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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
UPDATED TILL : 28-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.

MERCHANT BANKERS: PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN BUY-BACK OF SECURITIES UNDER SEBI (BUY-BACK OF SECURITIES) REGULATIONS 1998, OPEN OFFERS UNDER SEBI (SAST) REGULATIONS, 2011 AND DELISTING OF SECURITIES UNDER SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person D & A FINANCIAL SERVICES PVT.LTD.  
Click here to view complete history of this specific entity/person DINESH R.KAUSHIK
  		DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS

DID NOT EXERCISE DUE DILIGENCE IN IPO OF BROOKS LABORATORIES LTD.   		PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 01-JUL-2014 TO 30-JUN-2019

PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN BUY-BACK OF SECURITIES UNDER SEBI (BUY-BACK OF SECURITIES) REGULATIONS 1998, OPEN OFFERS UNDER SEBI (SAST) REGULATIONS, 2011 AND DELISTING OF SECURITIES UNDER SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 FROM 01-JUL-2014 TO 30-JUN-2019

28-DEC-2011 		SEBI VIDE ITS ORDER DATED 05/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011

SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO SEBI TO COMPLETE THE INVESTIGATION QUA THE APPELLANTS BY NOVEMBER 30, 2012. NO COSTS

SAT: SAT VIDE ITS ORDER DATED 07/02/2013 SET ASIDED THE DIRECTIONS ISSUED BY SEBI VIDE ITS LETTER DATED 27/12/2012 BY PERMITTING D & A FINANCIAL SERVICES PVT.LTD. TO CONTINUE ITS BUSINESS AND FURTHER DIRECTED SEBI TO COMPLETE ITS PROCEEDINGS AS EXPEDITIOUSLY AS POSSIBLE.NO COSTS

SEBI VIDE ITS ORDER DATED 10/06/2014 PROHIBITED D&A FINANANCIAL SERVICES PVT.LTD. FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FOR A PERIOD OF FIVE YEARS AND FURTHER PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN BUY-BACK OF SECURITIES UNDER SEBI (BUY-BACK OF SECURITIES) REGULATIONS 1998, OPEN OFFERS UNDER SEBI (SAST) REGULATIONS, 2011 AND DELISTING OF SECURITIES UNDER SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009

SAT: SAT VIDE ITS ORDER DATED 25/06/2014 LISTED THE APPEAL FOR HEARING AT THE STAGE OF ADMISSION ON 11/08/2014.TILL THEN OPERATION OF THE IMPUGNED ORDER SHALL REMAIN STAYED

SAT: SAT VIDE ITS ORDER DATED 11/08/2014 PLACED THE APPEAL FOR HEARING AT THE STAGE OF ADMISSION ON 25/09/2014. AD INTERIM RELIEF GRANTED ON 25/06/2014 WILL CONTINUE TILL THEN

SAT: SAT VIDE ITS ORDER DATED 25/09/2014 DIRECTED TO CONTINUE RELIEF GRANTED ON 25/06/2014 TILL 03/12/2014

SAT: SAT VIDE ITS ORDER DATED 03/03/2015 SET ASIDED SCN DATED 23/08/2013 AND CONSEQUENT PROCEEDINGS INCLUDING IMPUGNED ORDER DATED 10/06/2014 WITH LIBERTY TO SEBI TO ISSUE FRESH SCN AND PASS APPROPRIATE ORDERS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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