| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 301 |
|
SUZLON ENERGY LTD.
(PAN:AADCS0472N)
|
|
|
|
HEMAL A.KANUGA
PAN:AGIPK3230C
|
|
VIOLATED CLAUSE 3.2 OF MODEL CODE OF CODUCT SCHEDULE II READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 AND READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUZLON ENERGY LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-APR-2018
|
|
| 302 |
|
|
SWAN ENERGY LTD.
|
|
|
|
RAHUL SHARMA
PAN:BNLPS7534L
|
|
DID NOT OBTAIN PRE-CLEARANCE FOR CONTRA TRADES FROM COMPLIANCE OFFICER OF THE COMPANY VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SWAN ENERGY LTD.
DID NOT SUBMIT DISCLOSURE OF TRADES EXECUTED WHERE VALUE OF TRADES EXCEEDED MORE THAN RS.10 LACS TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SWAN ENERGY LTD.
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2025
|
|
| 303 |
|
|
T.M.INVESTMENTS LTD.
(PAN:AABCT0548G)
|
|
|
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 BHARAT NIDHI 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 BHARAT NIDHI 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)
12-SEP-2022
|
SEBI VIDE ITS ORDER DATED 17/11/2025 REVOKED AND WITHDRAWN SETTLEMENT ORDER DATED 12/09/2022 QUA ALL THE NOTICEES FOR NON COMPLIANCE WITH THE TERMS OF SETTLEMENT ORDER
|
| 304 |
|
|
TAJ CAPITAL PARTNERS PVT.LTD.
(PAN:AACCT2750M)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 AND REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NEW DELHI TELEVISION LTD.
|
DIRECTED TO DISGORGE RS.2,20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
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 27-NOV-2020 TO 26-NOV-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-NOV-2020
|
|
| 305 |
|
|
TELANGANA STATE INDUSTRIAL DEVELOPMENT CORP.LTD.
(PAN:AAFCT1949P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MATRA KAUSHAL ENTERPRISE LTD.
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 11/07/2023 DIRECTED TO PAY RS.1,06,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/08/2023 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 29/08/2023 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 16/08/2023
SEBI VIDE ITS ORDER DATED 29/08/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6834 OF 2023 DATED 11/07/2022
|
| 306 |
|
|
TESORA CAPITAL
(PAN:AAMFT3003A)
|
|
|
|
AMIT BHUTRA
PAN:ADTPB1150A
|
|
|
ANKUSH BHUTRA
PAN:ASIPB1460F
|
|
|
MANISH C.JAIN
PAN:AGDPJ5605M
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFOSYS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAY-2021 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 31-MAY-2021 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
31-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 21/06/2021 DISPOSED OFF THE APPEAL AND DIRECTED APPELLANTS TO FILE APPROPRIATE REPLY ALONG WITH THE STAY VACATING APPLICATION WITHIN A WEEK FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 15/09/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 31/05/2021 SUBJECT TO MODIFICATIONS AFTER TAKING INTO ACCOUNT THE SPECIFIC FACTS AND CIRCUMSTANCES - A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF INFOSYS, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDER B) DIRECTIONS ISSUED VIDE PARA 71.9 AND 71.10 OF THE INTERIM ORDER STANDS MODIFIED TO THE EXTENT OF ALLOWING CREDIT AND DEBIT OF SECURITIES IN THE ACCOUNTS C) CLARIFIED THAT THE FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT WILL REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDER
SEBI VIDE ITS ORDER DATED 09/09/2024 VACATED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 31/05/2021 READ WITH CONFIRMATORY ORDER DATED 15/09/2021
|
| 307 |
|
|
TIME SQUIRE INVESTMEN PVT.LTD.
(PAN:AAACT1244L)
|
|
|
ALLEGED FAILURE IN MAKING 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 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SESHASAYEE PAPER & BOARDS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.17,55,781 VIDE CONSENT ORDER)
27-APR-2020
|
|
| 308 |
|
|
TOP CLASS CAPITAL MARKETS PVT.LTD.
