| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
BLUE BIRD MERCANTILES PVT.LTD.
(PAN:AABCB0735D)
|
|
|
INDULGED IN CREATION OF FALSE OR MISLEADING APPEARANCE OF TRADING VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
INDULGED IN CREATION OF FALSE OR MISLEADING APPEARANCE OF TRADING TO MAKE DELISTING OFFER SUCCESSFUL VIOLATING REGULATIONS 4(5)(A) TO 4(5)(C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE INDUSTRIES 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 28-MAY-2021 TO 27-MAY-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAY-2021
|
|
| 202 |
|
|
BLUE SKY COURIER & CARGO PVT.LTD.
(PAN:AABCB6999D)
|
|
|
INDULGED IN FUNDING IN FRAUDULENT MANNER THROUGH ITS SUBSIDIARIES/ASSOCIATED/CONNECTED ENTITIES, SUBSCRIPTION TO PREFERENTIAL ALLOTMENT OF WARRANTS AND CONVERSION OF WARRANTS INTO EQUITY SHARES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF HASTI FINANCE LTD.
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JUL-2022
|
|
| 203 |
|
|
BOMBAY DYEING & MANUFACTURING CO.LTD.,THE
(PAN:AAACT2328K)
(Along with : SCAL SERVICES LTD.)
|
|
|
|
DURGESH MEHTA
PAN:AAKPM9703A
|
|
|
JEHANGIR NUSLI WADIA
PAN:AAAPW0989N
|
|
|
N.H.DATANWALA
PAN:AACPD5729K
|
|
|
NESS NUSLI WADIA
PAN:AAAPW0814G
|
|
|
NUSLI NEVILLE WADIA
PAN:AAAPW0990M
|
|
|
R.CHANDRASEKHARAN
PAN:AABPC3516A
|
|
|
SHAILESH KARNIK
PAN:AISPK4123A
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF BOMBAY DYEING & MANUFACTURING CO.LTD. AND SUBSIDIARIES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(D), 4(1), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BOMBAY DYEING & MANUFACTURING CO.LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2022 TO 20-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2022 TO 20-OCT-2023
IMPOSED PENALTY RS.75,00,000
21-OCT-2022
|
|
| 204 |
|
|
BOMBAY DYEING & MANUFACTURING CO.LTD.,THE
(PAN:AAACT2328K)
(Along with : SCAL SERVICES LTD.)
|
|
|
|
DURGESH MEHTA
PAN:AAKPM9703A
|
|
|
JEHANGIR NUSLI WADIA
PAN:AAAPW0989N
|
|
|
N.H.DATANWALA
PAN:AACPD5729K
|
|
|
NESS NUSLI WADIA
PAN:AAAPW0814G
|
|
|
NUSLI NEVILLE WADIA
PAN:AAAPW0990M
|
|
|
R.CHANDRASEKHARAN
PAN:AABPC3516A
|
|
|
SHAILESH KARNIK
PAN:AISPK4123A
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF BOMBAY DYEING & MANUFACTURING CO.LTD. AND SUBSIDIARIES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(D), 4(1), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BOMBAY DYEING & MANUFACTURING CO.LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF BOMBAY DYEING & MANUFACTURING CO.LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY DYEING & MANUFACTURING CO.LTD.
|
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 21-OCT-2022 TO 20-OCT-2023
21-OCT-2022
|
|
| 205 |
|
|
BOMBAY DYEING & MANUFACTURING CO.LTD.,THE
(PAN:AAACT2328K)
|
|
|
|
DURGESH MEHTA
PAN:AAKPM9703A
|
|
|
JEHANGIR NUSLI WADIA
PAN:AAAPW0989N
|
|
|
NESS NUSLI WADIA
PAN:AAAPW0814G
|
|
|
NUSLI NEVILLE WADIA
PAN:AAAPW0990M
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF BOMBAY DYEING & MANUFACTURING CO.LTD. AND SUBSIDIARIES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(D), 4(1), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BOMBAY DYEING & MANUFACTURING CO.LTD.
