| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 2221 |
|
WELSPUN FINTRADE LTD.
(PAN:AAACW2877J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,07,063 VIDE CONSENT ORDER)
11-SEP-2015
|
|
| 2222 |
|
|
WELSPUN FINTRADE LTD.
(PAN:AAACW2877J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
24-SEP-2015
|
|
| 2223 |
|
|
WELSPUN INDIA LTD.
(PAN:AAACW1259N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(3) OF SEBI TAKEOVER CODE, 1997
ALLEGED 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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,44,532 VIDE CONSENT ORDER)
20-AUG-2014
|
|
| 2224 |
|
|
WELSPUN INDIA LTD.
(PAN:AAACW1259N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(3) OF SEBI TAKEOVER CODE, 1997
ALLEGED FAILURE 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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,41,500 VIDE CONSENT ORDER)
30-DEC-2014
|
|
| 2225 |
|
|
WEST RIVER INVESTMENTS LTD.
|
|
|
ALLEGED FAILURE 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 PALRED TECHNOLOGIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.13,19,625 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-MAR-2019
|
|
| 2226 |
|
|
WESTERN INDIA CEMENTS LTD.
(PAN:AAACW2577K)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TIRRIHANNAH CO.LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
08-FEB-2018
|
|
| 2227 |
|
|
WESTERN INDIA CEMENTS LTD.
(PAN:AAACW2577K)
(Along with : SPARTON LEASING & FINANACE LTD.,
DWARIKA INVESTMENTS PVT.LTD.,
KORAPUT INVESTMENTS PVT.LTD.)
|
|
|
|
ABHAY BAHETI
PAN:ADEPB2646N
|
|
|
AVINASH KANKANI
PAN:AILPK8921H
|
|
|
GHANSHYAM DAS KANKANI
PAN:AFLPK2586B
|
|
|
MADHU LATA KANKANI
PAN:AFLPK2585C
|
|
|
UMESH KANKANI
PAN:AKMPK8942R
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TIRRIHANNAH CO.LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2018
|
|
| 2228 |
|
|
WESTLIFE DEVELOPMENT LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 6(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WESTLIFE DEVELOPMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.5,000 VIDE CONSENT ORDER)
20-APR-2009
|
|
| 2229 |
|
|
WHEELS INDIA LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-MAY-2002
|
SAT: APPEAL ALLOWED
|
| 2230 |
|
|
WHITE DIAMOND INDUSTRIES LTD.
(PAN:AAACW0337R)
|
|
|
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.2,25,000
29-NOV-2013
|
|
| 2231 |
|
|
WHITEMOON TRADING CO.PVT.LTD.
(CIN:U51909MH2002PTC138235)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) SEBI TAKEOVER CODE, 1997
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1),13(3) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
15-JUN-2009
|
|
| 2232 |
|
|
WILLIAMSON MAGOR & CO.LTD.
(CIN:L01132WB1949PLC017715
PAN:AAACW2369P)
|
|
|
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 MCNALLY BHARAT ENGINEERING CO.LTD.
ALLEGED DELAY 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 MCNALLY BHARAT ENGINEERING CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,42,500 VIDE CONSENT ORDER)
22-JAN-2016
|
|
| 2233 |
|
|
WILLOW TRADING CO.PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
21-JAN-1999
|
SEBI VIDE ITS ORDER DATED 25/04/2013 DIRECTED APPLICANTS TO MAKE COMBINED PUBLIC ANNOUNCEMENT TO ACQUIRE, JOINTLY AND SEVERALLY, THE SHARES OF TARGET COMPANY, SAURASHTRA CEMENT LTD.
SAT: SAT VIDE ITS ORDER DATED 10/03/2014 QUASHED AND SET ASIDE THE IMPUGNED ORDER DATED 25/04/2013 AND REMANDED THE MATTER TO SEBI TO PASS FRESH ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 31/12/2014 DIRECTED FAWN TRADING COMPANY PVT.LTD., PALLOR TRADING COMPANY PVT.LTD., FERN TRADING COMPANY PVT.LTD. TEJASHREE TRADING COMPANY PVT.LTD.AND WILLOW TRADING COMPANY PVT.LTD.TO MAKE A PUBLIC ANNOUNCEMENT TO ACQUIRE SHARES OF TARGET COMPANY, SAURASHTRA CEMENTS LTD. AS DIRECTED VIDE SEBI ORDER DATED 15/01/1999 AS UPHELD BY ORDER DATED 05/04/1999. IN VIEW OF DELAY IN MAKING OPEN OFFER IN TERMS OF SEBI ORDER DATED JANUARY 15, 1999, NOTICEES SHALL, ALONG WITH CONSIDERATION AMOUNT, PAY INTEREST @10% PER ANNUM, FROM DATE WHEN THEY INCURRED THE LIABILITY TO MAKE PUBLIC ANNOUNCEMENT TILL THE DATE OF PAYMENT OF CONSIDERATION.
SAT: SAT VIDE ITS ORDER DATED 14/09/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 21/06/1999 AND DIRECTED SEBI TO PASS FRESH ORDER
SEBI VIDE ITS ORDER DATED 17/01/2019 DIRECTED TO A) MAKE PUBLIC ANNOUNCEMENT TO ACQUIRE SHARES OF SAURASHTRA CEMENT LTD. AND B) PAY INTEREST @ 10% P.A. FROM THE DATE WHEN LIABILITY TO MAKE PUBLIC ANNOUNCEMENT INCURRED (I.E. 11/03/1998)
SAT: SAT VIDE ITS ORDER DATED 20/10/2021 DISMISSED THE APPEAL
|
| 2234 |
|
|
WINMORE LEASING & HOLDINGS LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) FOR YEAR 1997 AND 8(3) FOR YEARS 1998 TO 1999 OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
27-JUL-2009
|
|
| 2235 |
|
|
WINSOME HOLDINGS & INVESTMENTS LTD.
(Along with : SIRUGUPPA SUGARS & CHEMICALS LTD.)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-MAY-2008
|
|
| 2236 |
|
|
WINSOME INTERNATIONAL LTD.
(Along with : PUNRASAR STOCK BROKING PVT.LTD.)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) FOR YEAR 1997,7(3) FOR YEAR 2004 AND 8(3) FOR YEARS 1998 TO 2006 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 20% SHARES OF WINSOME INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
10-DEC-2008
|
|
| 2237 |
|
|
WINSTAR E-COM PVT.LTD.
(Along with : ATLANTA LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
|
| 2238 |
|
|
WIRES & FABRIKS (S.A.) LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,80,000 VIDE CONSENT ORDER)
22-APR-2010
|
|
| 2239 |
|
|
WISDOM PUBLISHING PVT.LTD.
(CIN:U22190DL1978PTC009239
PAN:AAACW0942L)
|
|
|
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-2018
|
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 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
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
|
| 2240 |
|
|
WLR RECOVERY III (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULGENCE IN SUPPRESSING INFORMATION THERBY MISLED REGULATOR AND PUBLIC IN VIOLATION OF REGULATION 45(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULENCE IN SEGREGATION AND TRANSFER OF SHARES & VOTING RIGHTS UNDER SALE & PURCHASE AGREEMENT PRIOR TO COMPLETION OF OPEN OFFER FORMALITIES IN VIOLATION OF REGULATION 22(16) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,10,23,185 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-SEP-2013
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 112 of 114
|
