| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
INDIAN INFOTECH & SOFTWARE LTD.
(CIN:L70100MH1982PLC027198
PAN:AAACI0350E)
|
|
|
|
VARSHA MURAKA (AKA.VARSHA PODDAR)
PAN:ARCPM7606B
|
|
|
VARSHA PODDAR (AKA.VARSHA MURARKA)
PAN:ARCPM7606B
|
|
MISREPRESENTED FINANCIAL STATEMENTS AND MISUSED FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
MISREPRESENTED FINANCIAL STATEMENTS AND MISUSED FUNDS/BOOKS OF ACCOUNTS VIOLATING REGULATION 4(2)(F)(II), (6), (7), 4(2)(F)(III), (1), (3) AND (12) OF SEBI (LODR) REGULATIONS, 2015
DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR
MISREPRESENTED FINANCIAL STATEMENTS AND MISUSED FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTION 21 OF SCRA, 1956 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
|
IMPOSED PENALTY RS.5,00,000
30-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 04/01/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.5 LAC FROM RS.13 LAC
|
| 202 |
|
|
INDIAN INFOTECH & SOFTWARE LTD.
(CIN:L70100MH1982PLC027198
PAN:AAACI0350E)
|
|
|
|
VARSHA MURAKA (AKA.VARSHA PODDAR)
PAN:ARCPM7606B
|
|
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING REGULATIONS 4(1)(C), (E) & (G), 4(2)(F)(I)(2), 4(2)(F)(II)(6), 7, 4(2)(F)(III)(1), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING REGULATIONS 4(1), 4(2)(F) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING SECTION 21 OF SCRA, 1956 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT COOPEARATE WITH FORENSIC AUDITOR APPOINTED BY BSE AND DID NOT PROVIDE ANY EVIDENCE TO SUBSTANTIATE FINANCIAL TRANSACTIONS AND STATEMENTS OF COMPANY VIOLATED SECTION 24 (2) READ WITH 27 OF SEBI ACT, 1992 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
|
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 12-NOV-2020 TO 11-FEB-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-NOV-2020
|
|
| 203 |
|
|
INDIAN INFOTECH & SOFTWARE LTD.
(CIN:L70100MH1982PLC027198
PAN:AAACI0350E)
|
|
|
|
HARISH JOSHI
PAN:ADYPJ1327J
|
|
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING REGULATIONS 4(1)(C), (E) & (G), 4(2)(F)(I)(2), 4(2)(F)(II)(6), 7, 4(2)(F)(III)(1), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING REGULATIONS 4(1), 4(2)(F) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING SECTION 21 OF SCRA, 1956 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT COOPEARATE WITH FORENSIC AUDITOR APPOINTED BY BSE AND DID NOT PROVIDE ANY EVIDENCE TO SUBSTANTIATE FINANCIAL TRANSACTIONS AND STATEMENTS OF COMPANY VIOLATED SECTION 24 (2) READ WITH 27 OF SEBI ACT, 1992 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
|
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 12-NOV-2020 TO 11-MAY-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-NOV-2020
|
|
| 204 |
|
|
INDIAN INFOTECH & SOFTWARE LTD.
(CIN:L70100MH1982PLC027198
PAN:AAACI0350E)
|
|
|
|
KAMAL NAYAN SHARMA
PAN:BFFPS8269J
|
|
|
MUKUND BHARDWAJ
PAN:AHHPB0587H
|
|
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING REGULATIONS 4(1)(C), (E) & (G), 4(2)(F)(I)(2), 4(2)(F)(II)(6), 7, 4(2)(F)(III)(1), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING REGULATIONS 4(1), 4(2)(F) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING SECTION 21 OF SCRA, 1956 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
|
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 12-NOV-2020 TO 11-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-NOV-2020
|
|
| 205 |
|
|
INDITALIA REFCON LTD.
(PAN:AAACI1128G)
|
|
|
ISSUED DUPLICATE PHYSICAL SHARES AGAINST SHARES WHICH WERE ALREADY DEMATERIALIZED WITHOUT ANY REMATERIALISATION REQUEST
DID NOT INTIMATE ABOUT MISMATCH OBSERVED IN SHARE RECONCILIATION
DID NOT UPDATE DISTINCTIVE NUMBER (DN) DATABASE AND DID NOT INITIATE ADEQUATE ACTION TOWARDS MATCHING RECORDS OF SHARE CAPITAL
DID NOT MAINTAIN RECORDS OF HOLDERS OF SECURITIES, HANDLING OF PHYSICAL SECURITIES AND TRANSFER OF SECURITIES WITH DEPOSITORIES
DID NOT ADHERE TO COMMON AGENCY REQUIREMENT VIOLATING REGULATION 7(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT CO-OPERATE AND DID NOT SUBMIT CORRECT AND ADEQUATE INFORMATION TO INTERMEDIARIES REGISTERED WITH BOARD TO SHARE TRANSFER AGENTS ETC. VIOLATING REGULATION 8 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,00,000
28-MAR-2024
|
|
| 206 |
|
|
INFO-DRIVE SOFTWARE LTD.
