| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 301 |
|
BLACK MORE INVESTMENT & TRADING CO.PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT WHICH WAS TO BE MADE WITHIN FOUR WORKING DAYS W.E.F.01.04.97
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-OCT-2002
|
SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED
|
| 302 |
|
|
BLACK STONE PROPERTIES PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NANDAN EXIM LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
23-MAY-2011
|
|
| 303 |
|
|
BLACK STONE PROPERTIES PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GUJARAT INCATEL TELECOMMUNICATION LTD.
|
IMPOSED PENALTY RS.1,50,000 ALONG WITH OTHER ENTITIES/PERSONS
24-JUL-2008
|
|
| 304 |
|
|
BLUE BLEND FINANCE LTD.
(PAN:AAACB9027D)
|
|
|
|
ANAND ARYA
|
|
|
INDU ARYA
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PREMIER SYNTHETICS LTD.
|
IMPOSED PENALTY RS.10,000 ALONG WITH OTHER ENTITIES/PERSONS
03-MAR-2008
|
SAT: ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.1,00,000
|
| 305 |
|
|
BLUE BLEND FINANCE LTD.
(PAN:AAACB9027D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BLUE BLENDS (INDIA) LTD.
|
IMPOSED PENALTY RS.3,00,000
31-JAN-2014
|
|
| 306 |
|
|
BLUE BLENDS LEASING PVT.LTD.
(PAN:AAACB2453R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BLUE BLENDS (INDIA) LTD.
|
IMPOSED PENALTY RS.4,00,000
31-JAN-2014
|
SAT: APPEAL DISMIISED. NO COSTS
|
| 307 |
|
|
BLUECHIP STOCKSPIN LTD.
|
|
|
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.1,50,000
20-AUG-2010
|
|
| 308 |
|
|
BNR CONSULTANCY SERVICES PVT.LTD.
(PAN:AADCB0031E)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF ORISSA SPONGE IRON & STEEL LTD.
|
IMPOSED PENALTY RS.4,50,000 ALONG WITH OTHER ENTITIES/PERSONS
18-JAN-2010
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 18/01/2010 SET ASIDE WITH NO ORDER AS TO COSTS
SAT: APPEAL FAILED AND IMPUGNED ORDER DATED 18/01/2010 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 309 |
|
|
BNR INFOTECH PVT.LTD.
(PAN:AADCB0183F)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF ORISSA SPONGE IRON & STEEL LTD.
|
IMPOSED PENALTY RS.4,50,000 ALONG WITH OTHER ENTITIES/PERSONS
18-JAN-2010
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 18/01/2010 SET ASIDE WITH NO ORDER AS TO COSTS
SAT: APPEAL FAILED AND IMPUGNED ORDER DATED 18/01/2010 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 310 |
|
|
BNS STEEL TRADING PVT.LTD.
(PAN:AADCB0181H)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF ORISSA SPONGE IRON & STEEL LTD.
|
IMPOSED PENALTY RS.4,50,000 ALONG WITH OTHER ENTITIES/PERSONS
18-JAN-2010
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 18/01/2010 SET ASIDE WITH NO ORDER AS TO COSTS
SAT: APPEAL FAILED AND IMPUGNED ORDER DATED 18/01/2010 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 311 |
|
|
BNS TOUR & TRAVEL PVT.LTD.
(PAN:AADCB0032H)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF ORISSA SPONGE IRON & STEEL LTD.
|
IMPOSED PENALTY RS.4,50,000 ALONG WITH OTHER ENTITIES/PERSONS
18-JAN-2010
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 18/01/2010 SET ASIDE WITH NO ORDER AS TO COSTS
SAT: APPEAL FAILED AND IMPUGNED ORDER DATED 18/01/2010 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 312 |
|
|
BOC GROUP PLC.
|
|
|
ALLEGED DELAY IN FILING STATUTORY REPORT WITH SEBI AS REQUIRED UNDER REGULATIONS 3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BOC INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-SEP-2008
|
|
| 313 |
|
|
BOC GROUP PLC.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6 AND 8 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF 31.54% SHARES OF BOC INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-SEP-2008
|
|
| 314 |
|
|
BOC HOLDINGS
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATIONS 3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 1,29,91,132 SHARES OF BOC INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
23-JUL-2009
|
|
| 315 |
|
|
BOC HOLDINGS
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY/STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6 AND 8 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF 31.54% SHARES OF BOC INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-SEP-2008
|
|
| 316 |
|
|
BODAL CONPRO PVT.LTD.
(PAN:AADCB0973D)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 317 |
|
|
BOMBAY MAHALAKSHMI TRADERS PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TO 30-JUN-2004
23-MAR-2004
|
|
| 318 |
|
|
BOMBAY MAHALAKSHMI TRADERS PVT.LTD.
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
|
| 319 |
|
|
BOOPATHY INVESTMENTS PVT.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 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-MAR-2008
|
|
| 320 |
|
|
BORACHEM INDUSTRIES LTD.
(CIN:U18557MH1975PLC018557
PAN:AAACB7292C)
|
|
|
DID NOT MAKE DISCLOSURES OF INVOCATION OF PLEDGE OF SHARES TO COMPANY AS REQUIRED UNDER REGULATIONS 8A(2) AND 8A(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TWILIGHT LITAKA PHARMA LTD.
|
IMPOSED PENALTY RS.1,00,000
29-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 02/05/2023 DIRECTED TO PAY RS.1,07,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 15/06/2023 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 14/06/2023
SAT: SAT VIDE ITS ORDER DATED 14/06/2023 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDER DATED 29/12/2022
|
| 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 16 of 114
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