| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
DIGITAL CONTENT PVT.LTD.
(PAN:AADCN6172E)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(3) AND 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN COMPLIANCE OF CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 31(1) AND 103(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.31,60,374 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-AUG-2018
|
|
| 22 |
|
|
DISH TV INDIA LTD.
(PAN:AAACA5478M)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(1)(C) TO 4(1)(E), 4(1)(G) TO 4(1)(I), 5, 30(6) READ WITH PARA D OF PART A OF SCHEDULE III AS WELL AS 30(7), 30(12) AND 44(3) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.45,54,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-OCT-2022
|
|
| 23 |
|
|
DISH TV INDIA LTD.
(PAN:AAACA5478M)
|
|
|
|
RANJIT SINGH
(PAN:ASXPS7712E)
|
|
ALLEGED AIDING, ABETTING AND ASSISTING COMPANY AND ITS MANAGEMENT IN MISCHIEF PLAYED UPON THE SHAREHOLDERS VIOLATING REGULATION 6(2)(A) OF SEBI (LODR) REGULATIONS AS WELL AS CLAUSES 5.1, 5.2 AND 5.11 OF CODE OF CONDUCT READ WITH REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DISH TV INDIA LTD.
|
REACHED SETTLEMENT ( ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-OCT-2022
|
|
| 24 |
|
|
DISH TV INDIA LTD.
(PAN:AAACA5478M)
|
|
|
|
ANIL KUMAR DUA
(PAN:ADWPD7220N)
|
|
|
ASHOK MATHAI KURIEN
(PAN:AADPK4942J)
|
|
|
JAWAHAR LAL GOEL
(PAN:AAHPL1244J)
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE TO STOCK EXCHANGES OF FIRST ADVISORY VIOLATING REGULATIONS 4(2)(F)(II)(6), 4(2)(F)(II)(8), 4(2)(F)(III)(2), 4(2)(F)(III)(3), 4(2)(F)(III)(6) READ WITH REGULATION 17(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DISH TV INDIA LTD.
ALLEGED DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES OF FIRST ADVISORY VIOLATING REGULATIONS 4(2)(F)(II)(6), 4(2)(F)(II)(8), 4(2)(F)(III)(2), 4(2)(F)(III)(3), 4(2)(F)(III)(6) READ WITH REGULATION 17(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DISH TV INDIA LTD.
ALLEGED FAILURE IN MAKING NECESSARY DISCLOSURE AS REQUIRED UNDER LAW AND DID NOT COMPLIES WITH CLAUSES 4.1, 4.4, 5.1, 5.2 AND 5.11 OF CODE OF CONDUCT READ WITH REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DISH TV INDIA LTD.
|
REACHED SETTLEMENT ( ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-OCT-2022
|
|
| 25 |
|
|
ELCID INVESTMENTS LTD.
(PAN:AAACE1611Q)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING REGULATION 2(1)(PP) OF SEBI (ICDR) REGULATIONS, 2018 READ WITH REGULATION 2(1)(ZB) OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING CLAUSE 2 OF LISTING AGREEMENT DATED 28/12/2015 SIGNED BETWEEN EIL AND BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,11,775 VIDE CONSENT ORDER)
01-SEP-2021
|
|
| 26 |
|
|
ELCID INVESTMENTS LTD.
(PAN:AAACE1611Q)
|
|
|
ALLEGED FAILURE TO MAINTAIN STRUCTURED DIGITAL DATABASE DURING INVESTIGATION PERIOD VIOLATING REGULATIONS 3(5) READ WITH 3(6) OF SEBI (PIT) REGULATIONS, 2015
ALLEGED FAILURE TO DISCLOSE MR.JATIN SARAIYA’S (ONE AMONG THE PROMOTER AND PROMOTER GROUP OF APPLICANT) JOINT SHAREHOLDING OF 50 SHARES WITH HIS SPOUSE AS PART OF PROMOTER AND PROMOTER GROUP, FOR QUARTERS ENDING DECEMBER 2021 TO JUNE 2022 VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR DATED 30/11/2015
ALLEGED FAILURE TO DISCLOSE MR.JATIN SARAIYA’S (ONE AMONG THE PROMOTER AND PROMOTER GROUP OF APPLICANT) JOINT SHAREHOLDING OF 50 SHARES WITH HIS SPOUSE AS PART OF PROMOTER AND PROMOTER GROUP, FOR QUARTERS ENDING DECEMBER 2021 TO JUNE 2022 VIOLATING REGULATION 2(1)(PP) OF SEBI (ICDR) REGULATIONS, 2018
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.17,31,510 VIDE CONSENT ORDER)
24-JUN-2024
|
|
| 27 |
|
|
GENUS PRIME INFRA LTD.