(CIN:L36999TN1988PLC015475
PAN:AAACI9430R)
|
|
|
|
SMITHA RAMCHANDRAN
PAN:BCTPS0396F
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF (INFO-DRIVE) VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(2) (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INFO-DRIVE SOFTWARE LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF INFO-DRIVE SOFTWARE LTD.
|
IMPOSED PENALTY RS.1,00,000
26-OCT-2021
|
|
| 207 |
|
|
INFO-DRIVE SOFTWARE LTD.
(CIN:L36999TN1988PLC015475
PAN:AAACI9430R)
|
|
|
|
JAFFER SADIQ AMEER
DIN:06523268
PAN:AMPPJ4894A
|
|
|
LAKSHMI SANKARAKRISHNAN
PAN:ADYPR6395Q
|
|
|
PRAMOD MANOHARLAL JAIN
PAN:AFHPJ5633E
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF (INFO-DRIVE) VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(2) (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INFO-DRIVE SOFTWARE LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF INFO-DRIVE SOFTWARE LTD.
|
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 26-OCT-2021 TO 25-APR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.7,00,000
26-OCT-2021
|
|
| 208 |
|
|
INFO-DRIVE SOFTWARE LTD.
(CIN:L36999TN1988PLC015475
PAN:AAACI9430R)
|
|
|
|
MURUGAVEL KARUNANIDHI
PAN:AKIPM9312K
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF (INFO-DRIVE) VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(2) (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INFO-DRIVE SOFTWARE LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF INFO-DRIVE SOFTWARE LTD.
|
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 25-NOV-2022 TO 29-DEC-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.2,00,000
26-OCT-2021
|
|
| 209 |
|
|
INFO-DRIVE SOFTWARE LTD.
(CIN:L36999TN1988PLC015475
PAN:AAACI9430R)
|
|
|
|
A.S.GIRIDHAR
PAN:AFKPG7553D
|
|
DID NOT SUBMIT SHAREHOLDING PATTERN VIOLATING REGULATION 31(1) (ERSTWHILE CLAUSE 35) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DID NOT SUBMIT ANNUAL REPORT (HARD COPY) VIOLATING REGULATION 34(1) (ERSTWHILE CLAUSE 31) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DID NOT SUBMIT STATEMENT OF INVESTOR'S COMPLAINTS TO STOCK EXCHANGES VIOLATING REGULATION 13(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT CORPORATE GOVERNANCE REPORT VIOLATING REGULATION 27(2) (A) (ERSTWHILE CLAUSE 49) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DID NOT FILE QUARTERLY FINANCIAL RESULTS VIOLATING REGULATION 33(3)(A) OF SEBI (LODR) REGULATIONS, 2015
DID NOT APPOINT STATUTORY AUDITOR HOLDS VALID PEER REVIEW CERTIFICATE ISSUED BY ICAI VIOLATING REGULATION 33(1)(D) OF SEBI (LODR) REGULATIONS, 2015
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
INDULGED IN MISREPRESENTATION OF FINANCIALS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS
PAID MINISCULE INTEREST ON BORROWINGS AND DID NOT MAKE DISCLOSURE REGARDING PURPOSE OF BORROWINGS, RATE OF BORROWINGS AND DETAILS OF LENDERS ETC.
