| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2101 |
|
UNNAO TRADING PVT.LTD.
(PAN:AAACU3544Q)
|
|
|
|
LALITA AGARWAL
PAN:ACLPA2107R
|
|
|
RISHIRAJ AGARWAL
PAN:AEQPA0755E
|
|
|
SANGEETA RISHIRAJ AGARWAL
PAN:ADAPA1962G
|
|
|
VATSAL AGARWAL
PAN:APOPA5772J
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GREMACH INFRASTRUCTURE EQUIPMENTS & PROJECTS LTD. (PRESENTLY KNOWN AS SANCIA GLOBAL INFRAPROJECTS LTD.)
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-FEB-2019 UNTIL DISCHARGE LIABILITY BY MAKING PUBLIC ANNOUNCEMENT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-FEB-2019 UNTIL DISCHARGE LIABILITY BY MAKING PUBLIC ANNOUNCEMENT
06-FEB-2019
|
|
| 2102 |
|
|
UNOCAL BHARAT LTD.
|
|
|
APPOINTED DIRECTORS ON THE BOARD OF HINDUSTAN OIL EXPLORATION CO.LTD. (TARGET CO.) DURING PENDENCY OF OPEN OFFER FORMALITIES
|
IMPOSED PENALTY RS.25,00,000
25-AUG-2006
|
|
| 2103 |
|
|
UPVAN SECURITIES PVT.LTD.
(PAN:AAACU3955D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CAPMAN FINANCIALS LTD.
|
IMPOSED PENALTY RS.2,00,000
16-SEP-2014
|
|
| 2104 |
|
|
USHA HOLDINGS PVT.LTD.
(Along with : BEST EASTERN HOTELS LTD.)
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
01-NOV-2004
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 2105 |
|
|
USHDEV TRADE LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 READ WITH 14 (1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 18.74% SHARES OF USHDEV INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.72,14,000
29-APR-2010
|
|
| 2106 |
|
|
USHIN LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATION 3(1)(C) AND CONSEQUENT VIOLATION OF REGULATION 11(1) IN ACQUISITION OF SHARES OF JAY-YUSHIN LTD.
|
LAUNCHED ADJUDICATION PROCEEDINGS
28-JUL-2004
|
|
| 2107 |
|
|
UTILITY TRADE LINKS PVT.LTD.
|
|
|
|
ANIL RAI
|
|
|
VINAY RAI
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 2108 |
|
|
UTILITY TRADE LINKS PVT.LTD.
(Along with : INFORMATION TECHNOLOGIES (INDIA) LTD.)
|
|
|
|
P.S.KANODIA
|
|
|
RENGA RAJAN
|
|
|
S.K.GUPTA
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF INFORMATION TECHNOLOGIES (INDIA) LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
01-JUN-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 30/01/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 ORDER DATED 11/04/2018 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 30/01/2018
|
| 2109 |
|
|
UTKARSH AGRO AGENCIES PVT.LTD.
(PAN:AABCU0071H)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF KWALITY CREDIT & LEASING LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-MAR-2014
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 2110 |
|
|
UTKARSH AGRO MARKETING PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KWALITY CREDIT & LEASING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
04-MAR-2015
|
|
| 2111 |
|
|
UTTARAK ENTERPRISES PVT.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 GMM PFAUDLER LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GMM PFAUDLER 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 GMM PFAUDLER LTD.
DID NOT MAKE 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 GMM PFAUDLER LTD.
|
IMPOSED PENALTY RS.9,00,000
30-MAY-2014
|
SAT: SAT VIDE ITS ORDER DATED 20/11/2015 SET ASIDED THE ORDER PASSED BY SEBI AND RESTORE THE APPEALS TO THE FILE OF SEBI FOR PASSING FRESH ORDER ON MERITS. NO COSTS
|
| 2112 |
|
|
UTTARAK ENTERPRISES PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GMM PFAUDLER 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 GMM PFAUDLER LTD.
|
IMPOSED PENALTY RS.13,50,000 ALONG WITH OTHER ENTITIES/PERSONS
07-FEB-2020
|
|
| 2113 |
|
|
VADILAL ENTERPRISES LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) FOR YEAR 1997 AND 8(3) FOR YEARS 1996-1997 TO 2001-2002 OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,25,000 VIDE CONSENT ORDER)
29-NOV-2010
|
|
| 2114 |
|
|
VAISHALI RESOURCES LTD.
(CIN:U51109WB1982PLC035575
PAN:AABCV2519H)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) READ WITH 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HIMACHAL FIBRES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HIMACHAL FIBRES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,225 VIDE CONSENT ORDER)
26-MAR-2018
|
|
| 2115 |
|
|
VAKHARIA ESTATE & INVESTMENT PVT.LTD.
(Along with : BEST EASTERN HOTELS LTD.)
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
01-NOV-2004
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 2116 |
|
|
VALENTINE PROPERTIES PVT.LTD.
|
|
|
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
|
|
| 2117 |
|
|
VALLIAMMAI INVESTMENTS PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
31-AUG-2004
|
|
| 2118 |
|
|
VANKARS GEMS & JEWELLERIES PVT.LTD.
(PAN:AADCV6467A)
|
|
|
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
|
|
| 2119 |
|
|
VANRAJ SUPPLIERS PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ARCHIDPLY INDUSTRIES LTD.
|
IMPOSED PENALTY RS.11,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-AUG-2017
|
|
| 2120 |
|
|
VANTAGE CORPORATE SERVICES LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HANSU CONTROLS LTD. (NOW KNOWN AS SAHIL TECH (INDIA) LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-JUL-2017
|
|
| 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 106 of 114
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