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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
PERIOD COVERED : 30-NOV-2007 TO 07-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.

COMPANIES: VIOLATED COMPANIES ACT, 2013

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CAPITAL SMALL FINANCE BANK LTD.

(PAN:AABCC3632Q)  
  ALLEGED INDULGENCE IN ALLOTMENT OF EQUITY SHARES TO 402 PERSONS VIOLATING SECTION 67(3) OF COMPANIES ACT, 1956 READ WITH CORRESPONDING PROVISIONS OF COMPANIES ACT, 2013

ALLEGED INDULGENCE IN ALLOTMENT OF EQUITY SHARES TO 402 PERSONS VIOLATING SEBI (DISCLOSURE AND INVESTOR PROTECTION) GUIDELINES, 2000   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,80,000 VIDE CONSENT ORDER)

10-JUN-2022 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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