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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: VIOLATED BYE-LAWS/REGULATIONS/RULES OF NSE CLEARING LTD.

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

(PAN:AAACL4737A)  
  DID NOT MAINTAIN MINIMUM NETWORTH

ENGAGED IN BUSINESS OTHER THAN SECURITIES

UNDERTOOK UNDERWRITING OBLIGATIONS EXCEEDING TWENTY TIMES OF ITS NET WORTH

ACCEPTED PUBLIC DEPOSITS TO FULFIL UNDERWRITING OBLIGATIONS

DID NOT INTIMATE SEBI REGARDING ACQUISITION OF SECURITIES OF ISSUER COMPANIES MANAGED BY MERCHANT BANKER

DELAY IN FILING OF HALF YEARLY REPORTS

MADE INCOMPLETE DISCLOSURE OF TRACK RECORD OF PUBLIC ISSUES ON ITS WEBSITE

DID NOT UPDATE TRACK RECORD ON THE WEBSITE AND IN TURN FALSELY SUBMITTED TO SEBI ABOUT SUBMISSION OF THE SAME

PROVIDED MISLEADING INFORMATION TO STOCK EXCHANGES

KEY MANAGEMENT PERSONNEL DID NOT OBTAIN SERIES III-A AND NISM IX CERTIFICATIONS   		RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 23-OCT-2025 TO 22-OCT-2027

DEBARRED FROM TAKING ANY NEW MANDATE IN RELATION TO BUSINESS OF ISSUE MANAGEMENT EITHER BY MAKING ARRANGEMENTS REGARDING SELLING, BUYING OR SUBSCRIBING TO SECURITIES OR ACTING AS MANAGER, CONSULTANT, ADVISER OR RENDERING CORPORATE ADVISORY SERVICE IN RELATION TO SUCH ISSUE MANAGEMENT FROM 23-OCT-2025 TO 22-OCT-2027

IMPOSED PENALTY RS.20,00,000

23-OCT-2025 		 
2
History of entity/person GRETEX CORPORATE SERVICES LTD.

(CIN:L74999MH208PLC288128
PAN:AACCD9875F)  
  DID NOT EXERCISE ADEQUATE DUE DILIGENCE IN RESPECT OF THE SME PUBLIC ISSUE OF JAYANT INFRATECH LTD., PARTICULARLY CONCERNING OBJECT OF “PAYMENT OF SECURITY DEPOSIT FOR RENTING OF OFFICE SPACE” AND DISCREPANCIES IN THE STATEMENT OF FINANCIAL INDEBTEDNESS VIOLATING REGULATION 13 READ WITH CLAUSES 1,3, 4,7 AND 20 OF SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992

DID NOT MAINTAIN MINIMUM NETWORTH   		PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR CONTRACT OR LAUNCH A NEW SCHEME FROM 30-OCT-2025 TO 19-NOV-2025

30-OCT-2025 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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