| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
GYSCOAL ALLOYS LTD.
(PAN:AAECS6731M)
|
|
|
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING ARREST OF THEIR PROMOTER MR.VIRAL SHAH
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING DEFAULT IN REPAYMENT OF LOAN AVAILED FROM SBI
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING NCLT APPLICATION DATED 10/06/2020 FILED BY SBI
|
IMPOSED PENALTY RS.2,00,000
02-APR-2025
|
|
| 182 |
|
|
HEERA HOLDINGS & LEASING PVT.LTD.
(PAN:AAACH7902B)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 183 |
|
|
HERO FINCORP LTD.
(PAN:AAACH0157J)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF CLAUSE 29A(A) AND (C) OF DEBT LISTING AGREEMENT DATED 24/11/2012 READ WITH SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,90,000 VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 184 |
|
|
HEXA TRADEX LTD.
(PAN:AACCH5334B)
|
|
|
ALLEGED FAILURE IN DISCLOSING APPLICANT 4 AS PART OF PROMOTER GROUP VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
ALLEGED FILING OF INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN BY INCLUDING APPLICANT 4 AS PUBLIC SHAREHOLDER VIOLATING CLAUSE 35 OF READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,48,550 VIDE CONSENT ORDER)
01-DEC-2023
|
|
| 185 |
|
|
HIKAL LTD.
(PAN:AAACH0383A)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF INFORMATION TO STOCK EXCHANGES RELATED TO SEVEN EVENTS OF ILLEGAL DISCHARGE OF A HAZARDOUS CHEMICAL VIOLATING REGULATIONS 4(1)(C), 4(1)(E), 4(1)(I) AND 4(1)(J) READ WITH 30(3) AND 30(4) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN GIVING ADEQUATE AND TIMELY DISCLOSURES TO STOCK EXCHANGES RELATED TO SEVEN EVENTS OF ILLEGAL DISCHARGE OF A HAZARDOUS CHEMICAL VIOLATING REGULATIONS 4(1)(D) AND 4(1)(E) READ WITH 30(12) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN GIVING ADEQUATE AND TIMELY DISCLOSURES TO STOCK EXCHANGES RELATED TO SEVEN EVENTS OF ILLEGAL DISCHARGE OF A HAZARDOUS CHEMICAL VIOLATING REGULATIONS 4(1)(D), 4(1)(E), 30(3), 30(4) AND 30(7) READ WITH CLAUSE 8 OF PARA B OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 AND SEBI CIRCULAR NO.CIR/CFD/CMD/4/2015 DATED 09/09/2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.43,97,250 VIDE CONSENT ORDER)
28-NOV-2024
|
|
| 186 |
|
|
HINDUSTAN CLEANENERGY LTD.
|
|
|
DID NOT SUBMIT NO DEFAULT STATEMENT (NDS) TO CREDIT RATING AGENCIES VIOLATING REGULATION 8 OF SEBI (LODR) REGULATIONS 2015 READ WITH CLAUSE 1(A) AND/OR CLAUSE 1(C) OF SEBI CIRCULAR DATED 30/06/2017
|
IMPOSED PENALTY RS.5,00,000
19-JUN-2024
|
|
| 187 |
|
|
HINDUSTAN FOODS LTD.
(PAN:AAACH4581J)
|
|
|
ALLEGED FAILURE IN COMPLIANCE WITH THE REQUIREMENTS OF INDEPENDENT DIRECTORS VIOLATING REGULATION 17(1)(B) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FILING OF INCORRECT CORPORATE GOVERNANCE REPORTS TO STOCK EXCHANGES VIOLATING REGULATION 27(2) READ WITH 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.24,32,000 VIDE CONSENT ORDER)
10-OCT-2023
|
|
| 188 |
|
|
HIT KIT GLOBAL SOLUTIONS LTD.
(CIN:L70100MH1988PLC049929
PAN:AAACR2929Q)
|
|
|
|
KAMAL AGRAWAL
PAN:AABPA1245Q
|
|
|
RAJESH PURSHOTTAM MAVANI
PAN:AHQPM0165R
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF HIT KIT GLOBAL SOLUTIONS LTD. VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), (E) AND (G), 30(4)(II) AND 48 OF SEBI (LODR) REGULATIONS, 2015
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF HIT KIT GLOBAL SOLUTIONS LTD. VIOLATING SECTION 21 OF SCRA, 1956
|
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-FEB-2022 TO 27-FEB-2023
IMPOSED PENALTY RS.25,00,000
28-FEB-2022
|
SEBI VIDE ITS ORDER DATED 07/06/2022 DIRECTED TO PAY RS.42,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 24/06/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE APPLICATION. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 11/08/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 13/09/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 19/07/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.15 FROM RS.35 LAC U/S 15HB OF SEBI ACT.
