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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: VIOLATED SEBI (SHARE BASED EMPLOYEES BENEFIT) REGULATIONS, 2014

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

(PAN:AADCB0274F)  
  DID NOT APPROPRIATE EXCESS 5,32,862 SHARES OF THE COMPANY WITHIN STIPULATED TIME LINE VIZ BY 31/03/2017 VIOLATING REGULATION 3(12) OF SEBI (SHARE BASED EMPLOYEE BENEFITS) REGULATIONS, 2014  IMPOSED PENALTY RS.1,00,000

27-JUN-2022
2 
History of entity/person BODHTREE CONSULTING LTD.

(PAN:AABCB3103D)  
  AWARDED SHARES HELD BY BCL TO ITS EMPLOYEE WITHOUT CONFIRMING TO ESOPS AND ESPS GUIDELINES VIOLATING PARA 6(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/3/2013 DATED 17/01/2013 READ WITH SEBI (ESOPS AND ESPS) GUIDELINES, 1999

AWARDED SHARES HELD BY BCL TO ITS EMPLOYEE WITHOUT CONFIRMING TO ESOPS AND ESPS GUIDELINES VIOLATING SECTION 31 OF SEBI (SBEB) REGULATIONS, 2014

RECONSTITUTED BOARD OF TRUSTEES TWICE VIOLATING REGULATION 3(4) OF SEBI (SBEB) REGULATIONS, 2014

MADE WRONG CLASSIFICATION AND DISCLOSURE OF SHAREHOLDING BY TRUST TO STOCK EXCHANGE VIOLATING REGULATION 3(9) OF SEBI (SBEB) REGULATIONS, 2014

DID NOT FORM OF COMPENSATION COMMITTEE OR DESIGNATING ANY OTHER COMMITTEE FOR ADMINISTERING AND SUPERINTENDENCE OF ESPS SCHEME VIOLATING REGULATION 5 OF SEBI (SBEB) REGULATIONS, 2014

DID NOT OBTAIN APPROVAL OF SHAREHOLDERS FOR IMPLEMENTATION OF ESPS VIOLATING REGULATION 6 OF SEBI (SBEB) REGULATIONS, 2014

DID NOT PLACE CERTIFICATE OF COMPLIANCE OF SCHEMES AS PER REGULATIONS FROM AUDITORS IN AGM VIOLATING REGULATION 13 OF SEBI (SBEB) REGULATIONS, 2014

DID NOT FOLLOW PRESCRIBED ACCOUNTING STANDARDS FOR EXTENDING SHARE BASED SCHEMES VIOLATING REGULATION 15 OF SEBI (SBEB) REGULATIONS, 2014

FIXED SHARE PRICE FOR ISSUANCE TO EMPLOYEES WITHOUT ADHERING TO THE ACCOUNTING STANDARDS VIOLATING REGULATION 22(1) OF SEBI (SBEB) REGULATIONS, 2014  		IMPOSED PENALTY RS.8,00,000

15-MAR-2022 		SEBI VIDE ITS NOTICE DATED 17/06/2022 DIRECTED TO PAY RS.8,33,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SAT: SAT VIDE ITS ORDER DATED 10/08/2022 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.30 LAC WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF AMOUNT IS DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL

SAT: SAT VIDE ITS ORDER DATED 10/10/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 24/03/2023 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 18/05/2023 CONDONED THE DELAY IN FILING OF REPLY. ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 12/07/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 23/01/2024 ALLOWED AMENDED COPY OF APPEAL AND APPLICATION FOR CONDONATION OF DELAY IN FILING AMENDED COPY WITHIN THREE WEEKS

SAT: SAT VIDE ITS ORDER DATED 13/08/2024 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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