| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
SHARAT INDUSTRIES LTD.
(PAN:AACCS8215J)
|
|
|
ALLEGED FAILURE TO ALLOT SECURITIES WITHIN FIFTEEN DAYS OF PASSING OF SPECIAL RESOLUTION VIOLATING REGULATION 170(1) OF SEBI (ICDR) REGULATION, 2018
ALLEGED FAILURE IN MAKING DISCLOSURE IN THE EXPLANATORY STATEMENT OF NOTICE OF EXTRAORDINARY GENERAL MEETING DATED 12/11/2021 VIOLATING REGULATION 163(1) OF SEBI (ICDR) REGULATION, 2018
ALLEGED FAILURE IN KEEPING PRE-PREFERENTIAL SHAREHOLDING OF ONE OF THE ALLOTTEES UNDER LOCK-IN VIOLATING REGULATION 167(6) OF SEBI (ICDR) REGULATION, 2018
ALLEGED FAILURE IN MAKING CORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 31(1) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN APPOINTMENT OF COMPLIANCE OFFICER VIOLATING REGULATION 6 OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.36,25,000 VIDE CONSENT ORDER)
05-FEB-2024
|
|
| 62 |
|
|
SOBHA LTD.
(PAN:AABCS7723E)
|
|
|
ALLEGED PUBLISH UNTRUE AND MISLEADING FINANCIAL RESULTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SOBHA LTD.
ALLEGED PUBLISH UNTRUE AND MISLEADING FINANCIAL RESULTS VIOLATING REGULATION 33 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SOBHA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,92,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-AUG-2022
|
|
| 63 |
|
|
SOBHA LTD.
(PAN:AABCS7723E)
|
|
|
|
JAGDISH CHANDRA SHARMA
(PAN:ACRPS1940E)
|
|
|
RAMAKRISHNAN PRABHAKARAN
(PAN:ALBPP2261L)
|
|
|
RAVI PUTHAN NADUVAKKAT CHENTHA MARAKSHA MENON
(PAN:AKIPM1316R)
|
|
ALLEGED PUBLISH UNTRUE AND MISLEADING FINANCIAL RESULTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SOBHA LTD.
ALLEGED INDULGENCE IN MISREPRESENTATION OF FINANCIAL RESULTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(III)(7), 17(8) AND 33 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SOBHA LTD.
|
REACHED SETTLEMENT (CONSENT ORDER)
22-AUG-2022
|
|
| 64 |
|
|
SOBHA LTD.
(PAN:AABCS7723E)
|
|
|
|
SUBASH MOHAN BHAT
(PAN:AAAPB6132G)
|
|
ALLEGED FAILURE IN DISCHARGING HIS DUTY AS CFO AND INDULGED IN ACCOUNTING IRREGULARITIES IN THE BOOKS OF ACCOUNTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SOBHA LTD.
ALLEGED PUBLISH UNTRUE AND MISLEADING FINANCIAL RESULTS VIOLATING REGULATION 33 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SOBHA LTD.
|
REACHED SETTLEMENT (CONSENT ORDER)
22-AUG-2022
|
|
| 65 |
|
|
SPANDANA SPHOORTY FINANCIAL LTD.
(PAN:AAICS6213N)
|
|
|
ALLEGED THAT STATUTORY AUDITOR S.R.BATLIBOI & CO.LLP HAD RESIGNED WITHOUT ISSUING LIMITED REVIEW/AUDIT REPORTS AS THEY WERE INELIGIBLE TO CONTINUE AS STATUTORY AUDITORS VIOLATING PARA 6(A) OF SEBI CIRCULAR NO.CIR/CFD/CMD1/114/29 DATED 18/10/2019
ALLEGED THAT STATUTORY AUDITOR S.R.BATLIBOI & CO.LLP HAD RESIGNED WITHOUT ISSUING LIMITED REVIEW/AUDIT REPORTS AS THEY WERE INELIGIBLE TO CONTINUE AS STATUTORY AUDITORS VIOLATING REGULATIONS 18(3), 30(2) AND 36(5) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)
25-OCT-2022
|
|
| 66 |
|
|
SPANDANA SPHOORTY FINANCIAL LTD.
