| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
ARUNSANKAR ENTERPRISES PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-MAR-2008
|
|
| 182 |
|
|
ARVIND KUMAR DEVANSH BHANGADIA (HUF)
(PAN:AAFHB2618L)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TRIMURTI DRUGS & PHARMACEUTICALS LTD.
|
IMPOSED PENALTY RS.22,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-OCT-2015
|
|
| 183 |
|
|
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
|
|
| 184 |
|
|
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
|
|
| 185 |
|
|
ARYA HOLDINGS LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.25,000
13-DEC-2000
|
SAT: APPEAL DISMISSED
|
| 186 |
|
|
ARYAMAN FINANCIAL SERVICES LTD.
(PAN:AABCA1376P)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHAGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 FOR FINANCIAL YEARS 1997-1998 TO 2005-2006 IN MATTER OF ACQUISITION OF 20% SHARES OF ARYAMAN FINANCIAL SERVICES LTD. BY MAHARSHI ENTERPRISES PVT.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,000, ADMINISTRATION CHARGES RS.50,000 VIDE CONSENT ORDER)
14-JAN-2009
|
|
| 187 |
|
|
ARYAMANHARI TRUST
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHAREHOLDING INCREASED FROM 62.56% TO 75% PURSUANT TO BUY BACK OFFER OF OCL INDIA LTD.
|
REJECTED APPLICATION FILED FOR GRANT OF EXEMPTION FROM TAKEOVER REGULATIONS, 1997
19-JUL-2011
|
SAT: APPEAL ALLOWED AND ORDER DATED 28/01/2010 SET ASIDE AND PRAYERS (I), (III) AND (IV) IN PARA 6 OF THE MEMORANDUM OF APPEAL GRANTED. ORDER DATED 19/07/2011 BECOME INFRUCTUOUS. PARTIES SHALL BEAR THEIR OWN COSTS
|
| 188 |
|
|
ASCENT KNOWLEDGE SYSTEMS LTD.
|
|
|
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 14 (1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 19,53,234 SHARES OF ANIL PRODUCT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-OCT-2010
|
|
| 189 |
|
|
ASHISH CHANDRAKANT SAVLA (HUF)
(PAN:AADHA7858K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 190 |
|
|
ASHLESHA TRADING PVT.LTD.
(PAN:AAJCA4594M)
|
|
|
|
RAKESH KUMAR GUPTA
PAN:AHIPG2175P
|
|
INDULGED IN MANIPULATIVE TRANSACTIONS IN DERIVATIVE SEGMENT THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF GITANJALI GEMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8A(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GITANJALI GEMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF GITANJALI GEMS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF TAKEOVER REGULATIONS, 1997 AND REGULATIONS 3(2) OF TAKEOVER REGULATIONS, 2011 IN MATTER OF GITANJALI GEMS LTD.
|
ORDERED FOR INVESTIGATION
10-MAR-2017
|
|
| 191 |
|
|
ASHOK ALCO-CHEM LTD.
(PAN:AAACA6876H)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(3) OF SEBI TAKEOVER CODE, 1997
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,52,500 VIDE CONSENT ORDER)
28-JUN-2013
|
|
| 192 |
|
|
ASHOK GUPTA (HUF)
(PAN:AAAHA4357A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SANTOWIN CORP.LTD.
|
IMPOSED PENALTY RS.2,00,000
30-JUN-2017
|
SEBI VIDE ITS NOTICE DATED 22/02/2018 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 03/06/2022 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 22/02/2018
|
| 193 |
|
|
ASHOK MITTAL & CO.
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
INTERIM ORDER DATED 31/12/2002 REVOKED BY SEBI
|
| 194 |
|
|
ASHWINI TRADING PVT.LTD.
|
|
|
VIOLATED SECTION 11 (1) OF SEBI TAKEOVER CODE, 1997
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 11/05/2012 NOTICEES RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES FOR A PERIOD OF TWO YEARS I.E. DATED 11/05/2012 TO 10/05/2014
|
| 195 |
|
|
ASIAN COFFEE LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 11.67% SHARES TO REACH 63.89% SHAREHOLDING OF SAPTARISHI AGRO INDUSTRIES LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-JUN-2005
|
SAT: IMPUGNED ORDER SET ASIDE
|
| 196 |
|
|
ASIAN FILMS PRODUCTION & DISTRIBUTION LTD.