DID NOT PROVIDE SUPPORTING DOCUMENTS FOR HIGH VALUE BANK TRANSACTIONS
DID NOT MAKE DISCLOSURE REGARDING CHANGE OF OFFICE ADDRESS TO STOCK EXCHANGES VIOLATING REGULATION 30(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF CORPORATE GUARANTEE UNDER CONTINGENT LIABILITIES IN FINANCIAL STATEMENTS
MADE MISREPRESENTATION IN FINANCIAL STATEMENTS AND ANNUAL REPORT VIOLATING REGULATION 4(1)(C) OF SEBI (LODR) REGULATIONS, 2015
MADE MISREPRESENTATION OF CLAIM OF REVIVAL OF OPERATIONS OF ITS U.S.SUBSIDIARY IN ANNUAL REPORT VIOLATING REGULATION 4(1)(C) OF (SEBI) LODR REGULATIONS, 2015
MISMATCH IN CLOSING AND OPENING BALANCES OF RESERVES & SURPLUS
AND DID NOT NOT SHOW BALANCE OF FOREIGN CURRENCY TRANSLATION RESERVE IN CONSOLIDATED FINANCIAL STATEMENTS VIOLATING REGULATION 48 OF (SEBI) LODR REGULATIONS, 2015
DID NOT FORM PART OF CONSOLIDATED FINANCIAL STATEMENTS, INCONSISTENCIES IN TREATMENT OF ACCOUNTING OF IMPAIRMENT OF GOODWILL ACROSS YEARS AND FAILED TO PROVIDE EXPLANATION FOR SAME OR EVEN PROVIDE COPY OF ANNUAL REPORT FOR VERIFYING SUBMISSIONS VIOLATING REGULATIONS 4(1)(A) AND (C) OF (SEBI) LODR REGULATIONS, 2015
APPOINTED MR.V.N.SESHAGIRI RAO AS INDEPENDENT DIRECTOR HAVING PECUNIARY RELATIONSHIP WITH COMPANY VIOLATING REGULATION 16(1)(B)(VI) OF SEBI (LODR) REGULATIONS, 2015
APPOINTED MR.V.N.SESHAGIRI RAO INDEPENDENT DIRECTOR APPOINTED CHAIRPERSON OF AUDIT COMMITTEE VIOLATING REGULATION 18(1)(D) OF SEBI (LODR) REGULATIONS, 2015
DID NOT DEPOSIT REGULAR INCOME TAX DUES AND TAX DEDUCTED AT SOURCE (TDS) VIOLATING REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015
DID NOT DISSEMINATE POLICY FOR DETERMINATION OF MATERIALITY OF EVENT AND INFORMATION VIOLATING OF REGULATION 30(4)(II) OF CHAPTER IV OF SEBI (LODR) REGULATIONS, 2015
DID NOT DISSEMINATE DETAILS OF ITS BUSINESS, TERMS AND CONDITIONS OF APPOINTMENT OF INDEPENDENT DIRECTORS, FINANCIAL RESULTS, COMPLETE COPY OF THE ANNUAL REPORT INCLUDING BALANCE SHEET, PROFIT AND LOSS ACCOUNT, DIRECTORS REPORT, CORPORATE GOVERNANCE REPORT ETC. ON ITS WEBSITE VIOLATING REGULATIONS 46(2)(A) AND (B) OF CHAPTER III OF SEBI (LODR) REGULATIONS, 2015
DID NOT DISSEMINATE FINANCIAL INFORMATION LIKE FINANCIAL RESULTS, ANNUAL REPORT, SHAREHOLDING PATTERN AND CORPORATE GOVERNANCE ON ITS WEBSITE VIOLATING REGULATION 46(2)(L) OF CHAPTER III OF SEBI (LODR) REGULATIONS, 2015
DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR
|
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 26-OCT-2021 TO 25-OCT-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.40,00,000
26-OCT-2021
|
|
| 210 |
|
|
INFOSYS LTD.
(PAN:AAACI4798L)
|
|
|
ALLEGED VIOLATION OF CLAUSE 49(IV) (B)(1) OF LISTING AGREEMENT READ WITH REGULATION 19(4) READ WITH SCHEDULE II PAR (D)(A) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
ALLEGED VIOLATION OF CLAUSE 49(VII)(D) OF LISTING AGREEMENT READ WITH REGULATION 23(2) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
ALLEGED VIOLATION OF CLAUSE 36 OF LISTING AGREEMENT READ WITH CALUSES 49(I)(A)(2), 49(I)(C)(1) AND 49(I)(D)(1)(B) OF LISTING AGREEMENT READ WITH REGULATIONS 4(2)(B), 4(2)(E) AND 4(2)(F)(2) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
ALLEGED VIOLATION OF REGULATION 30(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 READ WITH REGULATIONS 30(4)(I)(B), 4(1)(D),(E),(H)(I) AND 4(2)(B) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
ALLEGED VIOLATION OF REGULATION 30(3) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 READ WITH REGULATION 30(4)(I)(B), CLAUSE 8 UNDER PARA B OF PART A OF SCHEDULE III, REGULATIONS 4(1)(D), (E), (H), (I) AND 4(2)(B) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.34,35,000 VIDE CONSENT ORDER)
15-FEB-2019
|
|
| 211 |
|
|
INFRASTRUCTURE LEASING & FINANCIAL SERVICES LTD.