(PAN:AAICS6213N)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 51(1), 51(2) AND 51(3) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.38,12,160 VIDE CONSENT ORDER)
21-AUG-2024
|
|
| 67 |
|
|
STARCOM INFORMATION TECHNOLOGY LTD.
(PAN:AAACJ1380R)
|
|
|
ALLEGED VIOLATION OF CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
ALLEGED VIOLATION OF REGULATION 38 OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
28-MAR-2019
|
|
| 68 |
|
|
SUN PHARMACEUTICAL INDUSTRIES LTD.
(PAN:AADCS3124K)
|
|
|
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM AUDIT COMMITTEE FOR TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD. IN ANNUAL REPORTS VIOLATING REGULATION 34(3) READ WITH SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.56,11,500 VIDE CONSENT ORDER)
11-FEB-2021
|
|
| 69 |
|
|
TV 18 EMPLOYEES WELFARE TRUST
(PAN:AAAAT7678Q)
|
|
|
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
|
|
| 70 |
|
|
UPL LTD.
(PAN:AABCS1698G)
|
|
|
ALLEGED FAILURE IN ENSURING MODIFICATION THE TERMS OF APPOINTMENT OF AUDITOR (KPMG MAURITIUS) OF ITS MATERIAL SUBSIDIARY, UPL MAURITIUS
ALLEGED FAILURE IN OBTAINING LIMITED REVIEW OF ITS MATERIAL SUBSIDIARY, UPL MAURITIUS UPON RESIGNATION OF ITS AUDITOR, KPMG MAURITIUS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.19,50,000 VIDE CONSENT ORDER)
06-MAY-2022
|
|
| 71 |
|
|
UTKARSH SMALL FINANCE BANK LTD.
(PAN:AABCU9355J)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 7(1), 7(3), 13(3), 13(4), 50(1) TO 50(3), 51(1), 51(2), 52(1) TO 52(3), 52(5), 53, 57(1), 57(2) AND 60(2) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,24,23,600 VIDE CONSENT ORDER)
10-APR-2024
|
|
| 72 |
|
|
VALIANT ORGANICS LTD.
(PAN:AACCV0024A)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF CLAUSE I (A)(3)(B) OF ANNEXURE – I OF SEBI CIRCULAR NO.CFD/DIL3/CIR/2017/21 DATED 10/03/2017 READ WITH REGULATIONS 11, 37 AND 94 READ WITH REGULATION 101(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CONVERSION OF OPTIONALLY CONVERTIBLE PREFERENCE SHARES OF AMARJYOT CHEMICAL LTD.
ALLEGED FAILURE IN COMPLIANCE OF RULE 19(7) OF SECURITIES CONTRACTS (REGULATION) RULES, 19572015 IN MATTER OF CONVERSION OF OPTIONALLY CONVERTIBLE PREFERENCE SHARES OF AMARJYOT CHEMICAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
18-SEP-2023
|
|
| 73 |
|
|
YES BANK LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(2) OF SAST REGULATIONS, 2011
ALLEGED FAILURE IN COMPLIANCE OF REGULATION 4(1)(C) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.40,80,000 VIDE CONSENT ORDER)
29-JUN-2018
|
|
| 74 |
|
|
YES BANK LTD.
|
|
|
ALLEGD FAILURE IN FOLLOWING DUE PROCEDURE TO DISCLOSE MATERIAL INFORMATION AND DID NOT HAVE SYSTEM IN PLACE TO ENSURE PROPER PROCEDURE TO MAKE DISCLOSURE OF MATERIAL INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 30(4)(I) & (II) AND 30(5) READ WITH 4(1) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.51,60,000 VIDE CONSENT ORDER)
04-SEP-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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| Page 4 of 4
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