| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
NIKKI GLOBAL FINANCE LTD.
(PAN:AAACN0244L)
|
|
|
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 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000
27-AUG-2020
|
SEBI VIDE ITS NOTICE DATED 07/09/2021 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
SEBI VIDE ITS ORDER DATED 17/09/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNT OF NIKKI GLOBAL FINANCE LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 27/09/2022 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 07/09/2021
SEBI VIDE ITS ORDER DATED 27/09/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.3351 OF 2021 DATED 16/03/2021
|
| 202 |
|
|
NOPANY INVESTMENTS PVT.LTD.
(PAN:AAACN8354R)
|
|
|
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 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHREE HANUMAN SUGAR INDUSTRIES 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 SHREE HANUMAN SUGAR INDUSTRIES LTD.
|
IMPOSED PENALTY RS.3,00,000
15-OCT-2018
|
|
| 203 |
|
|
NOUVEAU GLOBAL VENTURES LTD.
(PAN:AABCN0827A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.4,00,000
30-SEP-2020
|
|
| 204 |
|
|
NS AGRAWAL TRADING CORP.LTD.
(PAN:AADCN3742N)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE FOR TRADES VIOLATING CLAUSE 6 OF CODE OF CONDUCT READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SANWARIYA CONSUMER LTD. (EARLIER KNOWN AS SANWARIA AGRO OILS LTD.)
|
IMPOSED PENALTY RS.9,00,000
24-DEC-2021
|
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED REVIEW APPLICATION
SEBI VIDE ITS NOTICE DATED 19/12/2023 DIRECTED TO PAY RS.1,26,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7484 OF 2023 DATED 19/12/2023
|
| 205 |
|
|
NUCLEUS SOFTWARE EXPORTS LTD.
|
|
|
|
NITIN KUMAR GARG
PAN:AIXPG1991K
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NUCLEUS SOFTWARE EXPORTS LTD.
|
IMPOSED PENALTY RS.15,00,000
23-SEP-2025
|
|
| 206 |
|
|
NUTRAPLUS INDIA LTD.
(PAN:AAACN1882E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (B) OF SEBI (PIT) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(B) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,00,000
19-MAR-2020
|
COMPANY VIDE TRANSACTION ID S28961687 THROUGH ICICI BANK LTD. DATED 30/06/2020 HAD PAID RS.2 LAC
|
| 207 |
|
|
OASIS TRADELINK LTD.
(PAN:AAACO4802B)
|
|
|
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 READ WITH REGULATION 12 (2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
23-FEB-2018
|
|
| 208 |
|
|
PAISALO DIGITAL LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) READ WITH 29(3) AND 29(4) OF SAST REGULATIONS, 2011 IN MATTER OF VARUN INDUSTRIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1), 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATIONS 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF VARUN INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,11,887 VIDE CONSENT ORDER)
31-JAN-2019
|
|
| 209 |
|
|
PANAFIC INDUSTRIALS LTD.
(PAN:AAACP3700B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
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 ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.1,00,000
27-FEB-2018
|
SEBI VIDE ITS NOTICE DATED 24/08/2021 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
SEBI VIDE ITS ORDER DATED 07/09/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF PANAFIC INDUSTRIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 21/09/2021 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 24/08/2021
|
| 210 |
|
|
PATELS AIRTEMP (INDIA) LTD.
(PAN:AABCP1375K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(B) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,68,156 VIDE CONSENT ORDER)
11-JAN-2019
|
|
| 211 |
|
|
PAVAN ROLLER FLOUR MILLS PVT.LTD.
(PAN:AAACP2207M)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992, READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATION, 2015 IN MATTER OF NOUVEAU GLOBAL VENTURES LTD.
|
IMPOSED PENALTY RS.2,00,000
21-JUN-2021
|
|
| 212 |
|
|
PB FINTECH LTD.
|
|
|
|
YASHISH DAHIYA
PAN:ABPPD8875Q
|
|
ALLEGED FAILURE TO IDENTIFY ACQUISITION OF 26% SHARES OF YKNP MARKETING MANAGEMENT BY PB FINTECH LTD. THROUGH ITS SUBSIDIARY PB FINTECH FZ-LLCAS UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 9A(2)(B) AND CLAUSE 4(1) OF SCHEDULE B OF SEBI (PIT) REGULATIONS, 2015
|
REACHED SETTLEMENT ( CONSENT ORDER)
04-MAR-2025
|
|
| 213 |
|
|
PHARMA TRADING CO.PVT.LTD.