DID NOT MAKE DISLOSURE OF RELATED PARTY TRANSACTION WITH SCAL SERVICES LTD. VIOLATING CLAUSE 49(VIII)A(1) OF ERSTWHILE LISTING AGREEMENT AND REGULATIONS 27(2)(B) READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2022 TO 20-OCT-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2022 TO 20-OCT-2024
IMPOSED PENALTY RS.2,25,00,000
21-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 10/11/2022 DIRECTED RESPONDENT TO FILE THE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. DIRECTED THAT EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER AND REPLY, IF ANY, TO BE FILED WITHIN 3 DAYS
SAT: SAT VIDE ITS ORDER DATED 10/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 16/01/2026 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 21/10/2022. PENALTY AMOUNT IF ANY, PAID BY APPELLANTS TO BE REFUNDED WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. DISMISSED THE APPEAL. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 29/01/2026 DISMISSED THE APPEAL AS WITHDRAWN
|
| 206 |
|
|
BRIGHT SECURITIES
(PAN:AWWPK8525E)
|
|
|
|
SATENDRA KUMAR
DIN:02151566
PAN:AWWPK8525E
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS 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 ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS 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 ECO FRIENDLY FOOD PROCESSING PARK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TO 22-DEC-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TO 22-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUN-2015
|
SEBI VIDE ITS ORDER DATED 14/06/2016 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 29/06/2015
SEBI VIDE ITS ORDER DATED 17/02/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FREEZE
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) RESTRAINT THE EXISTING HOLDING OF SECURITIES INCLUDING THE UNITS OF MUTUAL FUNDS REMAIN UNDER FREEZE
|
| 207 |
|
|
BRIGHT SECURITIES
(PAN:AWWPK8525E)
|
|
|
|
SATENDRA KUMAR
DIN:02151566
PAN:AWWPK8525E
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS 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 ECO FRIENDLY FOOD PROCESSING PARK LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 17/09/2024 DIRECTED TO PAY RS.7,63,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/05/2025 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 01/07/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.8,23,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 208 |
|
|
BRIGHT SECURITIES
(PAN:BNBPK2681L)
|
|
|
|
RAJ KUMAR
PAN:BNBPK2681L
|
|
MISUTILIZED MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS 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.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-DEC-2020 TO 21-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-DEC-2020 TO 21-DEC-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-DEC-2020
|
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 209 |
|
|
BRIGHT SECURITIES
(PAN:AWWPK8525E)
|
|
|
|
SATENDRA KUMAR
DIN:02151566
PAN:AWWPK8525E
|
|
INDULGED IN DIVERSION OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ESTEEM BIO FOOD PROCESSING LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2022
|
SEBI VIDE ITS NOTICE DATED 16/08/2023 DIRECTED TO PAY RS.5,86,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 03/02/2025 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 16/07/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.7,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 210 |
|
|
BRIGHT SECURITIES
(PAN:BNBPK2681L)
|
|
|
|
RAJ KUMAR
PAN:BNBPK2681L
|
|
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.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-FEB-2022
|
SEBI VIDE ITS NOTICE DATED 29/07/2022 DIRECTED TO PAY RS.10,61,000.00 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 BRIGHT SECURITIES & MR.RAJ KUMAR TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 211 |
|
|
BRIGHTCOM GROUP LTD.
(PAN:AAACL5827B)
|
|
|
|
LAXMINARAYANA RAJU SINGARAJU
PAN:BHCPS1066C
|
|
|
M.SURESH KUMAR REDDY
PAN:AOOPM8696J
|
|
|
SUBRATO SAHA
PAN:AFOPS1470F
|
|
DID NOT COLLECT ADEQUATE CONSIDERATION WHILE MAKING PREFERENTIAL ALLOTMENTS AS WELL AS TO CAMOUFLAGE ROUND-TRIPPING OF FUNDS TO THE ALLOTTEES THROUGH SUBSIDIARIES AND CONDUIT ENTITIES AND DIVERSION OF CO’S FUNDS TO MR.M.SURESH KUMAR REDDY AND OTHERS
MISREPRESENTED AND MISSTATED BOOKS OF ACCOUNTS
|
DIRECTED TO PLACE COPY OF THE ORDER BEFORE ITS BOARD OF DIRECTORS
DIRECTED TO ENSURE P.MURALI & CO. AND PCN & ASSOCIATES INCLUDING THEIR PAST AND PRESENT PARTNERS ARE NOT ENGAGED WITH BRIGHTCOM GROUP LTD. OR ITS SUBSIDIARIES IN ANY CAPACITY OR MANNER WHATSOEVER
22-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 11/12/2023 CONDONED THE DELAY IN FILING OF APPEAL AND RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/01/2024 DISPOSED OF THE MISC.APPLICATION WITHOUT ANY INTERFERENCE IN THE IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 09/02/2024 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 28/02/2024 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/08/2023
SAT: SAT VIDE ITS ORDER DATED 04/03/2024 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/12/2024 GRANTED APPELLANT TWO WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 02/01/2025 DIRECTED APPELLANTS TO FILE REJOINDER BY 01/02/2025
|
| 212 |
|
|
BUDHISAGAR SHARES & SERVICES PVT.LTD.
