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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 : 16-DEC-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: DEFAULTED/IRREGULARITIES IN NCFM/NISM CERTIFICATES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person FAST TRACK FINSEC PVT.LTD.

(PAN:AABCF4818P)  
  DID NOT OBTAIN ANY DOCUMENTS/ OR CARRIED OUT NECESSARY DUE DILIGENCE TO VERIFY QUALIFICATIONS AND EXPERIENCE OF DIRECTORS IN MATTER OF IPO OF TREKKINGTOES.COM LTD.

COMMITTED IRREGULARITIES WITH RESPECT TO TAKEOVER THROUGH OPEN OFFER IN MATTER OF KD LEISURE LTD., AKM LACE & EMBROTEX LTD., SPACEAGE PRODUCTS LTD., SPECULAR MARKETING & FINANCE LTD. AND ORACLE CREDIT LTD.

DID NOT FILE DRAFT LETTER OF OFFER WITHIN FIVE DAYS FROM DATE OF DETAILED PUBLIC STATEMENT IN MATTER OF KD LEISURE LTD., SPACEAGE PRODUCTS LTD., SPECULAR MARKETING & FINANCE LTD.

DELAY IN MAKING PUBLIC ANNOUNCEMENT ON DATE OF AGREEING TO ACQUIRE SHARES OR VOTING RIGHTS IN MATTER OF AKM LACE & EMBROTEX LTD., ORACLE CREDIT LTD.

DID NOT TENDER SHARES IN OPEN OFFER DURING TENDER PERIOD AND THE REMAINING AMOUNT WAS WITHDRAWN AND PAID TO ACQUIRER, WHICH WAS LESS THAN 30 DAYS FROM THE CLOSURE OF TENDER PERIOD IN MATTER OF AKM LACE & EMBROTEX LTD., SPACEAGE PRODUCTS LTD., SPECULAR MARKETING & FINANCE LTD.

DID NOT MAKE DISCLOSURE OF SALIENT FEATURES OF SHARE PURCHASE AGREEMENT AND SHARE SUBSCRIPTION AGREEMENT IN THE LETTER OF OFFER

- DID NOT MAKE DISCLOSURE OF NET WORTH, FINANCIALS OF PERSONS ACTING IN CONCERT, THEIR DIRECTORSHIPS IN COMPANIES AND CONTINGENT LIABILITIES

DISCREPANCIES IN PERIODIC REPORTS

DID NOT MAKE DISCLOSURE OF TRACK RECORD ON ITS WEBSITE

DELAY IN DISPLAYING OF TRACK RECORD ON ITS WEBSITE

COMMITTED IRREGULARITIES WITH RESPECT TO INTERNAL CODE OF CONDUCT

DID NOT HAVE MINUTES OF BOARD MEETING MAINTAIN FOR APPROVAL OF CODE OF CONDUCT AND ETHICS

COMMITTED IRREGULARITIES W.R.T. MERCHANT BANKER CERTIFICATION   		IMPOSED PENALTY RS.6,00,000

10-DEC-2025 		 
2
History of entity/person 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 		 
3
History of entity/person 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 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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