(PAN:AACCT5800G)
|
|
|
DID NOT CLOSE TRADING WINDOW AS REQUIRED UNDER CLAUSE 3.2.1 OF PART A OF SCHEDULE I AS REQUIRED UNDER REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.7,50,00,000
23-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 03/03/2021 DIRECTED RESPONDENT FOUR WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. MATTER TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 20/04/2021. IN THE MEANTIME, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED TO BE STAYED UPON DEPOSIT OF RS. 10 CRORES WITHIN FIVE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 06/07/2021 DISPOSED OFF MISC. APPLICATION NOS.665 & 666 OF 2021. DIRECTED RECOVERY OFFICER TO NOT TO PROCEED WITH THE RECOVERY OF ANY AMOUNT PURSUANT TO IMPUGNED ORDERS OF THE AO AND WTM AND ALSO DIRECTED RESPONDENT TO FILE AFFIDAVIT OF THE RECOVERY OFFICER INDICATING THE EXTENT OF THE SHARES SOLD FROM THE DEMAT ACCOUNT OF THE APPELLANTS. FURTHER, DIRECTED RECOVERY OFFICER TO FILE AFFIDAVIT WITH REGARD TO THE PROCEDURE FOLLOWED BY HIM FOR THE SALE OF SHARES AS PER SECTION 28A OF SEBI ACT. READ WITH INCOME TAX RULES
SEBI VIDE ITS ORDER DATED 30/08/2021 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 17/06/2021
SAT: SAT VIDE ITS ORDER DATED 08/03/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 23/03/2022 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 NOTICE DATED 07/04/2022 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 23/03/2022
|
| 309 |
|
|
TOP CLASS CAPITAL MARKETS PVT.LTD.
(PAN:AACCT5800G)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION REGARDING LICENSING AND SUPPLY AGREEMENTS OF APL WITH PFIZER INC.VIOLATING REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AUROBINDO PHARMA LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-AUG-2020 TO 04-AUG-2023
05-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 03/03/2021 DIRECTED RESPONDENT FOUR WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. MATTER TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 20/04/2021. IN THE MEANTIME, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED TO BE STAYED UPON DEPOSIT OF RS.10 CRORE WITHIN FIVE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 20/04/2021 DISPOSED OFF THE EXTENSION PERMITTING APPLICANTS TO COMPLY WITH THE ORDER OF 03/03/2021 BY 25/05/2021 AND DIRECTED APPELLANT TO FILE REJOINDER AFFIDAVITS ON OR BEFORE THE NEXT DATE FIXED
SEBI VIDE ITS NOTICE DATED 17/06/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 10/06/2021 ALLOWED APPELLANT TO THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/07/2021 DISPOSED OFF MISC. APPLICATION NOS.665 & 666 OF 2021. DIRECTED RECOVERY OFFICER TO NOT TO PROCEED WITH THE RECOVERY OF ANY AMOUNT PURSUANT TO IMPUGNED ORDERS OF THE AO AND WTM AND ALSO DIRECTED RESPONDENT TO FILE AFFIDAVIT OF THE RECOVERY OFFICER INDICATING THE EXTENT OF THE SHARES SOLD FROM THE DEMAT ACCOUNT OF THE APPELLANTS. FURTHER, DIRECTED RECOVERY OFFICER TO FILE AFFIDAVIT WITH REGARD TO THE PROCEDURE FOLLOWED BY HIM FOR THE SALE OF SHARES AS PER SECTION 28A OF SEBI ACT. READ WITH INCOME TAX RULES
SAT: SAT VIDE ITS ORDER DATED 20/07/2021 ALLOWED APPELLANT TO DEPOSIT BALANCE AMOUNT RS.3.50 CRORE ON OR BEFORE 31/07/2021 AND DIRECTED RO TO KEEP THE AMOUNT IN ESCROW ACCOUNT
SAT: SAT VIDE ITS ORDER DATED 02/08/2021 ALLOWED AMENDMENT APPLICATION AND NECESSARY CORRECTION IN MEMO OF APPEAL AND/OR AMENDED COPY OF MEMO OF APPEAL MAY BE FILED WITHIN TEN DAYS. ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY TO THE AMENDED MEMO OF APPEAL
SEBI VIDE ITS ORDER DATED 30/08/2021 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 17/06/2021
SAT: SAT VIDE ITS ORDER DATED 24/08/2021 STAYED RECOVERY PROCEEDINGS DURING PENDENCY OF THE APPEAL AND LIFTED FREEZING OF DEMAT ACCOUNT AND ATTACHMENT ORDER BY THE RESPONDENT. RESPONDENT TO FILE REPLY TO AMENDED MEMO OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILED WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/03/2022 DISMISSED THE APPEAL. NO COSTS
|
| 310 |
|
|
TOP CLASS CAPITAL MARKETS PVT.LTD.
