| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 321 |
|
NGL FINE-CHEM LTD.
(PAN:AAACN4805H)
|
|
|
|
RAHUL NACHANE
PAN:AAZPN1526B
|
|
|
RAJESH LAWANDE
PAN:ABTPL7446B
|
|
ALLEGED MAKING INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO COMPANY VIOLATING CLAUSE 35 OF ERSTWHILE LISTING AGREEMENT READ WITH REGULATION 103(2) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED MAKING INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO COMPANY AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.54,42,360 VIDE CONSENT ORDER)
25-FEB-2025
|
|
| 322 |
|
|
NIDHIVAN INVESTMENTS & TRADING CO.LTD.
(PAN:AAACN7442A)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 323 |
|
|
NIIT TECHNOLOGIES LTD.
(PAN:AAACN0332P)
|
|
|
ALLEGED DELAY IN MAKING CORPORATE DISCLOSURE TO STOCK EXCHANGES VIOLATING CLAUSE 36 OF EQUITY LISTING AGREEMENT READ WITH REGULATION 103(2) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.19,12,500 VIDE CONSENT ORDER)
29-JAN-2021
|
|
| 324 |
|
|
NIRAJ CEMENT STRUCTURALS LTD.
|
|
|
DID NOT OBTAIN NECESSARY APPROVAL FOR MATERIAL RELATED PARTY TRANSACTIONS FROM ITS SHAREHOLDERS VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.4,00,000
06-MAR-2024
|
|
| 325 |
|
|
NITCO LTD.
(PAN:AAACN1674N)
|
|
|
|
VIVEK TALWAR
PAN:AAAPT3994Q
|
|
ALLEGED FAILURE IN COMPLYING WITH THE PRESCRIBED ACCOUNTING STANDARDS WHILE ASSESSING IMPAIRMENT AND LIFETIME EXPECTED CREDIT LOSSES/ PROVISIONS OF OUTSTANDING LOANS
ALLEGED FAILURE IN DISCLOSING OUTSTANDING BALANCES OF LOANS TO ALL THE RELATED PARTIES UNDER RELATED PARTY DISCLOSURES AS PER IND AS 24
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.49,40,000 VIDE CONSENT ORDER)
28-FEB-2025
|
|
| 326 |
|
|
NORBEN TEA & EXPORTS LTD.
(PAN:AAACN9786H)
|
|
|
DID NOT ADHERE TO REGULATORY REQUIREMENTS AT TIME OF RESIGNATION AND APPOINTMENT OF STATUTORY AUDITORS VIOLATING SEBI CIRCULAR CIR/CFD/CMD1/114/2019 DATED 18/10/2019 READ WITH REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
28-JUN-2024
|
|
| 327 |
|
|
NOWROSJEE WADIA & SONS LTD.
(PAN:AAACN1836A)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 328 |
|
|
NU TEK INDIA LTD.
(CIN:L74899DL1993PLC054313
PAN:AAACN2270L)
|
|
|
|
ASHISH BANKER
PAN:AEZPB0868G
|
|
|
INDER SHARMA
PAN:AATPS0094D
|
|
|
VINEET AGGARWAL
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NU TEK INDIA LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(A), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT ADHERE TO REGULATION 9 OF SEBI (LODR) REGULATIONS, 2015
DID NOT PLACE INFORMATION BEFORE BOARD OF DIRECTORS SUCH AS ANNUAL OPERATING PLANS, BUDGETS, UPDATES, CAPITAL BUDGETS, MATERIAL DEFAULT IN FINANCIAL OBLIGATIONS EC VIOLATING REGULATION 17(7) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PLACE INFORMATION BEFORE AUDIT COMMITTEE SUCH AS MANAGEMENT DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION ETC VIOLATING REGULATION 18(3) OF SEBI (LODR) REGULATIONS, 2015
DISCREPANCIES IN PUBLISHING FINANCIAL RESULTS VIOLATING REGULATIONS 33(3)(D) AND 33(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS VIOLATING REGULATION 34(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR
|
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 21-DEC-2021 TO 20-DEC-2022
IMPOSED PENALTY RS.26,00,000
21-DEC-2021
|
|
| 329 |
|
|
NU TEK INDIA LTD.