(PAN:AAACI0989F)
|
|
|
DID NOT MAKE DISCLOSURE TO BSE REGARDING SPECIFIC ASSET DISINVESTMENT PLAN VIOLATING CLAUSES A(14) (B) AND A(16) OF PART B OF SCHEDULE III READ WITH REGULATION 51 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF RAISING EQUITY CAPITAL BY WAY OF RIGHTS ISSUE VIOLATING SECTION 11A(2) OF SEBI ACT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
|
IMPOSED PENALTY RS.10,00,000
18-SEP-2019
|
|
| 212 |
|
|
INSPIRISYS SOLUTIONS LTD.
(PAN:AAACA5622M)
|
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A(A) TO 12A)C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(C) TO 3(D), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF INSPIRISYS SOLUTIONS LTD. (FORMERLY KNOWN AS ACCEL FRONTLINE LTD.)
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING CLAUSE 41 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF INSPIRISYS SOLUTIONS LTD. (FORMERLY KNOWN AS ACCEL FRONTLINE LTD.)
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING REGULATION 30 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF INSPIRISYS SOLUTIONS LTD. (FORMERLY KNOWN AS ACCEL FRONTLINE LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
IMPOSED PENALTY RS.10,00,000
20-SEP-2023
|
|
| 213 |
|
|
INTEGRA SWITCHGEAR LTD.
(PAN:AAACI4316G)
|
|
|
SUBMITTED INCORRECT SHAREHOLDING PATTERN TO STOCK EXCHANGES
RECLASSIFIED PROMOTERS AS PUBLIC WITHOUT APPROVAL IN MATTER OF MR.HARESH AND MS.HEENA SHAH VIOLATING REGULATIONS 31(1)(B) READ WITH 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO RECLASSIFICATION PROCEDURE VIOLATING REGULATION 31A (2) OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED FACTS AS REGARDS FILING APPLICATION OF RECLASSIFICATION WITH STOCK EXCHANGES VIOLATING REGULATION 4 (1) (C) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF MATERIAL EVENT TO STOCK EXCHANGES VIOLATING REGULATION 31A(7) (C) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000
30-OCT-2026
|
|
| 214 |
|
|
INTER GLOBE FINANCE LTD.
(CIN:L65999WB1992PLC055265
PAN:AAACI5520N)
|
|
|
|
ANIRBAN DUTTA
PAN:AEEPD2296M
|
|
|
NAVIN JAIN
PAN:ABKPT1935G
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IGFL AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO (D), 4(1), 4(2) (F) AND (R) OF SEBI (PFUTP) REGULATION, 2003 IN MATTER OF INTER GLOBE FINANCE LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IGFL AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INTER GLOBE FINANCE LTD.
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES ABOUT ITS ACQUISITION OF 99% SHARES IN 6 COMPANIES VIOLATING REGULATIONS 36(7)(2) AND CLAUSE 49(1) C (1) OF THE ERSTWHILE LISTING AGREEMENT READ WITH REGULATION 30(6) OF SEBI (LODR) REGULATIONS, 2015
|
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 15-JUN-2021 TO 14-JAN-2022
15-JUN-2021
|
SAT: SAT VIDE ITS ORDER DATED 17/11/2021 CONDONED THE DELAY IN FILING OF APPEAL. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT REJOINDER MAY FILE WITHIN THREE WEEKS THEREAFTER. IN THE EVENT, PENALTY AMOUNT DEPOSITED BY THE APPELLANTS WITHIN THREE WEEKS FROM DATE OF THIS ORDER THE RESTRAINT ORDER TO REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 17/12/2021 CONDONED THE DELAY IN FILING OF APPEAL AND RECALLED ORDER DATED 17/11/2021
|
| 215 |
|
|
INTER GLOBE FINANCE LTD.
(CIN:L65999WB1992PLC055265
PAN:AAACI5520N)
|
|
|
|
ANIRBAN DUTTA
PAN:AEEPD2296M
|
|
|
NAVIN JAIN
PAN:ABKPT1935G
|
|
|
PRITAM KUMAR CHOUDHARY
PAN:ACTPC3216H
|
|
|
SEEMA GUPTA
DIN:01822093
PAN:ADWPG0125H
|
|
|
VIKASH KEDIA
PAN:AFUPK1451N
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IGFL AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO (D), 4(1), 4(2) (F) AND (R) OF SEBI (PFUTP) REGULATION, 2003 IN MATTER OF INTER GLOBE FINANCE LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IGFL AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INTER GLOBE FINANCE LTD.
