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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 NOT TO DISPOSE OF OR ALIENATE ANY ASSETS OR DIVERT ANY FUNDS EXCEPT FOR FACILITATING RECOVERY

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

(PAN:AADCA7654E)  
  INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.  DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS OR DIVERT ANY FUNDS EXCEPT FOR FACILITATING RECOVERY

RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-JUL-2022 TO 27-JUL-2024

IMPOSED PENALTY RS.5,00,00,000

28-JUL-2022 		SEBI VIDE ITS NOTICE DATED 03/01/2023 DIRECTED TO PAY RS.5,35,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS NOTICE DATED 23/01/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED

SEBI VIDE ITS ORDER DATED 23/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.5,40,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF ANR SECURITIES PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
2 
History of entity/person RHC HOLDING PVT.LTD.

(PAN:AAKCS7686P)  
  INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.  DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS OR DIVERT ANY FUNDS EXCEPT FOR FACILITATING RECOVERY

RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-JUL-2022 TO 27-JUL-2024

IMPOSED PENALTY RS.5,00,00,000

28-JUL-2022 		SEBI VIDE ITS NOTICE DATED 03/01/2023 DIRECTED TO PAY RS.5,35,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS NOTICE DATED 23/01/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED

SEBI VIDE ITS ORDER DATED 23/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.5,40,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF RHC HOLDING PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS

SEBI VIDE ITS NOTICE DATED 02/02/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 23/01/2023

SEBI VIDE ITS ORDER DATED 02/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6177 OF 2023 DATED 03/01/2023
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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