| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2181 |
|
VISHWA SECURITIES & FINANCE PVT.LTD.
(PAN:AABCV4555H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HIND SYNTEX LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
18-FEB-2014
|
SAT: SAT VIDE ITS ORDER DATED 16/12/2015 SET ASIDED THE PENALTY OF RS. 6 LACS IMPOSED BY SEBI VIDE ITS IMPUGNED ORDER DATED 18/02/2014. NO COSTS
|
| 2182 |
|
|
VISION TECHNOLOGY INDIA LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) AND 8(3) OF SEBI TAKEOVER CODE, 1997 FOR YEARS 1997 TO 2004
|
IMPOSED PENALTY RS.2,50,000
28-MAY-2009
|
|
| 2183 |
|
|
VITAL COMMUNICATIONS LTD.
(CIN:L74899DL1995PLC065076
PAN:AAACV2016L)
|
|
|
|
SHUBHA JHINDAL
PAN:AAGPJ0051N
|
|
|
VIJAY JHINDAL
PAN:AADPJ9438J
|
|
USED OWN FUNDS INDIRECTLY FOR SUBSCRIPTION OF ITS OWN EQUITY SHARES IN PREFERENTIAL ALLOTMENT
MISLED PUBLIC AND STOCK EXCHANGES BY PROVIDING WRONG INFORMATION OF NUMBER AND IDENTITIES OF PREFERENTIAL ALLOTTEES
MISLED INVESTORS BY MAKING FALSE ANNOUNCEMENT OF BUY BACK OF SHARES
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VITAL COMMUNICATIONS LTD.
DID NOT MAKE OPEN OFFER TO ACQUIRE SHARES FROM PUBLIC VIOLATING REGULATIONS 10 AND 11 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VITAL COMMUNICATIONS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-NOV-2018 TO 12-NOV-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-NOV-2018 TO 12-NOV-2023
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
DIRECTED NOT TO GIVE EFFECT TO TRANSFER OF ANY SHARES ACQUIRED AND HELD BY PREFERENTIAL ALLOTTEES IN PREFERENTIAL ALLOTMENT
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT FROM 13-NOV-2018 TO 12-NOV-2023
31-JUL-2014
DIRECTED TO DISGORGE RS.4,55,91,232 ALONG WITH OTHER ENTITIES/PERSONS
28-SEP-2048
|
SAT: APPEAL AND MISC.APPLICATION DISMISSED AS INFRUCTUOUS. NO COSTS
SEBI VIDE ITS ORDER DATED 28/09/2018 DIRECTED TO 1) DISGORGE WRONGFUL GAIN OF RS.4,55,91,232.00 ALONG WITH INTEREST @ 10% P.A. FROM 01/08/2002 TILL DATE OF PAYMENT WITHIN 45 DAYS FROM DATE OF RECEIPT OF THIS ORDER 2) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF FIVE YEARS FROM END OF THE TIME OF 45 DAYS
SEBI VIDE ITS NOTICE DATED 22/05/2019 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
SAT: SAT VIDE ITS ORDER DATED 17/05/2021 ALLOWED APPELLANTS TO THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2021 QUASHED IMPUGNED ORDER DATED 28/09/2018 AND ALLOWED THE APPEAL WITH COST OF RS.2.0 LAC EACH TO BE PAID BY SEBI TO APPELLANTS WITHIN EIGHT WEEK FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 27/01/2022 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 22/05/2019
|
| 2184 |
|
|
VITRO COMMODITIES PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GEE LTD.
ALLEGED FAILURE IN MAKING 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 GEE LTD.
|
SHOW CAUSE NOTICE ISSUED
27-APR-2011
|
|
| 2185 |
|
|
VITRO COMMODITIES PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GEE 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 GEE LTD.
|
IMPOSED PENALTY RS.10,00,000
28-MAR-2013
|
SAT: SAT VIDE ITS ORDER DATED 04/09/2013 MODIFIED SEBI'S ORDER DATED 28/03/2013 BY REDUCING THE PENALTY AMOUNT TO RS.1 LAC FROM RS.10 LAC. NO ORDER AS TO COSTS
|
| 2186 |
|
|
VITTAL INVESTMENTS PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HERBERTSONS LTD.
