| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ALPHA CORP DEVELOPMENT PVT.LTD.
(PAN:AAECA5259Q)
|
|
|
ALLEGED DELAY IN OBTAINING APPROVAL FROM STOCK EXCHANGES FOR TRANSFER OF NON-CONVERTIBLE DEBENTURES OF RS.29 CRORES TO EUTHORIA DEVELOPERS PVT.LTD.VIOLATING REGULATION 59 OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,12,625 VIDE CONSENT ORDER)
20-JAN-2021
|
|
| 2 |
|
|
ARTH UDYOG LTD.
(PAN:AAACA1256B)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,71,15,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO PROVIDE ANOTHER EXIT OFFER TO ITS PUBLIC SHAREHOLDERS AFTER SETTLEMENT ORDER AT SAME EXIT PRICE AS WAS OFFERED IN THE OFFER GIVEN BY IT IN 2019)
12-SEP-2022
|
|
| 3 |
|
|
ASHOKA MARKETING LTD.
(PAN:AACCA7616H)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,87,10,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO PROVIDE ANOTHER EXIT OFFER TO ITS PUBLIC SHAREHOLDERS AFTER SETTLEMENT ORDER AT SAME EXIT PRICE AS WAS OFFERED IN THE OFFER GIVEN BY IT IN 2019)
12-SEP-2022
|
|
| 4 |
|
|
ASHOKA VINIYOGA LTD.
(PAN:AACCA4784G)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,95,07,500 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-JUN-2024
07-SEP-2022
|
|
| 5 |
|
|
BF INVESTMENT LTD.
(PAN:AADCB7682H)
|
|
|
ALLEGED INCORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF ERSTWHILE LISTING AGREEMENT AND REGULATION 31(4) OF SEBI (LODR) REGULATIONS, 2015 AND SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,39,200 VIDE CONSENT ORDER)
21-OCT-2022
|
|
| 6 |
|
|
BF UTILITIES LTD.
(PAN:AABCB7711M)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF NAMES OF PROMOTER GROUP ENTITIES IN SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(4) READ WITH 31(1) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN MAKING DISCLOSURE OF NAMES OF PROMOTER GROUP ENTITIES IN SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF ERSTWHILE LISTING AGREEMENT
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,27,010 VIDE CONSENT ORDER)
24-JAN-2023
|
|
| 7 |
|
|
BHARAT FORGE LTD.
(PAN:AAACB8519L)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF NAMES OF PROMOTER GROUP ENTITIES IN SHAREHOLDING PATTERNS VIOLATING CLAUSE 35 OF ERSTWHILE LISTING AGREEMENT AND REGULATIONS 31(4) READ WITH 31(1) OF SEBI (LODR) REGULATIONS, 2015 AND SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,18,000 VIDE CONSENT ORDER)
24-NOV-2022
|
|
| 8 |
|
|
BHARAT NIDHI LTD.
(PAN:AAACB0195J)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,43,10,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO PROVIDE ANOTHER EXIT OFFER TO ITS PUBLIC SHAREHOLDERS AFTER SETTLEMENT ORDER AT SAME EXIT PRICE AS WAS OFFERED IN THE OFFER GIVEN BY IT IN 2019)
12-SEP-2022
|
|
| 9 |
|
|
BINNY LTD.
|
|
|
|
D.V.R.PRAKASH RAO
(PAN:AHWPP0117E)
|
|
ALLEGED FAILURE TO ACT INDEPENDENTLY IN THE INTERESTS OF THE SHAREHOLDER AND ONLY ACTED AS PER THE DIRECTIONS OF THE MANAGEMENT IN MATTER OF BINNY LTD.
|
REACHED SETTLEMENT (CONSENT ORDER)
13-FEB-2024
|
|
| 10 |
|
|
BINNY LTD.
|
|
|
|
S.JAGADEESAN
(PAN:AAAPJ7386G)
|
|
ALLEGED FAILURE TO ACT INDEPENDENTLY IN THE INTERESTS OF THE SHAREHOLDER AND ONLY ACTED AS PER THE DIRECTIONS OF THE MANAGEMENT IN MATTER OF BINNY LTD.
|
REACHED SETTLEMENT (CONSENT ORDER)
13-FEB-2024
|
|
| 11 |
|
|
BINNY LTD.
|
|
|
|
T.MANISRIRAM
(PAN:AANPS3888D)
|
|
ALLEGED FAILURE TO ACT INDEPENDENTLY IN THE INTERESTS OF THE SHAREHOLDER AND ONLY ACTED AS PER THE DIRECTIONS OF THE MANAGEMENT IN MATTER OF BINNY LTD.
|
REACHED SETTLEMENT (CONSENT ORDER)
13-FEB-2024
|
|
| 12 |
|
|
BINNY LTD.
|
|
|
|
T.RADHAKRISHNAN
(PAN:AAAPR3503M)
|
|
ALLEGED FAILURE TO ACT INDEPENDENTLY IN THE INTERESTS OF THE SHAREHOLDER AND ONLY ACTED AS PER THE DIRECTIONS OF THE MANAGEMENT IN MATTER OF BINNY LTD.
