| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
ECONOMY SUPPLIERS PVT.LTD.
(PAN:AACCE0982E)
|
|
|
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 PMC FINCORP LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PMC FINCORP LTD.
|
IMPOSED PENALTY RS.1,00,000
12-OCT-2018
|
|
| 202 |
|
|
EDUCOMP SOLUTIONS LTD.
(PAN:AAACE2983M)
|
|
|
|
SHANTANU PRAKASH
PAN:AAJPP1605K
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF EDUCOMP SOLUTIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
07-JUN-2011
|
|
| 203 |
|
|
EDUCOMP SOLUTIONS LTD.
(PAN:AAACE2983M)
|
|
|
ALLEGED DELAY IN MAKING CORPORATE ANNOUNCEMENT TO BSE VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
ALLEGED DEALY IN MAKING CORPORATE ANNOUNCEMENT TO BSE VIOLATING CLAUSE 1.1 READ WITH 2.1 OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING UNDER SCHEDULE II OF REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
16-MAY-2012
|
|
| 204 |
|
|
EDUEXEL INFOTAINMENT LTD.
(CIN:L92100TN1990PLC019605
PAN:AADCT3496R)
|
|
|
DELAY IN MAKING 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.3,00,000
27-DEC-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 25/06/2018 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
|
| 205 |
|
|
ELARA INDIA OPPORTUNITIES FUND LTD.
(PAN:AABCE6307N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF AUSTRAL COKE & PROJECTS LTD.
|
IMPOSED PENALTY RS.10,00,000
14-JAN-2015
|
|
| 206 |
|
|
ELECTROSTEEL CASTINGS LTD.
(PAN:AAACE4975B)
|
|
|
DELAY IN IMPLEMENTATION OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES
|
IMPOSED PENALTY RS.1,00,000
24-DEC-2009
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| 207 |
|
|
ELEVATOR BUILDERS PVT.LTD.
(PAN:AABCE7819B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,39,250, INTEREST RS.13,587 VIDE CONSENT ORDER)
18-NOV-2020
|
|
| 208 |
|
|
EMBASSY FINANCE & CONSULTANTS PVT.LTD.
(PAN:AAACE1313P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MISHKA FINANCE & TRADING LTD.
MADE WRONG DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MISHKA FINANCE & TRADING LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MISHKA FINANCE & TRADING LTD.
|
IMPOSED PENALTY RS.1,00,000
14-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 15/05/2023 DIRECTED TO PAY RS.1,12,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/06/2023 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
|
| 209 |
|
|
EMPEE HOLDINGS LTD.
(PAN:AABCE5490N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF EMPEE DISTILLERIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF EMPEE DISTILLERIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF EMPEE DISTILLERIES LTD.
|
IMPOSED PENALTY RS.5,00,000
01-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 12/03/2024 DIRECTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/06/2024 DISMISSED THE APPEAL
|
| 210 |
|
|
ENARJEE CONSULTANCY & TRADING COMPANY LLP
(PAN:AAACD2102K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) AND 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GUJARAT RECLAIM & RUBBER PRODUCTS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GUJARAT RECLAIM & RUBBER PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,37,188 VIDE CONSENT ORDER)
17-JUL-2017
|
|
| 211 |
|
|
ENDOGRAM LEASING & TRADING CO.LTD.
(PAN:AAACE6313P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ALCHEMIST REALTY LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALCHEMIST REALTY LTD.
|
IMPOSED PENALTY RS.1,00,000
30-MAY-2018
|
|
| 212 |
|
|
ENRICH FINANCE & SECURITIES LTD.
(PAN:AAACE2292F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SCOPE INDUSTRIES (INDIA) LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SCOPE INDUSTRIES (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000
23-OCT-2018
|
|
| 213 |
|
|
ERA E-ZONE (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ERA CONSTRUCTIONS (INDIA) LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ERA CONSTRUCTIONS (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
24-SEP-2010
|
|
| 214 |
|
|
ERIEZ FINANCE & INVESTMENTS LTD.
(PAN:AAACZ0643B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF 20 MICRONS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES FOR CREATION OF ENCUMBRANCE OF SHARES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF 20 MICRONS LTD.
|
IMPOSED PENALTY RS.4,00,000
14-FEB-2018
|
|
| 215 |
|
|
ESHA SECURITIES LTD.
(CIN:U99999DL1994PLC059396
PAN:AAACE2862P)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ACTION FINANCIAL SERVICES (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000
20-MAY-2019
|
|
| 216 |
|
|
ESQUIRE ENCLAVE PVT.LTD.
(CIN:U45400WB2010PTC152133
PAN:AACCE7065J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3)(A) OF SAST REGULATIONS, 2011 IN MATTER OF SANTOWIN CORP.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 IN MATTER OF SANTOWIN CORP.LTD.
|
IMPOSED PENALTY RS.3,00,000
27-DEC-2018
|
SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.4,87,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 12/03/2024 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 10/07/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.4,87,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 13/12/2024 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 12/03/2024
SEBI VIDE ITS NOTICE DATED 13/12/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7548 OF 2024 DATED 31/01/2024
|
| 217 |
|
|
EUREKA MACHINERIES PVT.LTD.
|
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
RADHA BALLAB
|
|
|
V.K.AGARWAL
|
|
|
VIJAY KUMAR GUPTA
|
|
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
|
|
| 218 |
|
|
EXCELLENT COMMERCIAL ENTERPRISES & INVESTMENT LTD.
(Along with : GHCL LTD.)
|
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
SAT: APPEAL DISPOSSED OFF WITH A DIRECTION TO SEBI TO PASS AN ORDER IN ACCORDANCE WITH LAW ON OR BEFORE 10/07/2009.NO ORDER AS TO COSTS.
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 219 |
|
|
FACTORIAL MASTER FUND
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) & (E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) READ WITH 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF L&T FINANCE HOLDINGS LTD.
|
DIRECTED TO DISGORGE RS.20,04,67,840
08-DEC-2016
|
SAT: SAT VIDE ITS ORDER DATED 29/06/2018 ALLOWED THE APPEAL AND SET ASIDED IMPUGNED ORDER DATED 08/12/2016. NO COSTS
|
| 220 |
|
|
FAIRWEALTH SECURITIES LTD.
(PAN:AAACF8795N)
|
|
|
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 FURTHER 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 29/04/2013 VACATED WITH IMMEDIATE EFFECT, ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 28/07/2009 AND CONFIRMATION VIDE ORDER DATED 30/10/2009
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 11 of 42
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