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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 13-JUL-2024

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.

COMPANIES: VIOLATED SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person 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
2 
History of entity/person RMC SWITCH GEARS LTD.

(PAN:AAACR6750K)  
  ALLEGED DELAY IN FILING APPLICATION FOR IN-PRINCIPLE APPROVAL FROM STOCK EXCHANGES FOR ALLOTMENT OF PREFERENTIAL EQUITY SHARES ON A PRIVATE PLACEMENT BASIS VIOLATING REGULATION 160(F) OF SEBI (ICDR) REGULATIONS, 2018  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,25,000 VIDE CONSENT ORDER)

15-SEP-2023
3 
History of entity/person 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
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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