(PAN:AABCP8476H)
|
|
|
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 UNITED BREWERIES (HOLDINGS) 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 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITED BREWERIES (HOLDINGS) LTD.
|
IMPOSED PENALTY RS.6,00,000
27-JUN-2019
|
|
| 214 |
|
|
POLSONS TRADERS LLP
(PAN:AAPFP5427M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KISAN MOULDINGS LTD.
|
IMPOSED PENALTY RS.2,50,000
28-AUG-2018
|
|
| 215 |
|
|
PRADEEP KUMAR JINDAL & SONS (HUF)
(PAN:AAEHP9499Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) AND 13(5B) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 APPELLANTS FILE THE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 03/03/2022 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
SEBI VIDE ITS ORDER DATED 19/05/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF PRADEEP KUMAR JINDAL & SONS (HUF) TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 19/06/2023 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 14/07/2023 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 21/07/2025 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 03/03/2022
SEBI VIDE ITS ORDER DATED 21/07/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4218 OF 2021 DATED 21/10/2021
|
| 216 |
|
|
PRAKAR INVESTMENTS PVT.LTD.
(PAN:AABCP1268P)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KIRLOSKAR BROTHERS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-OCT-2020 TO 19-JAN-2021
20-OCT-2020
|
SAT: SAT VIDE ITS ORDER DATED 24/12/2020 DIRECTED RESPONDENT TO FILE REPLY WITHIN SIX WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
|
| 217 |
|
|
PRAKASH CONSTROWELL LTD.
(PAN:AABCP3573F)
|
|
|
|
ANUP KARWA
PAN:BFNPK5368C
|
|
|
PRAFULLA SUBHASHCHANDRA BHAT
PAN:AMEPB0155F
|
|
|
VIPUL DILEEP LATHI
PAN:ACQPL5044B
|
|
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 PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
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 PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
EXECUTED CONTRA TRADE WITHIN PERIOD OF SIX MONTHS VIOLATING CLAUSE 10 OF CODE OF CONDUCT AS SPECIFIED UNDER SCHEDULE B READ WITH REGULATIONS 9(1) AND 9(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 4(1) AND 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE 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 24-JUL-2024 TO 23-JUL-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.1,53,46,007
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
24-JUL-2024
|
|
| 218 |
|
|
PRAKASH CONSTROWELL LTD.
(PAN:AABCP3573F)
|
|
|
|
ANUP KARWA
PAN:BFNPK5368C
|
|
|
PRAFULLA SUBHASHCHANDRA BHAT
PAN:AMEPB0155F
|
|
|
VIPUL DILEEP LATHI
PAN:ACQPL5044B
|
|
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 PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
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 PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
EXECUTED CONTRA TRADE WITHIN PERIOD OF SIX MONTHS VIOLATING CLAUSE 10 OF CODE OF CONDUCT AS SPECIFIED UNDER SCHEDULE B READ WITH REGULATIONS 9(1) AND 9(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 4(1) AND 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PRAKASH CONSTROWELL LTD. (NOW KNOWN AS “SETUBANDHAN INFRASTRUCTURE LTD.)
|
IMPOSED PENALTY RS.34,00,000
24-JUL-2024
|
|
| 219 |
|
|
PRAKASH STEELAGE LTD.
(PAN:AAACP6673K)
|
|
|
|
PRAKASH C.KANUGO
PAN:AFKPK2696F
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED REGULATION 7(2)(B) OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 16/11/2022 DIRECTED TO PAY RS.1,06,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 05/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6038 OF 2022 DATED 16/11/2022
SAT: SAT VIDE ITS ORDER DATED 20/12/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 31/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/11/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 29/07/2022.NO COSTS
|
| 220 |
|
|
PRATIGYA TRUST
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF (PIT) REGULATIONS, 2015 IN MATTER OF UNISYS SOFTWARE & HOLDING INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(2A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF (PIT) REGULATIONS, 2015 IN MATTER OF UNISYS SOFTWARE & HOLDING INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
22-OCT-2020
|
SEBI VIDE ITS ORDER DATED 09/09/2021 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 18/03/2025 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 09/09/2021
SEBI VIDE ITS ORDER DATED 18/03/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.3994 OF 2021 DATED 16/07/2021
|
| 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 18
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