(CIN:L74899DL1993PLC054313
PAN:AAACN2270L)
|
|
|
|
AMAR SARIN
PAN:ABLPS1470L
|
|
|
AYUB YAEGUANG YOUNES
|
|
|
RAJIV KUMAR
PAN:ARFPK7130F
|
|
|
SUMATI SHARMA
PAN:AIGPS2352B
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NU TEK INDIA LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(A), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NU TEK INDIA LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF NU TEK INDIA LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF NU TEK INDIA 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 21-DEC-2021 TO 20-JUN-2022
IMPOSED PENALTY RS.6,40,000
21-DEC-2021
|
|
| 330 |
|
|
NUTRICIRCLE LTD.
(PAN:AABCR1368N)
|
|
|
DELAY IN SUBMISSION OF STATEMENT OF INVESTOR COMPLAINTS TO STOCK EXCHANGES VIOLATING REGULATION 13(3) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN FILING OF QUARTERLY FINANCIAL RESULTS VIOLATING REGULATION 33(3) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF TRANSFER OR TRANSMISSION OF SECURITIES VIOLATING REGULATION 40(9) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PUBLISH FINANCIAL RESULTS IN NEWSPAPER VIOLATING REGULATION 47(1)(B) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN PUBLISHING FINANCIAL RESULTS IN NEWSPAPER VIOLATING REGULATION 47(1)(B) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PUBLISH BOARD MEETING IN NEWSPAPER VIOLATING REGULATION 47(1)(A) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN PUBLISHING BOARD MEETING IN NEWSPAPER VIOLATING REGULATION 47(1)(A) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,00,000
27-MAR-2024
|
|
| 331 |
|
|
OCEANIC FOODS LTD.
(PAN:AAACO3708L)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF NCLT PETITION AND FREEZE OF ITS BANK ACCOUNTS BY ITS EX-MD & CEO VIOLATING CLAUSE 8.1 OF PARA B OF ANNEXURE I OF SEBI CIRCULAR CIR/CFD/CMD/4/2015 DATED 09/09/2015
ALLEGED FAILURE IN MAKING DISCLOSURE OF NCLT PETITION AND FREEZE OF ITS BANK ACCOUNTS BY ITS EX-MD & CEO VIOLATING REGULATIONS 30(3) & 30(4)(I)(B) READ WITH 4(1)(D) AND CLAUSE 8 OF PARA B OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN MAKING DISCLOSURE OF NCLT PETITION AND FREEZE OF ITS BANK ACCOUNTS BY ITS EX-MD & CEO VIOLATING REGULATION 30(12) READ WITH 4(1)(D) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,22,650 VIDE CONSENT ORDER)
26-NOV-2024
|
|
| 332 |
|
|
OMAXE LTD.
(PAN:AAACO0171H)
|
|
|
|
BHOPINDER SINGH
PAN:ADIPS9066P
|
|
|
DEVIDAS K.KAMBALE
PAN:AAPPK3187P
|
|
|
GURNAM SINGH
PAN:AAKPS0300H
|
|
|
NAVIN JAIN
PAN:ACQPJ8553M
|
|
|
NISHAL JAIN
PAN:AFDPJ1240F
|
|
|
PREM SINGH RANA
PAN:AAAPR2558L
|
|
|
SHRUTI D.SODHI
PAN:AHAPS3426K
|
|
|
SHUBHA SINGH
PAN:AEJPA3682F
|
|
|
SUDIP BANDYOPADHYAY
PAN:AEEPB0645J
|
|
|
SUNIL GOEL
PAN:AHGPG8020K
|
|
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(III)(7), 4(1), 4(2)(E), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF OMAXE LTD.
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PART A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF OMAXE LTD.
DID NOT OBTAIN NECESSARY APPROVAL FOR MATERIAL RELATED PARTY TRANSACTIONS FROM ITS SHAREHOLDERS VIOLATING REGULATIONS 23(4) READ WITH 23(1) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF OMAXE LTD.
|
IMPOSED PENALTY RS.10,00,000
30-JUL-2024
|
|
| 333 |
|
|
OMAXE LTD.
(PAN:AAACO0171H)
|
|
|
|
JAI BHAGWAN GOEL
PAN:ACOPG6352K
|
|
|
ROHTAS GOEL
PAN:AAVPG9866B
|
|
|
SUNIL GOEL
PAN:AHGPG8020K
|
|
DID NOT ACHIEVE PRESCRIBED 25% MINIMUM PUBLIC SHAREHOLDING THROUGH INDEPENDENT PUBLIC SHAREHOLDERS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 AND PROVISION OF 2(II) ON “AMENDMENTS TO CLAUSE 40A – MINIMUM PUBLIC SHAREHOLDING” OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 AND CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015 IN MATTER OF OMAXE LTD.
