| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
CLARENCE INVESTMENT LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SAURASHTRA CEMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,31,500 VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 202 |
|
|
CLOAST TRADE & SERVICES PVT.LTD.
(PAN:AABCC0502H)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF ARCOTECH LTD.
|
IMPOSED PENALTY RS.1,00,000
27-FEB-2026
|
SAT: SAT VIDE ITS ORDER DATED 17/07/2026 CONDONED THE DELAY OF 53 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER AND STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 203 |
|
|
CMS COMPUTERS LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 5.23% SHARES OF KAYCEE INDUSTRIES LTD. AS REQUIRED UNDER REGULATION 3(2) OF SEBI (SAST) REGULATIONS, 2011
|
DIRECTED TO DISINVEST 146 SHARES OF KAYCEE INDUSTRIES LTD. THROUGH SALE TO PARTIES NOT CONNECTED / RELATED IN SMALL LOTS ON BSE WITHIN THREE MONTHS AND TRANSFER ENTIRE PROCEEDS TO INVESTOR PROTECTION AND EDUCATION FUND
05-JAN-2015
|
|
| 204 |
|
|
CMS TRAFFIC SYSTEMS LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 5.23% SHARES OF KAYCEE INDUSTRIES LTD. AS REQUIRED UNDER REGULATION 3(2) OF SEBI (SAST) REGULATIONS, 2011
|
DIRECTED TO DISINVEST 146 SHARES OF KAYCEE INDUSTRIES LTD. THROUGH SALE TO PARTIES NOT CONNECTED / RELATED IN SMALL LOTS ON BSE WITHIN THREE MONTHS AND TRANSFER ENTIRE PROCEEDS TO INVESTOR PROTECTION AND EDUCATION FUND
05-JAN-2015
|
|
| 205 |
|
|
COFFEE DAY ENTERPRISES LTD.
(PAN:AADCC3995L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) AND 29(4) OF SAST REGULATIONS, 2011 IN MATTER OF MINDTREE LTD.
|
IMPOSED PENALTY RS.1,00,000
28-JUN-2022
|
|
| 206 |
|
|
COFFEE DAY TRADING LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) AND 29(4) OF SAST REGULATIONS, 2011 IN MATTER OF MINDTREE LTD.
|
IMPOSED PENALTY RS.1,00,000
28-JUN-2022
|
|
| 207 |
|
|
COFLEXIP STENA OFFSHORE (MAURITIUS) LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF SEAMAC LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
06-DEC-2017
|
|
| 208 |
|
|
COLARADO TRADING CO.LTD.
(PAN:AACCC1700E)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING FOR CHANGE OF MORE THAN 2% OF TOTAL SHAREHOLDING OF MS.URVI JINDAL ALONG WITH PERSONS ACTING IN CONCERT (PACS) VIOLATING REGULATION 29(2) OF SAST REGULATION, 2022 IN MATTER OF SHALIMAR PAINTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,04,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-MAR-2025
|
|
| 209 |
|
|
COLORSHINE HOSIERY PVT.LTD.
(PAN:AAHCC1673R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ELEGANT FLORICULTURE & AGROTECH (INDIA) LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-JAN-2025
|
|
| 210 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-SEP-2024
07-SEP-2022
|
|
| 211 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING SECTIONS 12(A)(A) TO 12A(B) OF SEBI ACT, 1992 READ WITH REGULATION 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PNB FINANCE & INDUSTRIES 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 PNB FINANCE & INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE
DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-MAR-2023 TILL COMPLYING WITH THE MPS REQUIREMENT
IMPOSED PENALTY RS.1,41,00,000
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 26/04/2023 ALLOWED THE APPLICATIONS AND DIRECTED RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS. REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. DIRECTED THAT THE EFFECT AND OPERATION OF IMPUGNED ORDERS TO REMAIN STAYED DURING PENDENCY OF APPEAL AND APPELLANTS TO DEPOSITS 25% OF PENALTY AMOUNT BY WAY OF CASH OR BANK GUARANTEE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 07/11/2024 DIRECTED APPELLANTS TO SUBMIT LETTER TO CGM, CORPORATE FINANCE DEPARTMENT, SEBI WITHIN TEN DAYS FROM DATE OF THIS ORDER AND SEBI TO REPLY/RESPOND WITHIN THIRTY DAYS FROM DATE OF SUBMISSION OF THEIR REQUEST BY THE APPELLANTS
|
| 212 |
|
|
COMFORT INTECH LTD.
(PAN:AAACC5567H)
|
|
|
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 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ONESOURCE TECHMEDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ONESOURCE TECHMEDIA LTD.
|
IMPOSED PENALTY RS.2,00,000
17-JAN-2018
|
|
| 213 |
|
|
COMFORT INTECH LTD.
