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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 : 21-NOV-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: DIRECTED TO RECALL OUTSTANDING AMOUNT OF USD 38.50 MILLION AND BRING BACK MONEY INTO ITS BANK ACCOUNT IN INDIA

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

(PAN:AABCT3840P)  
  INDULGED IN MISUTILIZATION OF GDR PROCEEDS AND MADE FALSE & MISLEADING DISCLOSURES IN MATTER OF TRANSGENE BIOTEK LTD.

DID NOT MAKE DISCLOSURES TO STOCK EXCHANGES RELATED TO PRICE SENSITIVE INFORMATION OF UTILIZATION OF GDRS PROCEEDS VIOLATING CLAUSE 36 OF LISTING AGREEMENT IN MATTER OF TRANSGENE BIOTEK LTD.

DID NOT MAKE DISCLOSURES TO STOCK EXCHANGES RELATED TO PRICE SENSITIVE INFORMATION OF UTILIZATION OF GDRS PROCEEDS VIOLATING REGULATIONS 12(1) AND 12(2) READ WITH SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRANSGENE BIOTEK LTD.  		DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHER INSTRUMENT CONVERTIBLE INTO EQUITY SHARE OR ANY OTHER SECURITY FROM 28-AUG-2019 TILL BRING BACK MONEY

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-AUG-2019 TILL BRING BACK MONEY

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-AUG-2019 TILL BRING BACK MONEY

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

DIRECTED TO RECALL OUTSTANDING AMOUNT OF USD 38.50 MILLION AND BRING BACK MONEY INTO ITS BANK ACCOUNT IN INDIA

20-NOV-2014 		SEBI VIDE ITS ORDER DATED 09/03/2016 CONTINUED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 20/11/2014

SAT: SAT VIDE ITS ORDER DATED 17/08/2017 DISPOSE OFF THE APPEALS BY DIRECTING SEBI TO COMPLETE THE INVESTIGATION BY 31/12/2017. NO COSTS

SAT: SAT VIDE ITS ORDER DATED 18/01/2018 DIRECTED SEBI TO COMPLETE THE PROCESS AND ISSUE SHOW CAUSE NOTICE, IF ANY, BY 30/04/2018 FAILING WHICH FROM 01/05/2018 THE INTERIM /CONFIRMATORY ORDER WOULD STAND VACATED AGAINST ALL THE APPELLANTS. NO COSTS

SEBI VIDE ITS ORDER DATED 28/08/2019 DIRECTED TO CONTINUE TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS), DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, TILL COMPLIANCE WITH DIRECTION AND THEREAFTER ADDITIONAL TWO YEARS FROM DATE OF BRINGING BACK MONEY AND DURING PERIOD OF RESTRAINT, EXISTING HOLDING OF SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) WILL REMAIN FROZEN

SAT: APPEAL DISMISSED

SEBI VIDE ITS ORDER DATED 31/08/2020 EXTENDED THE PERIOD OF BRINGING BACK THE MONEY , AS DIRECTED IN PARA 49(A) OF THE ORDER DATED 27/08/2019 FOR ONE YEAR FROM 27/08/2020
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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