(PAN:AADCB7966J)
|
|
|
INDULGED IN SIPHONING OFF IPO PROCEEDS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.7,00,000
31-MAY-2022
|
|
| 213 |
|
|
BURNPUR CEMENT LTD.
(PAN:AACCA1999B)
|
|
|
DID NOT PREPARE FINANCIAL STATEMENTS AS REQUIRED UNDER INDAS 37 VIOLATING REGULATIONS 4(1)(A), 4(1)(B) AND 4(1)(E) AND 48 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES ABOUT DIFFERENT ACCOUNTING TREATMENT IN FINANCIAL STATEMENTS TOGETHER WITH MANAGEMENT’S EXPLANATION AND DID NOT PUBLISH TRUE AND FAIR FINANCIAL STATEMENTS VIOLATING REGULATIONS 30(4)(I)(B) READ WITH CLAUSE 8 OF PARA B OF PART A OF SCHEDULE III READ WITH REGULATIONS 30(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES WITH RESPECT INCOME TAX ORDERS VIOLATING CLAUSE 2 OF PART B OF SCHEDULE V READ WITH REGULATION 34(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES ABOUT DIFFERENT ACCOUNTING TREATMENT IN FINANCIAL STATEMENTS TOGETHER WITH MANAGEMENT’S EXPLANATION AND DID NOT PUBLISH TRUE AND FAIRE FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.6,00,000
14-JUN-2023
|
|
| 214 |
|
|
BW TRADERS
(PAN:AAXFB6487H)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING THE TRADES OF MARCELLUS GROUP ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2) (Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.76,14,002, DISGORGEMENT AMOUNT RS.90,52,981 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 03-OCT-2025 TO 02-APR-2026
03-OCT-2025
|
|
| 215 |
|
|
CAIRN INDIA LTD.
(PAN:AACCC8799D)
|
|
|
|
AMAN MEHTA
PAN:AHYPM9934A
|
|
|
NEERJA SHARMA
PAN:ACAPS7395A
|
|
|
P.ELANGO
PAN:AAAPE0115G
|
|
MADE PUBLIC ANNOUNCEMENT OF BUYBACK WITHOUT ANY INTENT TO FULFIL VIOLATING REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
MADE PUBLIC ANNOUNCEMENT OF BUYBACK WITHOUT ANY INTENT TO FULFIL VIOLATING REGULATION 19(1)(A) OF SEBI (BUYBACK OF SECURITIES) REGULATIONS, 1998
|
IMPOSED PENALTY RS.5,25,00,000
19-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/10/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 19/05/2021
|
| 216 |
|
|
CALS REFINERIES LTD.
(CIN:L51909DL1984PLC018775
PAN:AAACC0069N)
|
|
|
|
DEEP KUMAR RASTOGI
PAN:AAAPR5029C
|
|
|
DEVANATHAN SUNDARARAJAN
PAN:AAVPS8671G
|
|
|
GAGAN DEEP KUMAR RASTOGI
PAN:AAFPR0532F
|
|
|
RAVI CHILIKURI
DIN:02076802
|
|
|
SANJAY RAI MALHOTRA
PAN:AAQPM1219H
|
|
|
SARVESH KUMAR GOORHA
PAN:AAGPG8310D
|
|
INDULGED IN ISSUANCE OF 78,80,000 GDRS AMOUNTING TO USD 200 MN. GDRS THROUGH FINANCE OBTAINED FROM BANCO EFISA, LISBON FOR SUBSCRIPTION OF GDR AND PLEDGED GDR WITH BANCO EFISA, LISBON VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(2)(C), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.10,05,00,000
24-DEC-2021
|
|
| 217 |
|
|
CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
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 COMBINE HOLDING 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 COMBINE HOLDING 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)
07-SEP-2022
|
|
| 218 |
|
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CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
|
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MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
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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 UNDERTAKE TO EXTEND EXIT OFFER BY ISSUANCE OF INDIVIDUAL NOTICES,
UNDER SPEED POST, DIRECTLY TO THE REMAINING PUBLIC SHAREHOLDERS OF SAHU JAIN LTD. AT THE SAME EXIT PRICE AS WAS OFFERED IN 2019 IN RESPECT OF CAMAC COMMERCIAL CO.LTD.)
07-SEP-2022
|
|
| 219 |
|
|
CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
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
|
| 220 |
|
|
CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT AND REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19A(1) OF SCRR, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH PROVISION OF 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
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 CAMAC COMMERCIAL CO.LTD.
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DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE
DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR
IMPOSED PENALTY RS.11,00,00,000
28-MAR-2023
|
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
|
| 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 58
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