SEBI VIDE ITS NOTICE DATED 27/07/2023 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 19/07/2023
|
| 189 |
|
|
HIT KIT GLOBAL SOLUTIONS LTD.
(CIN:L70100MH1988PLC049929
PAN:AAACR2929Q)
|
|
|
|
AMIT KHANDELWAL
PAN:AGTPK7842F
|
|
|
ARVIND SHARMA
PAN:CYIPS4924F
|
|
|
KIRAN NAGPAL
PAN:AJRPN9765H
|
|
|
PAVAN KALE
PAN:BDFPK5818R
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF HIT KIT GLOBAL SOLUTIONS LTD. VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(1)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OFHIT KIT GLOBAL SOLUTIONS LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF HIT KIT GLOBAL SOLUTIONS LTD.
|
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-FEB-2022 TO 27-AUG-2022
IMPOSED PENALTY RS.12,00,000
28-FEB-2022
|
|
| 190 |
|
|
HUBTOWN LTD.
(PAN:AAACA6101D)
|
|
|
DELAYED AND INADEQUATE DISCLOSURE OF LOAN REPAYMENT DEFAULT AND OF BEING CATEGORIZED AS NON-PERFORMING ASSETS BY DENA BANK VIOLATING CLAUSE 6 OF PARA A OF PART A OF SCHEDULE III READ WITH REGULATION 30(6) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,00,000
31-AUG-2023
|
|
| 191 |
|
|
HUBTOWN LTD.
(PAN:AAACA6101D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES OF ACQUISITION OF 51% STAKE IN E-COMMERCE VIOLATING REGULATIONS 30(2) AND 30(6) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN MAKING ADEQUATE, ACCURATE AND EXPLICIT DISCLOSURE TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D) AND 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.16,91,415 VIDE CONSENT ORDER)
25-MAY-2022
|
|
| 192 |
|
|
ICICI BANK LTD.
(PAN:AAACI1195H)
|
|
|
ALLEGED FAILURE IN PROVIDING APPROPRIATE PROTECTION AGAINST VICTIMIZATION OF THE COMPLAINANT MR.SAMIR KUMAR DAS WHO WAS THE WHISTLE-BLOWER VIOLATING REGULATION 22(2) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,40,625 VIDE CONSENT ORDER)
29-JAN-2021
|
|
| 193 |
|
|
IFGL REFRACTORIES LTD.
(PAN:AABCI7391C)
|
|
|
DID NOT SEEK AND DISCLOSE THE FORMAT OF RESIGNATION FROM GRANT THORTON UK LLP (GT) AS SPECIFIED UNDER CLAUSE 6(C)(I) OF SEBI CIRCULAR NO.CIR/CFD/CMD1/114/2019 DATED 18/10/2019 AND REGULATION 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000
18-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 QUASHED IMPUGNED ORDER DATED 18/10/2022 AND DIRECTED SEBI TO PAY COST OF RS.50,000.00 BEFORE REGISTRAR OF THIS TRIBUNAL WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 194 |
|
|
IFL PROMOTERS LTD.
(CIN:L65910DL1992PLC049014
PAN:AAACI5322C)
|
|
|
|
ANJANA GUPTA
PAN:AHCPG7242H
|
|
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES REGARDING NUMBER OF WARRANTS THAT WERE ALLOTTED VIOLATING CLAUSE 36 (REFERENCE - SEBI CIRCULAR DATED 07/04/1998) READ WITH CLAUSE 52(1)(B) OF LISTING AGREEMENT (REFERENCE - SEBI CIRCULAR DATED 27/12/2007) READ WITH REGULATION 103(2) OF SEBI (LODR) REGULATIONS, 2015 (REPEAL AND SAVINGS PROVISION), CLAUSE 35 (REFERENCE - SEBI CIRCULAR DATED 16/12/2010) READ WITH CLAUSE 52(1)(B) OF LISTING AGREEMENT READ WITH REGULATION 103(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF IFL PROMOTERS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-SEP-2023
|
SEBI VIDE ITS NOTICE DATED 02/02/2024 DIRECTED TO PAY RS.5,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 01/03/2024 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 NOTICE DATED 02/04/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.5,41,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 195 |
|
|
IL&FS TRANSPORTATION NETWORKS LTD.