(PAN:AABCG3955E)
|
|
|
ALLEGED VIOLATION OF REGULATION 38 OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
ALLEGED VIOLATION OF RULE 19A OF SCRA RULES, 1956
ALLEGED FAILURE IN MAINTAINING MINIMUM PUBLIC SHAREHOLDING VIOLATING REGULATION 7(4) OF SAST REGULATIONS, 2011
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,92,000 VIDE CONSENT ORDER)
23-JAN-2020
|
|
| 28 |
|
|
HERO FINCORP LTD.
(PAN:AAACH0157J)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF CLAUSE 29A(A) AND (C) OF DEBT LISTING AGREEMENT DATED 24/11/2012 READ WITH SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,90,000 VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 29 |
|
|
HEXA TRADEX LTD.
(PAN:AACCH5334B)
|
|
|
ALLEGED FAILURE IN DISCLOSING APPLICANT 4 AS PART OF PROMOTER GROUP VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
ALLEGED FILING OF INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN BY INCLUDING APPLICANT 4 AS PUBLIC SHAREHOLDER VIOLATING CLAUSE 35 OF READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,48,550 VIDE CONSENT ORDER)
01-DEC-2023
|
|
| 30 |
|
|
HINDUSTAN FOODS LTD.
(PAN:AAACH4581J)
|
|
|
ALLEGED FAILURE IN COMPLIANCE WITH THE REQUIREMENTS OF INDEPENDENT DIRECTORS VIOLATING REGULATION 17(1)(B) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FILING OF INCORRECT CORPORATE GOVERNANCE REPORTS TO STOCK EXCHANGES VIOLATING REGULATION 27(2) READ WITH 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.24,32,000 VIDE CONSENT ORDER)
10-OCT-2023
|
|
| 31 |
|
|
HUBTOWN LTD.
(PAN:AAACA6101D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES OF ACQUISITION OF 51% STAKE IN E-COMMERCE VIOLATING REGULATIONS 30(2) AND 30(6) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN MAKING ADEQUATE, ACCURATE AND EXPLICIT DISCLOSURE TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D) AND 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.16,91,415 VIDE CONSENT ORDER)
25-MAY-2022
|
|
| 32 |
|
|
ICICI BANK LTD.
(PAN:AAACI1195H)
|
|
|
ALLEGED FAILURE IN PROVIDING APPROPRIATE PROTECTION AGAINST VICTIMIZATION OF THE COMPLAINANT MR.SAMIR KUMAR DAS WHO WAS THE WHISTLE-BLOWER VIOLATING REGULATION 22(2) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,40,625 VIDE CONSENT ORDER)
29-JAN-2021
|
|
| 33 |
|
|
INFOSYS LTD.
(PAN:AAACI4798L)
|
|
|
ALLEGED VIOLATION OF CLAUSE 49(IV) (B)(1) OF LISTING AGREEMENT READ WITH REGULATION 19(4) READ WITH SCHEDULE II PAR (D)(A) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
ALLEGED VIOLATION OF CLAUSE 49(VII)(D) OF LISTING AGREEMENT READ WITH REGULATION 23(2) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
ALLEGED VIOLATION OF CLAUSE 36 OF LISTING AGREEMENT READ WITH CALUSES 49(I)(A)(2), 49(I)(C)(1) AND 49(I)(D)(1)(B) OF LISTING AGREEMENT READ WITH REGULATIONS 4(2)(B), 4(2)(E) AND 4(2)(F)(2) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
ALLEGED VIOLATION OF REGULATION 30(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 READ WITH REGULATIONS 30(4)(I)(B), 4(1)(D),(E),(H)(I) AND 4(2)(B) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
ALLEGED VIOLATION OF REGULATION 30(3) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 READ WITH REGULATION 30(4)(I)(B), CLAUSE 8 UNDER PARA B OF PART A OF SCHEDULE III, REGULATIONS 4(1)(D), (E), (H), (I) AND 4(2)(B) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.34,35,000 VIDE CONSENT ORDER)
15-FEB-2019
|
|
| 34 |
|
|
INTERGLOBE AVIATION LTD.
(PAN:AABCI2726B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF MATERIAL INFORMATION WHICH WAS LIKELY TO HAVE SIGNIFICANT MARKET REACTION VIOLATING REGULATIONS 30(4)(I)(B) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN SHARING CRITICAL INFORMATION TO SHAREHOLDERS VIOLATING REGULATIONS 4(1)(H) AND 4(2)(F)(III)(13) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED MISREPRESENTATION OF FACTS IN ITS RED HERRING PROSPECTUS VIOLATING REGULATIONS 4(1)(C) AND 4(1)(H) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED INDULGENCE IN VARIOUS RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(2) AND 23(3)(D) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,10,37,500 VIDE CONSENT ORDER)
09-FEB-2021
|
|
| 35 |
|
|
JINDAL SAW LTD.