(PAN:AACCT5800G)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION REGARDING LICENSING AND SUPPLY AGREEMENTS OF APL WITH PFIZER INC.VIOLATING REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AUROBINDO PHARMA LTD.
|
DIRECTED TO DISGORGE RS.3,77,89,062
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 05-AUG-2020 TO 04-AUG-2021
05-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 03/03/2021 DIRECTED RESPONDENT FOUR WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. MATTER TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 20/04/2021. IN THE MEANTIME, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED TO BE STAYED UPON DEPOSIT OF RS.10 CRORE WITHIN FIVE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 20/04/2021 DISPOSED OFF THE EXTENSION PERMITTING APPLICANTS TO COMPLY WITH THE ORDER OF 03/03/2021 BY 25/05/2021 AND DIRECTED APPELLANT TO FILE REJOINDER AFFIDAVITS ON OR BEFORE THE NEXT DATE FIXED
SEBI VIDE ITS NOTICE DATED 17/06/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 10/06/2021 ALLOWED APPELLANT TO THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/07/2021 DISPOSED OFF MISC. APPLICATION NOS.665 & 666 OF 2021. DIRECTED RECOVERY OFFICER TO NOT TO PROCEED WITH THE RECOVERY OF ANY AMOUNT PURSUANT TO IMPUGNED ORDERS OF THE AO AND WTM AND ALSO DIRECTED RESPONDENT TO FILE AFFIDAVIT OF THE RECOVERY OFFICER INDICATING THE EXTENT OF THE SHARES SOLD FROM THE DEMAT ACCOUNT OF THE APPELLANTS. FURTHER, DIRECTED RECOVERY OFFICER TO FILE AFFIDAVIT WITH REGARD TO THE PROCEDURE FOLLOWED BY HIM FOR THE SALE OF SHARES AS PER SECTION 28A OF SEBI ACT. READ WITH INCOME TAX RULES
SAT: SAT VIDE ITS ORDER DATED 20/07/2021 ALLOWED APPELLANT TO DEPOSIT BALANCE AMOUNT RS.3.50 CRORE ON OR BEFORE 31/07/2021 AND DIRECTED RO TO KEEP THE AMOUNT IN ESCROW ACCOUNT
SAT: SAT VIDE ITS ORDER DATED 02/08/2021 ALLOWED AMENDMENT APPLICATION AND NECESSARY CORRECTION IN MEMO OF APPEAL AND/OR AMENDED COPY OF MEMO OF APPEAL MAY BE FILED WITHIN TEN DAYS. ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY TO THE AMENDED MEMO OF APPEAL
SEBI VIDE ITS ORDER DATED 30/08/2021 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 17/06/2021
SAT: SAT VIDE ITS ORDER DATED 24/08/2021 STAYED RECOVERY PROCEEDINGS DURING PENDENCY OF THE APPEAL AND LIFTED FREEZING OF DEMAT ACCOUNT AND ATTACHMENT ORDER BY THE RESPONDENT. RESPONDENT TO FILE REPLY TO AMENDED MEMO OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILED WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/03/2022 DISMISSED THE APPEAL. NO COSTS
|
| 311 |
|
|
TRANSGENE BIOTEK LTD.
(PAN:AABCT3840P)
|
|
|
|
DEEPAK MISHRA
PAN:AIIPM4093P
|
|
|
KOLLIPARA KOTESWARA RAO
PAN:AHOPK5487E
|
|
|
NARAYANA MURTHY PENTYALA
PAN:ANBPP4186A
|
|
|
SAMPATH KUMAR MEESALA
PAN:AIIPM9512D
|
|
|
SOMA SEKHAR MARTHI
PAN:ACAPM9616N
|
|
INDULGED IN DIVERSION OF GDR ISSUES PROCEEDS BY LEGITIMIZING/FACILITATING SAME THROUGH BACK-DATED AGREEMENT/INVOICES, CONCEALING/MAKING FALSE STATEMENTS IN REGARD TO UTILIZATION OF GDR PROCEEDS/NON-RECEIPT OF TECHNOLOGY AND SERVICES IN ANNUAL REPORTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TRANSGENE BIOTEK LTD.