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES ABOUT ITS ACQUISITION OF 99% SHARES IN 6 COMPANIES VIOLATING REGULATIONS 36(7)(2) AND CLAUSE 49(1) C (1) OF THE ERSTWHILE LISTING AGREEMENT READ WITH REGULATION 30(6) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.9,00,000
15-JUN-2021
|
SAT: SAT VIDE ITS ORDER DATED 17/11/2021 CONDONED THE DELAY IN FILING OF APPEAL. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT REJOINDER MAY FILE WITHIN THREE WEEKS THEREAFTER. IN THE EVENT, PENALTY AMOUNT DEPOSITED BY THE APPELLANTS WITHIN THREE WEEKS FROM DATE OF THIS ORDER THE RESTRAINT ORDER TO REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 17/12/2021 CONDONED THE DELAY IN FILING OF APPEAL AND RECALLED ORDER DATED 17/11/2021
|
| 216 |
|
|
INTER GLOBE FINANCE LTD.
(CIN:L65999WB1992PLC055265
PAN:AAACI5520N)
|
|
|
|
PRITAM KUMAR CHOUDHARY
PAN:ACTPC3216H
|
|
|
SEEMA GUPTA
DIN:01822093
PAN:ADWPG0125H
|
|
|
VIKASH KEDIA
PAN:AFUPK1451N
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IGFL AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO (D), 4(1), 4(2) (F) AND (R) OF SEBI (PFUTP) REGULATION, 2003 IN MATTER OF INTER GLOBE FINANCE LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IGFL AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INTER GLOBE FINANCE LTD.
|
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 15-JUN-2021 TO 14-SEP-2021
15-JUN-2021
|
|
| 217 |
|
|
INTERGLOBE AVIATION LTD.
(PAN:AABCI2726B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF MATERIAL INFORMATION WHICH WAS LIKELY TO HAVE SIGNIFICANT MARKET REACTION VIOLATING REGULATIONS 30(4)(I)(B) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN SHARING CRITICAL INFORMATION TO SHAREHOLDERS VIOLATING REGULATIONS 4(1)(H) AND 4(2)(F)(III)(13) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED MISREPRESENTATION OF FACTS IN ITS RED HERRING PROSPECTUS VIOLATING REGULATIONS 4(1)(C) AND 4(1)(H) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED INDULGENCE IN VARIOUS RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(2) AND 23(3)(D) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,10,37,500 VIDE CONSENT ORDER)
09-FEB-2021
|
|
| 218 |
|
|
INTERNATIONAL CONSTRUCTIONS LTD.
(PAN:AAACI5686F)
|
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT WITHIN STIPULATED TIME VIOLATING CLAUSE 40A OF ERSTWHILE LISTING AGREEMENT READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT WITHIN STIPULATED TIME VIOLATING RULE 19A OF SEBI SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
|
IMPOSED PENALTY RS.5,00,000
24-DEC-2019
|
|
| 219 |
|
|
IRIS MEDIAWORKS LTD.
(CIN:L92412MH1992PLC067841
PAN:AAACB4506D)
|
|
|
|
MITESH JANI
PAN:AZNPJ4914C
|
|
|
RAJENDRA SHARAD KARNIK
PAN:AACPK8192M
|
|
|
SANDESH SAWANT
PAN:AMGPS1282A
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IRIS MEDIAWORKS LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(A), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF IRIS MEDIAWORKS LTD.
|
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 17-NOV-2021 TO 16-NOV-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.20,00,000
17-NOV-2021
|
|
| 220 |
|
|
IRIS MEDIAWORKS LTD.
(CIN:L92412MH1992PLC067841
PAN:AAACB4506D)
|
|
|
|
ALLAN REBELLO
PAN:AABPR3932K
|
|
|
ATUL KUMAR
PAN:BAWPS1169M
|
|
|
KUNAL RANJAN
PAN:AGIPR6637E
|
|
|
NEHA ANUPAM GUPTA
PAN:AIQPG8111Q
|
|
|
RAKESH NAIK
PAN:AMLPN7081K
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IRIS MEDIAWORKS LTD. VIOLATING REGULATIONS 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF IRIS MEDIAWORKS LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IRIS MEDIAWORKS LTD. VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(1) (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF IRIS MEDIAWORKS LTD.
|
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 17-NOV-2021 TO 16-MAY-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.12,00,000
17-NOV-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 11 of 28
|
