| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
HINDUSTAN TOOLS & FORGINGS LTD.
|
|
|
|
ABHA GOYAL
|
|
|
ARVIND JAIN
|
|
|
AVTAR SINGH WALIA
|
|
|
MANPREET SINGH
|
|
|
MEHAR SINGH AHLUWALIA
|
|
|
PAWAN KUMAR SHARMA
|
|
|
RESH GOYAL
|
|
|
S.R.SODHANI
|
|
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
HINDUSTAN TOOLS & FORGINGS LTD. NOT PHYSICALLY TRACEABLE AT THE REGISTERED OFFICE ADDRESS
DID NOT ADHERE TO LISTING AGREEMENT
|
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 06-AUG-2004 TO 05-AUG-2009
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-AUG-2004 TO 05-AUG-2009
06-AUG-2004
|
|
| 202 |
|
|
HINDUSTAN WIRES LTD.
(PAN:AAACH7565G)
|
|
|
DELAY IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
IMPOSED PENALTY RS.2,20,000
29-DEC-2017
|
|
| 203 |
|
|
HIRAN ORGOCHEM LTD.
(PAN:AAACH0977J)
|
|
|
|
ARUN RAMSWAROOP PANCHARIYA
PAN:AEVPP6125N
|
|
|
KANTILAL MANGALCHAND HIRAN
PAN:AAUPH7660P
|
|
|
MUKESH BABULAL CHAURADIYA
PAN:AAVPC0966A
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT ADHERE TO ACCOUNTING STANDARD ON CASH FLOW STATEMENT (AS-3) VIOLATING CLAUSES 36(7), 32 AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,25,00,000
17-JUN-2020
|
|
| 204 |
|
|
HI-TECH WINDING SYSTEMS LTD.
|
|
|
|
ANKUR KHETAN
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 205 |
|
|
HI-TECH WINDING SYSTEMS LTD.
|
|
|
|
ASHOKKUMAR BANDOPADHYAY
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUL-1999 TO 18-JUL-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUL-1999 TO 18-JUL-2004
19-JUL-1999
|
|
| 206 |
|
|
HI-TECH WINDING SYSTEMS LTD.
|
|
|
|
GIRIRAJ KISHORE SHARMA
|
|
|
HARI PRASAD KHETAN
|
|
|
NITESH KHETAN
|
|
|
USHA KHETAN
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 207 |
|
|
HITESH TEXTILE MILLS LTD.
|
|
|
|
HITESH B.RAVAL
|
|
|
SATISH SINGHAL
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 208 |
|
|
HITESH TEXTILE MILLS LTD.
|
|
|
|
PRITI H.RAVAL
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 209 |
|
|
HORIZON INFRASTRUCTURE LTD.
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(A) TO (D), 4 (1), 4 (2) (F) AND 4 (2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 12A (A) TO (C) OF SEBI ACT, 1992 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
ALLEGED VIOLATION OF CLAUSES 31, 35 AND 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 210 |
|
|
HOTEX CO.LTD.
(PAN:AAACH2330M)
(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
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 211 |
|
|
HPC BIOSCIENCES LTD.
(PAN:AABCH6762Q)
|
|
|
|
ARUN KUMAR GUPTA
PAN:AAKPG5996K
|
|
|
MADHU ANAND
PAN:AXTPA8813F
|
|
|
SAKSHI SAXENA
PAN:BLRPS4522G
|
|
|
TARUN CHAUHAN
PAN:AGXPC3049G
|
|
ACTED FRAUDULENTLY TO LIST SCRIP OF THE COMPANY AND SUBSEQUENTLY DIVERT THE IPO PROCEEDS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF HPC BIOSCIENCES LTD.
INDULGED IN CONSPIRACY TO ACHIEVE MINIMUM SUBSCRIPTION OF IPO AND ONCE THE SAID PLAN WAS SUCCESSFUL, FUNDS WERE TRANSFERRED BACK TO THE ENTITIES WHO FUNDED THE IPO VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF HPC BIOSCIENCES LTD.
INDULGED IN CONSPIRACY TO ACHIEVE MINIMUM SUBSCRIPTION OF IPO AND ONCE THE SAID PLAN WAS SUCCESSFUL, FUNDS WERE TRANSFERRED BACK TO THE ENTITIES WHO FUNDED THE IPO VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF HPC BIOSCIENCES LTD.