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES REGARDING SETTING UP OF WHOLLY OWNED SUBSIDIARY I.E. TBL HK LTD. VIOLATING REGULATION 12(2) READ WWITH SCHEDULE II OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES REGARDING SETTING UP OF WHOLLY OWNED SUBSIDIARY I.E. TBL HK LTD. VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT ADHERE TO ACCOUNTING STANDARD (AS-1) VIOLATING CLAUSE 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.38,00,000
27-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 30/08/2022 DIRECTED TO PAY RS.39,15,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 30/09/2022 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 ORDER DATED 25/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.40,29,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF TRANSGENE BIOTEK LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 15/12/2022 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY TO MEMORANDUM OF APPEAL AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 17/04/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/06/2023 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 14/07/2023 ALLOWED THE APPEAL AND RECALL ORDER DATED 16/06/2023
SAT: SAT VIDE ITS ORDER DATED 05/10/2023 ALLOWED AMENDMENT APPLICATION TO BE TREATED AS PART OF MEMORANDUM OF APPEALS
SAT: SAT VIDE ITS ORDER DATED 09/09/2024 GRANTED APPELLANT FURTHER TIME TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 19/01/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF TELANGANA E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTERS, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
|
| 312 |
|
|
TRIDENT CHEMPHAR LTD.
(PAN:AAEFT8416H)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3 AND 4 READ OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AUROBINDO PHARMA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,92,00,000, LEGAL EXPENSES RS.60,000 VIDE CONSENT ORDER)
06-MAY-2020
|
|
| 313 |
|
|
TRIDENT CHEMPHAR LTD.
(PAN:AAEFT8416H)
|
|
|
DID NOT CLOSE TRADING WINDOW AS REQUIRED UNDER CLAUSE 3.2.1 OF PART A OF SCHEDULE I AS REQUIRED UNDER REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.6,00,00,000
23-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 25/01/2021 DISPOSED OFF THE APPEAL IN TERMS OF THE SETTLEMENT ORDER DATED 06/05/2020
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| 314 |
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TV VISION LTD.
(PAN:AACCT7276Q)
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DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES FOR DELAYING THE DISCLOSURE OF INFORMATION OF DOWNGRADING OF RATING VIOLATING REGULATION 30(6) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF TV VISION LTD.
DID NOT PROVIDE EXPLANATION TO STOCK EXCHANGE FOR DELAY IN MAKING DISCLOSURE OF INFORMATION OF DOWNGRADING OF RATING VIOLATING CLAUSES 1 AND 4 OF SCHEDULE A READ WITH REGULATION 8(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TV VISION LTD.
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IMPOSED PENALTY RS.6,00,000
31-MAR-2023
|
|
| 315 |
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UNICKON FINCAP PVT.LTD.
(CIN:U74899DL1994PTC061342
PAN:AAACU8424F)
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 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 REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
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IMPOSED PENALTY RS.1,00,000
27-FEB-2018
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SEBI VIDE ITS NOTICE DATED 18/06/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
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| 316 |
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UNITED INDIA INSURANCE CO.LTD.
(PAN:AAACU5552C)
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ALLEGED 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 AXIS BANK LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,13,906 VIDE CONSENT ORDER)
15-FEB-2021
|
|
| 317 |
|
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UNITED MACHINE CO.LTD.
(PAN:AAACU3228P)
|
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(2) AND 8(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF WILLIAMSON FINANCIAL SERVICES 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 WILLIAMSON FINANCIAL SERVICES LTD.
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IMPOSED PENALTY RS.1,00,000
30-JUN-2022
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SEBI VIDE ITS NOTICE DATED 09/09/2022 DIRECTED TO PAY RS.1,05,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 318 |
|
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UTTAM COMMERCIAL CO.LTD.
(PAN:AAACU2823Q)
|
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ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.54,60,000, DISGORGEMENT AMOUNT RS.29,02,500, INTEREST RS.12,39,566 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 20-FEB-2025 TO 19-AUG-2025
20-FEB-2025
|
|
| 319 |
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VALECHA INVESTMENTS PVT.LTD.
(PAN:AAACV2759G)
|
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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 VALECHA ENGINEERING LTD.
DELAY IN MAKING 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 VALECHA ENGINEERING LTD.
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IMPOSED PENALTY RS.3,00,000
19-DEC-2019
|
|
| 320 |
|
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VANIJYA INVESTMENT & TRADING
(PAN:AAKFV4482F)
|
|
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ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,54,738 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-FEB-2019
|
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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 16 of 18
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