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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.

PERSONS: VIOLATED SEBI (CREDIT RATING AGENCIES) REGULATIONS, 1999

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person DEEPESH JOISHAR

(PAN:AEUPJ9436R)  
  DID NOT ANNOUNCE CLOSURE OF TRADING WINDOW DURING UPSI PERIOD WHEN CREDIT RATING WAS DOWNGRADED VIOLATING CLAUSE 4 OF SCHEDULE B OF SUB REGULATION (1) AND (2) OF REGULATION 9 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MERCATOR LTD.

DID NOT ANNOUNCE CLOSURE OF TRADING WINDOW DURING UPSI PERIOD WHEN CREDIT RATING WAS DOWNGRADED VIOLATING CLAUSES 7 AND 3 OF CODE OF CONDUCT AND REGULATIONS 13 AND 15(2) OF SEBI (CRA) REGULATIONS, 1999 IN MATTER OF MERCATOR LTD.   		IMPOSED PENALTY RS.2,00,000

31-OCT-2022 		SEBI VIDE ITS NOTICE DATED 23/12/2022 DIRECTED TO PAY RS.2,05,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 20/02/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6157 OF 2022 DATED 23/12/2022  
2
History of entity/person RAJESH MOKASHI

(PAN:AAGPM0568B)  
Click here to view complete history of this specific entity/person CARE RATINGS LTD.

CIN:67190MH1993PLC071691
PAN:AAACC4587F
  		INFLUENCED EMPLOYEE OF CARE TO ENSURE FAVOURABLE RATINGS TOWARDS CERTAIN ISSUERS   DIRECTED NOT TO BE ASSOCIATED WITH ANY SEBI REGISTERED INTERMEDIARY, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 20-APR-2023 TO 19-APR-2025

20-APR-2023 		SAT: SAT VIDE ITS ORDER DATED 03/07/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 17/08/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 21/09/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 08/11/2023 CONDONED THE DELAY IN FILING OF APPEAL AND REPLY IS TAKEN ON RECORD

SAT: SAT VIDE ITS ORDER DATED 27/06/2025 ALLOWED THE APPEAL WITH COSTS OF RS.5 LAC PAYABLE BY SEBI TO APPELLANT AND QUASHED IMPUGNED ORDER DATED 20/04/2023  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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