DID NOT SUBMIT REQUIRED INFORMATION/DOCUMENTS IN RESPECT TO TRANSFER OF FUNDS BY COMPANY FROM IPO PROCEEDS IN MATTER OF IPO OF HPC BIOSCIENCES LTD.
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND GAVE WRONG DISCLOSURES WITH RESPECT TO IPO PROCEED IN HALF YEARLY DISCLOSURE VIOLATING CLAUSES 45 AND 46 OF THE LISTING AGREEMENT FOR SMES READ WITH SECTION 21 OF SCRA ACT, 1956
|
IMPOSED PENALTY RS.25,00,000
25-FEB-2022
|
SEBI VIDE ITS NOTICE DATED 29/07/2022 DIRECTED TO PAY RS.26,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 17/08/2022 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 ORDER DATED 05/09/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF HPC BIOSCIENCES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 212 |
|
|
I C P SECURITIES LTD.
|
|
|
|
PREETI AGGARWALA
|
|
|
RANBIR SALUJA
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 213 |
|
|
ICHALKARANJI SOYA LTD.
|
|
|
|
VITHAL MAHADU RAUT
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUL-1999 TO 18-JUL-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUL-1999 TO 18-JUL-2004
19-JUL-1999
|
|
| 214 |
|
|
ICHALKARANJI SOYA LTD.
|
|
|
|
ANNA PARIS CHOUGULE
|
|
|
SHAMGONDA BABGONDA PATIL
|
|
|
SUDHIR B.GOLANGADE
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 215 |
|
|
ICICI BANK LTD.
(PAN:AAACI1195H)
|
|
|
|
SANDEEP BATRA
PAN:ACRPB7391N
|
|
DELAY IN MAKING DISCLOSURE OF BINDING IMPLEMENTATION AGREEMENT SIGNED BETWEEN DOMINANT SHAREHOLDERS OF ICICI BANK LTD. AND BANK OF RAJASTHAN LTD. AS REQUIRED UNDER REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BANK OF RAJASTHAN LTD. (NOW MERGED WITH ICICI BANK LTD.)
DELAY IN MAKING DISCLOSURE OF BINDING IMPLEMENTATION AGREEMENT SIGNED BETWEEN DOMINANT SHAREHOLDERS OF ICICI BANK LTD. AND BANK OF RAJASTHAN LTD. AS REQUIRED UNDER CLAUSE 36 OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BANK OF RAJASTHAN LTD. (NOW MERGED WITH ICICI BANK LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 08/07/2020 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO WARNING. NO COSTS
|
| 216 |
|
|
IL&FS TRANSPORTATION NETWORKS LTD.
(PAN:AABCC5460A)
|
|
|
|
DILIP BHATIA
PAN:ABEPB7695P
|
|
|
KRISHNA GHAG
DIN:02491661
|
|
|
RAMCHAND KARUNAKARAN
PAN:AAAPR4142A
|
|
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 2(I) OF UNIFORM LISTING AGREEMENT DATED 24/11/2015
DID NOT OBTAIN PRIOR APPROVAL OF AUDIT COMMITTEE FOR RELATED PARTY TRANSACTIONS VIOLATING CLAUSE 49(VII)(D) OF ERSTWHILE EQUITY LISTING AGREEMENT UP TILL 30/11/2015
|
IMPOSED PENALTY RS.1,00,00,000
15-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 02/11/2022 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED THE EFFECT AND OPERATION OF THE IMPUGNED ORDER AGAINST ALL THE APPELLANTS TILL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 05/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 217 |
|
|
ILAC INVESTMENT PVT.LTD.
(PAN:AAACI1924Q)
(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
|
DIRECTIONS ISSUED VIDE ORDER DATED 20/04/2009 REVOKED WITH IMMEDIATE EFFECT VIDE ORDER DATED 14/03/2011
|
| 218 |
|
|
INDIABULLS FINANCIAL SERVICES LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF INDIABULLS EMPLOYEES WELFARE TRUST
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,39,900 VIDE CONSENT ORDER)
27-OCT-2017
|
|
| 219 |
|
|
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
|
|
| 220 |
|
|
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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 11 of 28
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