| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A TO Z HOLDINGS PVT.LTD.
(PAN:AAECA0001A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF SBEC SUGAR LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,13,434, INTEREST RS.3,376 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-AUG-2018
|
COMPANY VIDE DEMAND DRAFT NO.116301 DATED 24/07/2018 FOR RS 5,16,810.00 DRAWN ON AXIS BANK LTD. HAS PAID SETTLEMENT CHARGES INCLUDING INTEREST
|
| 2 |
|
|
ABC HOLDING PVT.LTD.
(PAN:AAACA0788L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SEBC SUGAR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 3 |
|
|
ABHAY BHUTORIA (HUF)
(PAN:AACHA5472L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2), 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF RTS POWER CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,17,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-AUG-2017
|
|
| 4 |
|
|
ABHAY TRANSFORMERS PVT.LTD.
(PAN:AABCK0695H)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2), 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF RTS POWER CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,17,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-AUG-2017
|
|
| 5 |
|
|
ABHIKUM LEASING & INVESTMENTS PVT.LTD.
(PAN:AAACA1666P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) OF SAST REGULATIONS, 2011 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,01,381 VIDE CONSENT ORDER)
11-JUN-2018
|
|
| 6 |
|
|
ABHINANDAN INVESTMENTS LTD.
(PAN:AAACA0372L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING FOR CHANGE OF MORE THAN 2% OF TOTAL SHAREHOLDING OF MS.URVI JINDAL ALONG WITH PERSONS ACTING IN CONCERT (PACS) VIOLATING REGULATION 29(2) OF SAST REGULATION, 2022 IN MATTER OF SHALIMAR PAINTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,04,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-MAR-2025
|
|
| 7 |
|
|
ACG ASSOCIATED CAPSULES PVT.LTD.
(PAN:AAACA4769K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF RAJ OIL MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF RAJ OIL MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,51,164 VIDE CONSENT ORDER)
25-MAY-2017
|
|
| 8 |
|
|
ADITYA DALMIA (HUF)
(PAN:AAEHA5481K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ECO HOTELS & RESORTS LTD. (FORMERLY KNOWN AS SHARAD FIBRES & YARN PROCESSORS LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,99,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-JUN-2024
|
|
| 9 |
|
|
ADITYA SAH (HUF)
(PAN:AAHHA1697J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5), 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF G.P.PETROLEUMS LTD. (FORMERLY KNOWN AS SAH PETROLEUMS LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,16,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 10 |
|
|
ADVANCE CHEMICAS
(PAN:AAEFA7026J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PUNJAB ALKALIES & CHEMICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,77,813 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 11 |
|
|
AJITBHAI PATEL (HUF)
(PAN:AAEHP1151P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF AROMA ENTERPRISES (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,98,273 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-DEC-2017
|
|
| 12 |
|
|
ALTIMAX FINANCIAL SERVICES PVT.LTD.
(PAN:AAJCA7511L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASTEC LIFE SCIENCES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASTEC LIFE SCIENCES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,01,447 VIDE CONSENT ORDER)
08-OCT-2018
|
|
| 13 |
|
|
AMITKUMAR ANAND DALMIA (HUF)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF R&B DENIMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-OCT-2017
|
|
| 14 |
|
|
ANANDAM ENTERPRISES
(PAN:AAVFA1447J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF MANGALAM CEMENT LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF J.K.CEMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
16-JAN-2018
|
|
| 15 |
|
|
ANKUR MANGILAL BORANA (HUF)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF R&B DENIMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-OCT-2017
|
|
| 16 |
|
|
ANSHUL SPECIALTY MOLECULES LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(2) AND 3(3) READ WITH 13(1) OF SAST REGULATIONS, 2011 IN MATTER OF EXCEL INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.37,99,145 VIDE CONSENT ORDER)
24-SEP-2020
|
|
| 17 |
|
|
ARJUN TRANSPORT CO.PVT.LTD.
(PAN:AABCA5913E)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(6), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF EMPIRE INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,83,226 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-JAN-2019
|
|
| 18 |
|
|
ARTH UDYOG LTD.
(PAN:AAACA1256B)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOKA MARKETING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA MARKETING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
12-SEP-2022
|
|
| 19 |
|
|
ARTH UDYOG LTD.
(PAN:AAACA1256B)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
12-SEP-2022
|
|
| 20 |
|
|
ARVINDKUMAR PODDAR (HUF)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,91,581 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-FEB-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 14
|