|
IMPOSED PENALTY RS.15,000 ALONG WITH OTHER ENTITIES/PERSONS
24-AUG-2005
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.65,000, LEGAL EXPENSES RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-JUL-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 24/08/2005 SET ASIDE AND BOARD WILL REFUND AMOUNT DEPOSITED BY APPELLANTS IN PURSUANCE TO IMPUGNED ORDER
SAT: APPLICANT PAID RS.65,000 TOWARDS SETTLEMENT CHARGES AND RS.5,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER (REFERENCE APPEAL NO.154 OF 2005 DATED 02/07/2009 WITH SAT)
|
| 2187 |
|
|
VIVEK BAJORIA (HUF)
|
|
|
DID NOT MENTION IN SPA THAT IN CASE OF NON-COMPLIANCE OF ANY PROVISION OF REGULATION 22 (16) OF SEBI TAKEOVER CODE, 1997, AGREEMENT FOR SUCH SALE SHALL NOT BE ACTED UPON BY SELLER OR ACQUIRER IN MATTER OF TIRRIHANNAH CO.LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2018
|
SAT: SAT VIDE ITS ORDER DATED 26/11/2019 ALLOWED THE APPEAL AND QUASHED AND SET ASIDED IMPUGNED ORDER DATED 19/12/2018. NO COSTS
|
| 2188 |
|
|
VIVEK VYAPAR LTD.
(PAN:AAACV7065K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARDA PAPER MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SARDA PAPER MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,34,062 VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 2189 |
|
|
VIVEKSHIL DEALERS PVT.LTD.
(PAN:AAACV9626L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GENUS PRIME INFRA LTD.
|
IMPOSED PENALTY RS.1,00,000
15-SEP-2020
|
|
| 2190 |
|
|
VIZWISE COMMERCE PVT.LTD.
(PAN:AABCS7660J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SEASONS TEXTILES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGE 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 SEASONS TEXTILES LTD.
|
IMPOSED PENALTY RS.4,00,000
28-AUG-2014
|
SAT: SAT VIDE ITS ORDER DATED 28/01/2015 REDUCED THE PENALTY AMOUNT TO RS.2 LACS FROM RS.4 LACS. NO COSTS
SEBI VIDE ITS NOTICE DATED 09/12/2015 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 22/12/2015 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS AND DEMAT ACCOUNTS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 09/12/2015
|
| 2191 |
|
|
VLS FINANCE LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.5,00,000
20-APR-2000
|
SAT: APPEAL ALLOWED BY WAY OF REMAND
|
| 2192 |
|
|
VLS FINANCE LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF TRACKPARTS OF INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2003
|
SAT: APPEAL DISMISSED
|
| 2193 |
|
|
VMC SOFTWARE LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.2,00,000
26-AUG-2002
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.30,000 FROM RS.2,00,000
|
| 2194 |
|
|
VRP FINANCIAL SERVICES PVT.LTD.
(PAN:AAACV7147C)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AXON INFOTECH LTD.
|
IMPOSED PENALTY RS.12,57,500
04-FEB-2013
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 2195 |
|
|
VSB INVESTMENTS LTD.
(PAN:AABCV7492B)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ASIAN OILFIELD SERVICES LTD.
|
IMPOSED PENALTY RS.5,00,000
17-DEC-2014
|
|
| 2196 |
|
|
VYBRA AUTOMET LTD.
(CIN:L24119TG1984PLC004685)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.6,00,000
20-JAN-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS NOTICE DATED 05/06/2015 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
|
| 2197 |
|
|
W W TECHNOLOGY HOLDINGS LTD.
(PAN:AACCS2572A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.5,00,000
30-JUN-2014
|
|
| 2198 |
|
|
W.REINERS VERWALTUNGS GMBH
|
|
|
APPOINTED A NEW DIRECTOR WITHOUT DEPOSITING 100% OF CONSIDERATION IN ESCROW ACCOUNT AS REQUIRED UNDER REGULATION 22 (7) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SCHLAFHORST ENGINEERING (INDIA) LTD.
|
IMPOSED PENALTY RS.15,00,000
23-JUN-2009
|
SAT: APPEAL DISPOSED OF AND IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.5,00,000 FROM RS.15,00,000 WITH NO ORDER AS TO COSTS
|
| 2199 |
|
|
W.REINERS VERWALTUNGS GMBH
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF INTEGRA ENGINEERING INDIA LTD. (EARLIER KNOWN AS SCHLAFHORST ENGINEERING (INDIA) LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF INTEGRA ENGINEERING INDIA LTD. (EARLIER KNOWN AS SCHLAFHORST ENGINEERING (INDIA) LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF INTEGRA ENGINEERING INDIA LTD. (EARLIER KNOWN AS SCHLAFHORST ENGINEERING (INDIA) LTD.)
|
IMPOSED PENALTY RS.4,00,000
16-MAY-2018
|
|
| 2200 |
|
|
WADA ALUMS & ACIDS PVT.LTD.
(Along with : BHARAT FERTILIZER INDUSTRIES LTD.)
|
|
|
|
ANJNI Y.PATEL
|
|
|
YOGENDRA D.PATEL
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHARES OF BHARAT FERTILISER INDUSTRIES LTD.
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
23-OCT-2007
|
|
| 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 110 of 114
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