| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2081 |
|
UDAYA BUSINESS FINANCIERS LTD.
|
|
|
VIOLATED SECTION 22 OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 2082 |
|
|
UMA CARBONICS PVT.LTD.
(Along with : NMC HOLDINGS LTD.)
|
|
|
|
ARUN MITTAL
|
|
|
DAKARAJU PAJADALA
|
|
|
DHANBIR FLOWER
|
|
|
INDER PRAKASH
|
|
|
INDU SRIVASTAVA
|
|
|
JAVED IQBAL SIDDIQI
|
|
|
JAYANTI GOELA
|
|
|
KAMAL PAL
|
|
|
P.S.MATHUR
|
|
|
PAWAN DEWAN
|
|
|
PRATAP SHUKLA
|
|
|
PRAVINDER KUMAR
|
|
|
PREM KHANNA
|
|
|
RAHUL GOELA
|
|
|
RAJIV GOELA
|
|
|
ROSHINI AGGARWAL
|
|
|
SHYAM SHANKAR GOELA
|
|
|
SHYAM SUNDER AGGARWAL
|
|
|
SUNILA GOELA
|
|
|
SUNITA GUPTA
|
|
|
UMA GOELA
|
|
|
VIJAY BHUSHAN
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND 8(1),8(2) FOR YEARS 1998 TO 2001 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HARYANA FIBRES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,70,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-JUN-2010
|
|
| 2083 |
|
|
UMA CARBONICS PVT.LTD.
(Along with : NMC HOLDINGS LTD.)
|
|
|
|
ARUN MITTAL
|
|
|
DAKARAJU PAJADALA
|
|
|
DHANBIR FLOWER
|
|
|
INDER PRAKASH
|
|
|
INDU SRIVASTAVA
|
|
|
JAVED IQBAL SIDDIQI
|
|
|
JAYANTI GOELA
|
|
|
KAMAL PAL
|
|
|
P.S.MATHUR
|
|
|
PAWAN DEWAN
|
|
|
PRATAP SHUKLA
|
|
|
PRAVINDER KUMAR
|
|
|
PREM KHANNA
|
|
|
RAHUL GOELA
|
|
|
RAJIV GOELA
|
|
|
ROSHINI AGGARWAL
|
|
|
SHYAM SHANKAR GOELA
|
|
|
SHYAM SUNDER AGGARWAL
|
|
|
SUNILA GOELA
|
|
|
SUNITA GUPTA
|
|
|
UMA GOELA
|
|
|
VIJAY BHUSHAN
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND 8(1),8(2) FOR YEARS 1998 TO 2001 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HARYANA FIBRES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,70,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-JUN-2010
|
|
| 2084 |
|
|
UNICEL IMPEX PVT.LTD.
|
|
|
|
ANKIT KAPUR
|
|
|
ASHIMA KAPUR
|
|
|
ASHWAN KAPUR
|
|
|
CHANDER MOHINI KAPUR
|
|
|
J.N.MEHRA
|
|
|
MITTER SETH
|
|
|
NARMATA KAPUR
|
|
|
NIRAN KHATTAR
|
|
|
PALKA KAPUR
|
|
|
RAJINDER MEHRA
|
|
|
SANTOSH KHOSALA
|
|
|
SAROJ SAWHNEY
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH REGULATION 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 10,000 MORE SHARES MAKING IT 79.77% HOLDING IN SCRIP OF UNIPRODUCTS (INDIA) LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 10,000 (.24%) MORE SHARES MAKING IT 79.77% HOLDING IN SCRIP OF UNIPRODUCTS (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-MAR-2009
|
|
| 2085 |
|
|
UNICORN HOLDINGS PVT.LTD.
|
|
|
|
C.V.KAMANI
|
|
|
D.C.KAMANI
|
|
|
R.C.KAMANI
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 5.17 % SHARES/VOTING RIGHTS AND CONTROL OF RAJATH FINANCE LTD.
|
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
30-APR-2003
|
|
| 2086 |
|
|
UNIFLEX CABLES LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(4) FOR YEAR 1997 AND 8(3) FOR YEARS 1998-2002 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIFLEX CABLES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
08-OCT-2008
|
|
| 2087 |
|
|
UNIFLEX CABLES LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(3) FOR YEAR 2006 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNIFLEX CABLES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
14-NOV-2008
|
|
| 2088 |
|
|
UNIJULES LIFE SCIENCES LTD.