(PAN:AABCS7280C)
|
|
|
ALLEGED FILING OF INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN VIOLATING CLAUSE 35 OF READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
ALLEGED FAILURE IN DISCLOSING APPLICANT 4 AS PART OF PROMOTER GROUP VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.26,30,550 VIDE CONSENT ORDER)
01-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/07/2024 DISMISSED THE APPEAL AS WITHDRAWN
|
| 36 |
|
|
JITF INFRALOGISTICS LTD.
(PAN:AABCJ9522G)
|
|
|
ALLEGED FILING OF INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR DATED 30/11/2015 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,13,900 VIDE CONSENT ORDER)
01-DEC-2023
|
|
| 37 |
|
|
JUMBO FINANCE LTD.
(PAN:AAACJ0882E
CIN:L65990MH1984PLC032766)
|
|
|
ALLEGED DELAY IN FILING OF LISTING APPLICATION VIOLATING REGULATION 108(2) OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED DELAY IN MAKING ALLOTMENT OF SHARES VIOLATING REGULATION 74(1) OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED FAILURE IN TAKING APPROVAL OF SHAREHOLDERS AS WELL AS IN-PRINCIPLE APPROVAL OF STOCK EXCHANGES VIOLATING REGULATIONS 74(2) AND 73(1)(E) OF CHAPTER VII OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED FAILURE IN TAKING APPROVAL OF SHAREHOLDERS AS WELL AS IN-PRINCIPLE APPROVAL OF STOCK EXCHANGES VIOLATING CLAUSE 24(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 READ WITH REGULATION 28(1) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.44,20,000 VIDE CONSENT ORDER)
25-JAN-2023
|
|
| 38 |
|
|
KOLTE-PATIL DEVELOPERS LTD.
(PAN:AAACK7310G)
|
|
|
ALLEGED FAILURE IN MAKING CORRECT DISCLOSURES IN HALF YEARLY RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(9) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED DELAY IN MAKING DISCLOSURES OF AMENDMENTS TO MEMORANDUM OF ASSOCIATION AND ARTICLES OF ASSOCIATION VIOLATING REGULATIONS 30(2) AND 30(6) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN COMPLIANCE WITH REGARD TO INDEPENDENT DIRECTORS VIOLATING REGULATION 16(1)(B)(III) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN HAVING AN INDEPENDENT WOMAN DIRECTOR ON ITS BOARD OF DIRECTORS VIOLATING REGULATION 17(1)(A) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN MAINTAINING MINIMUM NUMBER OF INDEPENDENT DIRECTORS IN AUDIT COMMITTEE VIOLATING REGULATION 18(1)(B) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.41,92,500 VIDE CONSENT ORDER)
18-NOV-2022
|
|
| 39 |
|
|
KOLTE-PATIL DEVELOPERS LTD.
(PAN:AAACK7310G)
|
|
|
|
G.L.VISHWANATH
(PAN:AAGPV1493C)
|
|
|
MANASA VISHWANATH
(PAN:ABXPR4968A)
|
|
ALLEGED INDULGED IN SUBMISSION OF INCORRECT CERTIFICATE THAT THEY COMPLY WITH ALL THE CRITERIA OF INDEPENDENT DIRECTOR VIOLATING REGULATION 25(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF KOLTE-PATIL DEVELOPERS LTD.
ALLEGED BOTH THE INDEPENDENT DIRECTORS WERE DIRECTLY RELATED HENCE EVALUATION OF BOARD OF DIRECTORS OF KOLTE-PATIL DEVELOPERS LTD. WAS NOT IN COMPLIANCE OF REGULATION 17(10)(B) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF KOLTE-PATIL DEVELOPERS LTD.
ALLEGED BOTH THE INDEPENDENT DIRECTORS WERE DIRECTLY RELATED TO EACH OTHER HENCE DID NOT MEET CRITERIA OF INDEPENDENT DIRECTORS VIOLATING REGULATION 17(11)(B) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF KOLTE-PATIL DEVELOPERS LTD.
|
REACHED SETTLEMENT (CONSENT ORDER)
18-NOV-2022
|
|
| 40 |
|
|
LOTUS CHOCOLATE CO.LTD.
(PAN:AAACL1891R)
|
|
|
ALLEGED FAILURE TO INCLUDE 1000 EQUITY SHARES IN PHYSICAL FORM ACQUIRED BY PROMOTER MR.ANANTH P.PAI, IN PROMOTER/PROMOTER GROUP SHAREHOLDING DISSEMINATED ON STOCK EXCHANGE PLATFORM VIOLATING REGULATIONS 31(4) READ WITH 31(1) OF SEBI (LODR) REGULATIONS, 2015 AND CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 AND CLAUSE 35 OF ERSTWHILE LISTING AGREEMENT
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,14,400 VIDE CONSENT ORDER)
29-FEB-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
| Page 2 of 4
|