(CIN:L92410GJ1995PLC028341
PAN:AAACT5649P)
|
|
|
DID NOT MAKE DISCLOSURE OF CHANGE IN SHAREHOLDING/CHANGES IN SHAREHOLDING OF PROMOTERS AND PAC AS REQUIRED UNDER REGULATIONS 7(3) AND 8(3) OF SEBI TAKEOVER CODE, 1997
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.5,00,000
21-DEC-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 19/06/2014 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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
SEBI VIDE ITS NOTICE DATED 08/02/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.12,86,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 197 |
|
|
ASIAN FILMS PRODUCTION & DISTRIBUTION LTD.
(CIN:L92410GJ1995PLC028341
PAN:AAACT5649P)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) AND 8(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ASIAN FILMS PRODUCTION & DISTRIBUTION LTD.
|
IMPOSED PENALTY RS.2,00,000
13-OCT-2008
|
PENALTY AMOUNT OF RS.2,00,000.00 PAID BY APPELLANT ON 02/12/2008 BY DEMAND DRAFT NO.021480 DATED 02/12/2008 DRAWN ON AXIS BANK LTD.
|
| 198 |
|
|
ASIT C.MEHTA COMMODITY SERVICES PVT.LTD.
(PAN:AAACB2315A)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ASIT C.MEHTA FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2015
|
SAT: SAT VIDE ITS ORDER DATED 21/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 29/09/2015 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 17/05/2017 RE-IMPOSED PENALTY OF RS.25,00,000.00 U/S 15H(II) OF SEBI ACT ON THE NOTICEES MR.ASIT C.MEHTA, MR. DEENA A.MEHTA, ASIT C.MEHTA FOREX PVT.LTD., ASIT C.MEHTA COMMODITY SERVICES PVT.LTD., MR.ADITYA SIT MEHTA, MR.GOPA JAYESH DESAI, MS.RUPA ATUL SHAH, MS.SHOBHNABEN THAKORBHAI DESAI, ASIT CHIMANLAL MEHTA (HUF) AND JAYESH T.DESAI (HUF)
SAT: SAT VIDE ITS ORDER DATED 28/05/2018 ALLOWED APPEAL BY QUASHING THE DECISIONS OF IMPUGNED ORDER DATED 29/09/2015. NO COSTS
|
| 199 |
|
|
ASIT C.MEHTA FOREX PVT.LTD.
(PAN:AAACU0778J)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ASIT C.MEHTA FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2015
|
SAT: SAT VIDE ITS ORDER DATED 21/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 29/09/2015 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 17/05/2017 RE-IMPOSED PENALTY OF RS.25,00,000.00 U/S 15H(II) OF SEBI ACT ON THE NOTICEES MR.ASIT C.MEHTA, MR. DEENA A.MEHTA, ASIT C.MEHTA FOREX PVT.LTD., ASIT C.MEHTA COMMODITY SERVICES PVT.LTD., MR.ADITYA SIT MEHTA, MR.GOPA JAYESH DESAI, MS.RUPA ATUL SHAH, MS.SHOBHNABEN THAKORBHAI DESAI, ASIT CHIMANLAL MEHTA (HUF) AND JAYESH T.DESAI (HUF)
SAT: SAT VIDE ITS ORDER DATED 28/05/2018 ALLOWED APPEAL BY QUASHING THE DECISIONS OF IMPUGNED ORDER DATED 29/09/2015. NO COSTS
|
| 200 |
|
|
ASIT CHIMANLAL MEHTA (HUF)
(PAN:AACHA7235D)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ASIT C.MEHTA FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2015
|
SAT: SAT VIDE ITS ORDER DATED 21/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 29/09/2015 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 17/05/2017 RE-IMPOSED PENALTY OF RS.25,00,000.00 U/S 15H(II) OF SEBI ACT ON THE NOTICEES MR.ASIT C.MEHTA, MR. DEENA A.MEHTA, ASIT C.MEHTA FOREX PVT.LTD., ASIT C.MEHTA COMMODITY SERVICES PVT.LTD., MR.ADITYA SIT MEHTA, MR.GOPA JAYESH DESAI, MS.RUPA ATUL SHAH, MS.SHOBHNABEN THAKORBHAI DESAI, ASIT CHIMANLAL MEHTA (HUF) AND JAYESH T.DESAI (HUF)
SAT: SAT VIDE ITS ORDER DATED 28/05/2018 ALLOWED APPEAL BY QUASHING THE DECISIONS OF IMPUGNED ORDER DATED 29/09/2015. NO COSTS
|
| 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 114
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