|
REACHED SETTLEMENT (CONSENT ORDER)
13-FEB-2024
|
|
| 13 |
|
|
BOMBAY BURMAH TRADING CORP.LTD.,THE
(PAN:AAACT4309C)
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AND CLARIFICATION TO STOCK EXCHANGES REGARDING SENTENCING OF ONE OF ITS PROMOTERS AND MANAGING DIRECTOR VIOLATING REGULATIONSS 4(1)(D), 4(1)(H) & 4(1)(J), 4(2)(D)(III), 5, 30(2) AND 30(4)(I)(B), OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 6 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 READ WITH PARA 6.1 OF ANNEXURE I OF SEBI CIRCULAR DATED 09/09/2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,67,500 VIDE CONSENT ORDER)
29-APR-2020
|
|
| 14 |
|
|
BOMBAY DYEING & MANUFACTURING CO.LTD.,THE
(PAN:AAACT2328K)
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AND CLARIFICATION TO STOCK EXCHANGES REGARDING SENTENCING OF ONE OF ITS PROMOTERS AND MANAGING DIRECTOR VIOLATING REGULATIONSS 4(1)(D), 4(1)(H) & 4(1)(J), 4(2)(D)(III), 5, 30(2) AND 30(4)(I)(B), OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 6 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 READ WITH PARA 6.1 OF ANNEXURE I OF SEBI CIRCULAR DATED 09/09/2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,67,500 VIDE CONSENT ORDER)
29-APR-2020
|
|
| 15 |
|
|
BOSCH LTD.
(PAN:AAACM9840P)
|
|
|
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS WITH BOSCH AUTOMOTIVE ELECTRONICS INDIAPVT.LTD. (BAEI) VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,60,000 VIDE CONSENT ORDER)
28-MAR-2024
|
|
| 16 |
|
|
BRITANNIA INDUSTRIES LTD.
(PAN:AABCB2066P)
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AND CLARIFICATION TO STOCK EXCHANGES REGARDING SENTENCING OF ONE OF ITS PROMOTERS AND MANAGING DIRECTOR VIOLATING REGULATIONSS 4(1)(D), 4(1)(H) & 4(1)(J), 4(2)(D)(III), 5, 30(2) AND 30(4)(I)(B), OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 6 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 READ WITH PARA 6.1 OF ANNEXURE I OF SEBI CIRCULAR DATED 09/09/2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,67,500 VIDE CONSENT ORDER)
28-APR-2020
|
|
| 17 |
|
|
BRITANNIA INDUSTRIES LTD.
(PAN:AABCB2066P)
|
|
|
ALLEGED TRANSMISSION OF SHARES WITHOUT PROPER DOCUMENTS VIOLATING CLAUSES 11, 12 A AND 47(B) OF LISTING AGREEMENT READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SHAREPRO SERVICES (I) PVT.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.46,21,875 VIDE CONSENT ORDER)
17-SEP-2020
|
|
| 18 |
|
|
COFFEE DAY ENTERPRISES LTD.
(PAN:AADCC3995L)
|
|
|
ALLEGED FAILURE TO PLACE REVIEW REPORT BEFORE BOARD OF DIRECTORS AT ITS MEETING VIOLATING REGULATION 33(2)(C) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED INDULGENCE IN SUBMISSION OF UNAUDITED FINANCIAL RESULTS WHICH WERE NOT SUBJECTED TO LIMITED REVIEW BY ITS STATUTORY AUDITORS VIOLATING REGULATIONS 33(3)(C)(I) AND 33(3)(H) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES ABOUT RESIGNATION OF AUDITIRS AND DIRECTOR’S RESIGNATION VIOLATING REGULATION 30(2) AND 30(6) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES IN RESPECT OF DEFAULT ON PAYMENT OF INTERESTS/REPAYMENT OF PRINCIPAL AMOUNTS ON LOANS VIOLATING REGULATION 30(2) READ WITH SUB-PARA 6 OF PARA A PF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 READ WITH PARA 3(C2) OF SEBI CIRCULAR NO.SEBI/HO/CFD/CMD1/CIR/P/2019/140 DATED 21/11/2019
ALLEGED FAILURE IN MAKING DISCLOSURE OF DETAILS OF SALE OF WAY2WEALTH AS STIPULATED IN SEBI CIRCULAR NO CIR/CFD/CMD/4/2015 DATED 09/09/2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.69,06,250 VIDE CONSENT ORDER)
09-SEP-2021
|
|
| 19 |
|
|
COFFEE DAY ENTERPRISES LTD.
(PAN:AADCC3995L)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 30(1) READ WITH 30(2) AND 30(9) READ WITH CLAUSE 6 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,52,400 VIDE CONSENT ORDER)
13-AUG-2024
|
|
| 20 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,43,10,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-SEP-2024
07-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 07/02/2023 CONDONED THE DELAY IN FILING OF APPEAL. APPEAL ALLOWED AND QUASHED IMPUGNED ORDERS. MATTER REMITTED TO AO TO PASS A FRESH ORDER IN THE LIGHT OF DECISION OF TRIBUNAL WITHIN THREE MONTHS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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