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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.

PERSONS: DIRECTED TO UTILIZE ASSETS ONLY FOR THE PURPOSE OF REFUND OF MONEY AND/OR DELIVERY OF SECURITIES

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person SUBHASH CHANDER SINGAL

(PAN:AALPS3587R)  
History of entity/person MOONGIPA INVESTMENTS LTD.

(PAN:AAACM5584A)
  		DID NOT ADHERE TO VARIOUS SEBI CIRCULARS

INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957

DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES

DID NOT REFUND TO CLIENTS FUNDS AND SECURITIES  		DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-SEP-2015 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2015 TILL FURTHER ORDERS

DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 10-SEP-2015 TILL FURTHER ORDERS

DIRECTED TO IMPOUND FINANCIAL ASSETS

DIRECTED TO UTILIZE ASSETS ONLY FOR THE PURPOSE OF REFUND OF MONEY AND/OR DELIVERY OF SECURITIES

DIRECTED NOT TO DEBIT BANK ACCOUNTS/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY EXCEPT FOR REFUND AND AFTER CONFIRMATION FROM CONCERNED STOCK EXCHANGE

DIRECTED STOCK EXCHANGES, BANKS AND DEPOSITORIES TO ENSURE COMPLIANCE OF THE DIRECTIONS

10-SEP-2015 		SEBI VIDE ITS ORDER DATED 08/02/2019 DISPOSED OF DIRECTIONS OF EX-PARTE INTERIM ORDER DATED 10/09/2015
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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