| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
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
|
|
| 222 |
|
|
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
|
| 223 |
|
|
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
|
|
| 224 |
|
|
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
|
|
| 225 |
|
|
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 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
|
|
| 226 |
|
|
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
|
| 227 |
|
|
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.
|
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
|
| 228 |
|
|
CAMSON BIO TECHNOLOGIES LTD.
(PAN:AAACC5909K)
|
|
|
MADE WRONG/MISLEADING DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
MADE WRONG/MISLEADING DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (K) OF PFUTP REGULATIONS, 2003
|
IMPOSED PENALTY RS.25,00,000
05-MAR-2020
|
|
| 229 |
|
|
CAMSON FARM PRODUCE PVT.LTD.
(PAN:AAACR9470N)
|
|
|
INDULGED IN FUNDING ACTIVITIES CARRIED OUT BY COMPANY IN CONNIVANCE WITH ITS PROMOTER ENTITIES FOR CONVERSION OF WARRANTS 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 CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(3) AND 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.4,00,000
30-MAY-2022
|
|
| 230 |
|
|
CAPVISION INVESTMENT ADVISOR
(PAN:AAJFC0782A)
|
|
|
|
REKHA MISHRA
PAN:CFQPM0385H
|
|
ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-FEB-2023
|
|
| 231 |
|
|
CAPVISION INVESTMENT ADVISOR
(PAN:AAJFC0782A)
|
|
|
|
PUSHPENDRA CHOURASIYA
PAN:DCFFP0828H
|
|
|
RAVI PRAKASH MISHRA
PAN:AWDPM5709M
|
|
ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
ALLOWED HBJ CAPITAL SERVICES PVT.LTD., AN ENTITY RESTRAINED BY SEBI FROM ACTING AS AN ADVISOR, TO PROVIDE INVESTMENT ADVISORY SERVICES USING HIS SEBI REGISTRATION AND ALSO IN HIS PROPRIETORY CONCERN OSAR CAPITAL
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY AS INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET FROM DATE OF ORDER FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-FEB-2023 TO 27-FEB-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
IMPOSED PENALTY RS.12,00,000
28-FEB-2023
|
|
| 232 |
|
|
CAPVISION INVESTMENT ADVISOR LTD.
(PAN:AAGCC2325P)
|
|
|
|
GOVIND SINGH THAKUR
|
|
|
PUSHPENDRA CHOURASIYA
PAN:DCFFP0828H
|
|
|
SAHARSH MISHRA
PAN:CSAPM7641F
|
|
ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY AS INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET FROM DATE OF ORDER FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-FEB-2023 TO 27-FEB-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
28-FEB-2023
|
|
| 233 |
|
|
CAPVISION,M/S
(PAN:DCFFP0828H)
|
|
|
|
PUSHPENDRA CHOURASIYA
PAN:DCFFP0828H
|
|
ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY AS INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET FROM DATE OF ORDER FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-FEB-2023 TO 27-FEB-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
28-FEB-2023
|
|
| 234 |
|
|
CARDINAL CAPITAL PARTNERS
|
|
|
INDULGED IN FRAUDULENT SCHEME WITHOUT PAYING REAL CONSIDERATION TO TRANSFERRED AND RECEIVED GDRS VIOLATING SECTIONS 12A(A) OF SEBI ACT. 1992 AND REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TELEDATA TECHNOLOGY SOLUTIONS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-AUG-2021
|
|
| 235 |
|
|
CARDINAL CAPITAL PARTNERS
|
|
|
DEVISED AND IMPLEMENTED SCHEME WHICH FACILITATED SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA BY PLEDGING GDR VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF ZENITH BIRLA (INDIA) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-MAR-2021 TO 29-MAR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAR-2021 TO 29-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-MAR-2021
|
|
| 236 |
|
|
CARDINAL CAPITAL PARTNERS
|
|
|
INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF FARMAX 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 FARMAX INDIA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 21/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 237 |
|
|
CARDINAL CAPITAL PARTNERS
|
|
|
INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF VIKASH VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VIKASH METAL & POWER LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-SEP-2021 TO 28-SEP-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2021 TO 28-SEP-2023
29-SEP-2021
|
|
| 238 |
|
|
CARDINAL CAPITAL PARTNERS
|
|
|
ACTED AS CONDUIT OF MR.ARUN PANCHARIYA BY PROVIDING A VEHICLE THROUGH INDIA FOCUS CARDINAL FUND TO SELL THE ILLEGALLY ACQUIRED SHARES IN INDIAN SECURITIES MARKET 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 TEXMO PIPES & PRODUCTS 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-FEB-2023 TO 27-FEB-2025
28-FEB-2023
|
|
| 239 |
|
|
CARDINAL CAPITAL PARTNERS
|
|
|
INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF EDSERV 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 GDR ISSUE OF EDSERV SOFTSYSTEMS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-OCT-2021 TO 13-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-OCT-2021 TO 13-OCT-2023
14-OCT-2021
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| 240 |
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CARDINAL CAPITAL PARTNERS
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INDULGED IN FACILITATING SALE OF ILLEGALLY ACQUIRED SECURITIES IN INDIAN SECURITIES MARKET 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 GDR ISSUE OF RASOYA PROTEINS LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-OCT-2021 TO 21-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-OCT-2021 TO 21-OCT-2023
22-OCT-2021
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| 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 12 of 61
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