| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1981 |
|
SWALLOW ASSOCIATES LLP
(PAN:ACGFS5041R)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ZENSAR TECHNOLOGIES LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ZENSAR TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF ZENSAR TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.11,00,000
31-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 26/07/2021 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER DURING THE PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 15/11/2021 DIRECTED TO FILE WRITTEN SUBMISSION FILE WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT VIDE ITS ORDER DATED 06/04/2022 PARTLY ALLOWED THE APPEAL BY SETTING ASIDE VIOLATION OF REGULATIONS 10, 7(1) AND 7(1A) OF SAST REGULATIONS AND PENALTY AMOUNT TO RS.1 LAC FROM RS.2 LAC
|
| 1982 |
|
|
SWALLOW ASSOCIATES LLP
(PAN:ACGFS5041R)
|
|
|
DELAY IN MAKING 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 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF KEC INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.3,00,000
31-MAY-2018
|
|
| 1983 |
|
|
SWARAJ TRADING & AGENCIES LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 READ WITH REGULATION 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,97,33,551 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-JAN-2017
|
|
| 1984 |
|
|
SWAROOP CHOPRA (HUF)
|
|
|
|
SWAROOP CHOPRA
PAN:AAAHC6001R
|
|
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
|
| 1985 |
|
|
SWASTIK PLYWOOD LTD.
(PAN:AADCS5480N)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2) AND 6(4) FOR YEAR 1997 OF SEBI TAKEOVER CODE, 1997
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.5,75,000
17-JUL-2012
|
|
| 1986 |
|
|
SWEDISH MATCH AB
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 21.89% SHARES IN TARGET COMPANY
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
04-JUN-2002
|
SAT: APPEAL DISMISSED
|
| 1987 |
|
|
SWEDISH MATCH SINGAPORE PTE LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 21.89% SHARES IN TARGET COMPANY
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
04-JUN-2002
|
SAT: APPEAL DISMISSED
|
| 1988 |
|
|
SWEETY RENIWAL (HUF)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NANDAN EXIM LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
23-MAY-2011
|
|
| 1989 |
|
|
SWIFT CARRIAGE & TRADE SERVICES PVT.LTD.
|
|
|
|
VIKAS KASERA
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2005
|
SAT: APPEAL FAILED AND DISMISSED
|
| 1990 |
|
|
SYDENHAM INVESTMENTS PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 READ WITH REGULATION 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,97,33,551 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-JAN-2017
|
|
| 1991 |
|
|
SYNERGY INFRASTRUCTURE LTD.
(PAN:AACCM0144Q)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.2,00,000
24-SEP-2019
|
|
| 1992 |
|
|
SYNPAC PHARMACEUTICALS LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3) AND 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 13,04,025 (7.78%) SHARES/VOTING RIGHTS OF KDL BIOTECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
10-SEP-2008
|
|
| 1993 |
|
|
SYSCHEM (INDIA) LTD.
|
|
|
|
ANIL NIBBER
PAN:AATPN3154H
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SYSCHEM (INDIA) LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SYSCHEM (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000
03-FEB-2012
|
|
| 1994 |
|
|
SYSTEL INFOTECH LTD.
|
|
|
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
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.15,00,000
12-JAN-2010
|
SEBI VIDE ITS NOTICE DATED 21/12/2017 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 1995 |
|
|
SYSTEMATIX CORPORATE SERVICES LTD.
(PAN:AAGCS3420D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 23 A(A) SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
26-OCT-2018
|
|
| 1996 |
|
|
T G V PROJECTS & INVESTMENTS PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF BRILLIANT SECURITIES LTD.
|
IMPOSED PENALTY RS.1,00,000
20-APR-2009
|
|
| 1997 |
|
|
TAIB SECURITIES MAURITIUS LTD.
(PAN:AAACT5003H)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1), 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAASHYAP TECHNOLOGIES LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAASHYAP TECHNOLOGIES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KAASHYAP TECHNOLOGIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.16,68,645 VIDE CONSENT ORDER)
09-JAN-2017
|
|
| 1998 |
|
|
TAINWALA CHEMICALS & PLASTICS (INDIA) LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(3) AND 8(3) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.50,000
31-MAY-2010
|
INCLUDED IN SEBI LIST DATED 30/09/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 1999 |
|
|
TAITAN MANAGEMENT SERVICES PVT.LTD.
(PAN:AACCT2473R)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MURLI INDUSTRIES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
31-JUL-2015
|
|
| 2000 |
|
|
TAITAN MANAGEMENT SERVICES PVT.LTD.
(PAN:AACCT2473R)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MURLI INDUSTRIES LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.11,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
|
| 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 100 of 114
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