(PAN:AAACU8032D)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ZIM LABORATORIES LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-APR-2012
|
SAT: SAT VIDE ITS ORDER DATED 01/11/2012 REDUCED THE PENALTY AMOUNT TO RS.10 LACS FROM RS.50 LACS
INCLUDED IN SEBI LIST DATED 30/06/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 2089 |
|
|
UNILEVER OVERSEAS HOLDINGS AG
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF HINDUSTAN UNILEVER LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HINDUSTAN UNILEVER LTD.
|
IMPOSED PENALTY RS.7,00,000
31-JAN-2014
|
|
| 2090 |
|
|
UNILEVER OVERSEAS HOLDINGS BV
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF HINDUSTAN UNILEVER LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HINDUSTAN UNILEVER LTD.
|
IMPOSED PENALTY RS.7,00,000
31-JAN-2014
|
|
| 2091 |
|
|
UNILEVER PLC
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HINDUSTAN UNILEVER LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF HINDUSTAN UNILEVER LTD.
|
IMPOSED PENALTY RS.8,00,000
31-JAN-2014
|
|
| 2092 |
|
|
UNILEVER UK & CN HOLDINGS LTD.
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF HINDUSTAN UNILEVER LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HINDUSTAN UNILEVER LTD.
|
IMPOSED PENALTY RS.7,00,000
31-JAN-2014
|
|
| 2093 |
|
|
UNIPRODUCTS (MAURITIUS) LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH REGULATION 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 10,000 MORE SHARES MAKING IT 79.77% HOLDING IN SCRIP OF UNIPRODUCTS (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-MAR-2009
|
|
| 2094 |
|
|
UNIQUE LEASEFIN LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF FAST TRACK ENTERTAINMENT LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FAST TRACK ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.1,50,000
14-DEC-2009
|
SEBI VIDE ITS ORDER DATED 26/06/2014 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 07/03/2025 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 26/06/2014
SEBI VIDE ITS ORDER DATED 07/03/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.148 OF 2014 DATED 26/06/2014
|
| 2095 |
|
|
UNISYS SOFTWARES & HOLDING INDUSTRIES LTD.
(CIN:L51909WB1992PLC056742
PAN:AABCC1191Q)
|
|
|
FACILITATED FUNDING THROUGH ITS RELATED/CONNECTED ENTITIES TO PREFERENTIAL ALLOTMENT BY PREFERENTIAL ALLOTTEES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JMD TELEFILMS INDUSTRIES LTD. (NOW JMD VENTURES LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/ CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF JMD TELEFILMS INDUSTRIES LTD. (NOW JMD VENTURES LTD.)
|
IMPOSED PENALTY RS.8,00,000
28-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 31/01/2023 2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 2096 |
|
|
UNITED BREWERIES LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HERBERTSONS LTD.
|
IMPOSED PENALTY RS.15,000 ALONG WITH OTHER ENTITIES/PERSONS
24-AUG-2005
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.65,000, LEGAL EXPENSES RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-JUL-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 24/08/2005 SET ASIDE AND BOARD WILL REFUND AMOUNT DEPOSITED BY APPELLANTS IN PURSUANCE TO IMPUGNED ORDER
SAT: APPLICANT PAID RS.65,000 TOWARDS SETTLEMENT CHARGES AND RS.5,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER (REFERENCE APPEAL NO.154 OF 2005 DATED 02/07/2009 WITH SAT)
|
| 2097 |
|
|
UNITED MACHINE CO.LTD.
(PAN:AAACU3228P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(2) AND 8(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 09/09/2022 DIRECTED TO PAY RS.1,05,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 2098 |
|
|
UNIVERSAL CINE TRADERS PVT.LTD.
|
|
|
ALLEGED 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 IN MATTER OF DHARANI SUGARS & CHEMICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
17-AUG-2010
|
|
| 2099 |
|
|
UNIVERSAL MEDIA NETWORK LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGE AS REQUIRED UNDER REGULATIONS 6(2) AND 6(4) OF SEBI TAKEOVER CODE, 1997
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.5,75,000
27-SEP-2006
|
|
| 2100 |
|
|
UNIVERSAL PRINT SYSTEMS LTD.
|
|
|
|
RAKESH KUKILLAYA
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATIONS 3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 160000 EQUITY SHARES OF UNIVERSAL PRINT SYSTEMS LTD.THROUGH GIFT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.75,000 VIDE CONSENT ORDER)
16-JUN-2009
|
|
| 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 105 of 114
|