(PAN:AABCC5460A)
|
|
|
|
DILIP BHATIA
PAN:ABEPB7695P
|
|
|
KRISHNA GHAG
DIN:02491661
|
|
|
RAMCHAND KARUNAKARAN
PAN:AAAPR4142A
|
|
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 2(I) OF UNIFORM LISTING AGREEMENT DATED 24/11/2015
DID NOT OBTAIN PRIOR APPROVAL OF AUDIT COMMITTEE FOR RELATED PARTY TRANSACTIONS VIOLATING CLAUSE 49(VII)(D) OF ERSTWHILE EQUITY LISTING AGREEMENT UP TILL 30/11/2015
|
IMPOSED PENALTY RS.1,00,00,000
15-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 02/11/2022 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED THE EFFECT AND OPERATION OF THE IMPUGNED ORDER AGAINST ALL THE APPELLANTS TILL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 05/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 196 |
|
|
IM+ CAPITALS LTD.
(PAN:AAACB1662L)
|
|
|
|
VISHAL SINGHAL
PAN:DIJPS2427H
|
|
DID NOT APPOINT MONITORING AGENCY AFTER TERMINATION VIOLATING REGULATION 162A(1) OF SEBI (ICDR) REGULATIONS, 2018
DID NOT PROVIDE REQUISITE DOCUMENTS TO CARE RATINGS LTD. LEADING TO NON-FURNISHING OF MONITORING AGENCY REPORT ON TIME VIOLATING REGULATIONS 162A(1) OF SEBI (ICDR) REGULATIONS, 2018 READ WITH REGULATIONS 4(1)(D) AND 4(1)(H) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT STATEMENT OF DEVIATION/ VARIATION IN USES OF FUNDS VIOLATING REGULATIONS 32(1) READ WITH 4(1)(D), 4(1)(G) AND 4(1)(H) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,00,000
11-MAR-2026
|
|
| 197 |
|
|
INCREDIBLE REALCON PVT.LTD.
(PAN:AADCI3889B)
|
|
|
DID NOT SUBMIT BANK DETAILS TO DEBENTURE TRUSTEES VIOLATING CLAUSE 3.2 OF SEBI CIRCULAR SEBI/HO/DDHS/CIR/P/103/2020 DATED 23/06/2020 READ WITH CLAUSE 4.1 OF CHAPTER XI OF SEBI CIRCULAR SEBI/HO/DDHS/P/CIR/2021/613 DATED 10/08/2021 READ WITH REGULATION 8 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2023
|
|
| 198 |
|
|
INCREDIBLE REALCON PVT.LTD.
(PAN:AADCI3889B)
|
|
|
DID NOT SUBMIT NO DEFAULT STATEMENT (NDS) TO CREDIT RATING AGENCIES VIOLATING REGULATION 8 OF SEBI (LODR) REGULATIONS 2015 READ WITH CLAUSE 1(A) AND/OR CLAUSE 1(C) OF SEBI CIRCULAR DATED 30/06/2017
|
IMPOSED PENALTY RS.1,00,00,000
19-JUN-2024
|
SAT: SAT VIDE ITS ORDER DATED 29/11/2024 CONDONED THE DELAY OF 20 DAYS IN FILING OF APPEAL. STAYED RECOVERY OF AD-INTERIM ORDER SUBJECT TO DEPOSIT RS.20 LAC TO SEBI WITH LIBERTY TO SEBI TO SEEK MODIFICATION AFTER FILING OF REPLY. ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/01/2025 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 199 |
|
|
IND-BARATH THERMOTEK PVT.LTD.
(PAN:AADCI6945G)
|
|
|
DID NOT SUBMIT FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF LINE ITEMS IN RESPECT TO NCDS TO STOCK EXCHANGES VIOLATING REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT CERTIFICATE SIGNED BY DEBENTURE TRUSTEE TO STOCK EXCHANGES IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATIONS 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,00,000
22-DEC-2020
|
SEBI VIDE ITS NOTICE DATED 07/05/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
|
| 200 |
|
|
INDIA STEEL WORKS LTD.
(PAN:AAACI1362A)
|
|
|
DID NOT OBTAIN APPROVAL OF SHAREHOLDERS FOR APPOINTMENT OF NEW DIRECTOR
|
IMPOSED PENALTY RS.1,00,000
29-DEC-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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| Page 10 of 28
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