
|
ALLEGED ALLOWING ITS CLIENT CHITRAKUT COMPUTERS PVT.LTD.TO TRANSFER THE SHARES IN OFF-MARKET, WHO WAS DEBARRED BY SEBI IN MATTER OF BAFFIN ENGINEERING PROJECTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
07-DEC-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