(PAN:AAACC5567H)
|
|
|
DELAY IN MAKING 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 8K MILES SOFTWARE SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
20-AUG-2018
|
|
| 214 |
|
|
COMPASS TECHNOLOGIES PVT.LTD.
(CIN:U72000DL2000PTC103912
PAN:AABCC5553G)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PRESHA METALLURGICAL LTD.
|
IMPOSED PENALTY RS.1,00,00,000
31-DEC-2015
|
SEBI VIDE ITS NOTICE DATED 11/08/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 18/08/2021 DIRECTED ALL THE BANKS TO REMIT RS.1,67,63,740.00 TO THE EXTENT LYING IN THE ACCOUNT OF COMPAS TECHNOLOGIES PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 215 |
|
|
CONCORD REALTY PVT.LTD.
(PAN:AADCC2990F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF MAHAN INDUSTRIES 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 MAHAN INDUSTRIES LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MAHAN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.9,00,000
30-SEP-2015
|
SEBI VIDE ITS NOTICE DATED 15/03/2016 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
SAT: SAT VIDE ITS ORDER DATED 14/07/2016 QUASHED AND SET ASIDED PENALTY IMPOSED UNDER SECTION ALLEGEDLY VIOLATING 1997 REGULATIONS AND PIT REGULATIONS. PENALTY IMPOSED UNDER SECTION 15A (A) OF SEBI ACT VIOLATING SECTION 11C(3) AND SECTION 11C(5) OF SEBI ACT UPHELD AND DIRECTED TO WITHIN SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 216 |
|
|
CONCORD RESIDENTIAL SCHOOLS (KERALA) PVT.LTD.,THE
(PAN:AABCT6553B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF EVERONN EDUCATION LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1),13(3) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF EVERONN EDUCATION LTD.
|
IMPOSED PENALTY RS.2,00,000
11-OCT-2019
|
|
| 217 |
|
|
CONCURRENT (INDIA) INFRASTRUCTURE LTD.
(PAN:AAACT3165C)
|
|
|
|
K.NIRMALA
PAN:AVQPK6264K
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(A)(2) AND 8(A)(3) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF CONCURRENT (INDIA) INFRASTRUCTURE LTD. (NOW KNOWN AS SHRINIWAS POWER & INFRASTRUCTURE LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READWITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF CONCURRENT (INDIA) INFRASTRUCTURE LTD. (NOW KNOWN AS SHRINIWAS POWER & INFRASTRUCTURE LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF CONCURRENT (INDIA) INFRASTRUCTURE LTD. (NOW KNOWN AS SHRINIWAS POWER & INFRASTRUCTURE LTD.)
DID NOT MAKE 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 CONCURRENT (INDIA) INFRASTRUCTURE LTD. (NOW KNOWN AS SHRINIWAS POWER & INFRASTRUCTURE LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF CONCURRENT (INDIA) INFRASTRUCTURE LTD. (NOW KNOWN AS SHRINIWAS POWER & INFRASTRUCTURE LTD.)
|
IMPOSED PENALTY RS.3,25,000
30-NOV-2012
|
SAT: SAT VIDE ITS ORDER DATED 18/04/2013 MODIFIED SEBI'S ORDER DATED 30/11/2012 BY REDUCING THE PENALTY AMOUNT TO RS.162500 FROM RS.325000. NO COSTS
|
| 218 |
|
|
COROMANDEL INTERNATIONAL LTD.
(PAN:AAACC7852K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,50,000 VIDE CONSENT ORDER)
05-JUN-2015
|
|
| 219 |
|
|
CORONATION BUILDERS & ENGINEERS PVT.LTD.
(PAN:AABCC8667R)
|
|
|
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 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 220 |
|
|
CORPORATE PROFESSIONALS CAPITAL PVT.LTD.
(PAN:AABCC7247B)
|
|
|
DID NOT EXERCISE DUE DILIGENCE AND CARE WHILE PREPARING DRAFT LETTER OF OFFER VIOLATING REGULATION 13 READ WITH CLAUSES 3 & 4 OF SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF MEDICAMEN BIOTECH LTD.
DID NOT EXERCISE DUE DILIGENCE AND CARE WHILE PREPARING DRAFT LETTER OF OFFER VIOLATING REGULATION 27(5) OF SAST REGULATIONS, 2011 IN MATTER OF MEDICAMEN BIOTECH LTD.
|
IMPOSED PENALTY RS.3,00,000
10-OCT-2019
|
SAT: SAT VIDE ITS ORDER DATED 16/04/2021 REJECTED STAY APPLICATION
SAT: SAT VIDE ITS ORDER DATED 16/07/2021 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 25/08/2021 ALLOWED APPELLANT THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/07/2022 DISMISSED THE APPEAL. 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 11 of 55
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