MADE INCORRECT AND INFLATED DISCLOSURE OF PUBLIC SHAREHOLDING VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015READ WITH CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZB) OF SEBI (ICDR) REGULATIONS, 2009 AND REGULATION 2(PP) OF SEBI (ICDR) REGULATIONS 2018AND CLAUSE 35 OF LISTING AGREEMENT IN MATTER OF OMAXE LTD.
INDULGED IN FRAUDULENT AND DECEPTIVE SCHEME & ARTIFICE IN CONNECTION WITH DEALING IN SECURITIES VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT.,1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF OMAXE LTD.
PROVIDED DIRECTLY OR INDIRECTLY FINANCIAL ASSISTANCE FOR ACQUISITION OF ITS OWN SHARES VIOLATING SECTION 77(2) OF COMPANIES ACT, 1956 IN MATTER OF OMAXE LTD.
|
IMPOSED PENALTY RS.27,00,000
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 24-SEP-2026 TO 23-DEC-2026
24-SEP-2026
|
|
| 334 |
|
|
OMAXE LTD.
(PAN:AAACO0171H)
|
|
|
|
ARUN KUMAR PANDEY
PAN:AAGPP8547D
|
|
|
MOHIT GOEL
PAN:ALYPG6203C
|
|
|
ROHTAS GOEL
PAN:AAVPG9866B
|
|
|
SUDHANGSHU SHEKHAR BISWAL
PAN:ADVPB3594L
|
|
|
VIMAL GUPTA
PAN:AAGPG1293D
|
|
INDULGED IN MISREPRESENTATION OF FINANCIAL STATEMENTS AND PRICE MANIPULATION VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING REGULATIONS 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
INDULGED IN MISREPRESENTATION OF FINANCIAL STATEMENTS AND PRICE MANIPULATION VIOLATING REGULATIONS 4(1), 4(2)(E), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015
DID NOT OBTAIN NECESSARY APPROVAL FOR MATERIAL RELATED PARTY TRANSACTIONS FROM ITS SHAREHOLDERS VIOLATING REGULATIONS 23(3) AND 23(4) READ WITH 23(1) OF SEBI (LODR) REGULATIONS, 2015
|
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 30-JUL-2024 TO 29-JUL-2026
IMPOSED PENALTY RS.7,00,000
30-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. STAYED THE DIRECTIONS IN PARAS NO.41(1) AND 41(2) SUBJECT TO DEPOSIT OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/12/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/05/2025 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/09/2026 DISMISSED THE APPEAL. NO COSTS
|
| 335 |
|
|
ONE 97 COMMUNICATIONS LTD.
(PAN:AAACO4007A)
|
|
|
|
AMIT KHERA
PAN:ADIPK2718E
|
|
|
ASHIT RANJIT LILANI
PAN:AEIPL6317D
|
|
|
DOUGLAS FEAGIN
|
|
|
MARK SCHWARTZ
|
|
|
MUNISH VARMA
PAN:AAGPV7557F
|
|
|
NEERAJ ARORA
PAN:AJNPA3852A
|
|
|
PALLAVI SHARDUL SHROFF
PAN:AQPPS7388Q
|
|
|
RAVI CHANDRA ADUSUMALLI
PAN:AIHPA6082D
|
|
ALLEGED FAILURE TO ENSURE CONFORMITY WITH THE REGULATORY PROVISIONS APPLICABLE TO LISTED ENTITY IN LETTER AND SPIRIT VIOLATING REGULATION 6(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONE97 COMMUNICATIONS LTD.
ALLEGED FAILURE IN DISCHARGING DUTIES WITH UNBIASED AND INDEPENDENT APPROACH WHILE DECISION-MAKING W.R.T. MATTERS INVOLVING BENEFITS TO MR.VIJAY SHEKHAR SHARMA (MD & CEO, PAYTM) AND HIS RELATIVES VIOLATING REGULATION 4(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONE97 COMMUNICATIONS LTD.
ALLEGED INDULGENCE IN APPROVAL AND SIGNING OFFER DOCUMENTS BY DIRECTORS CONTAINING INCORRECT STATEMENTS AND INCOMPLETE DISCLOSURES VIOLATING REGULATIONS 245(1) AND 245(2) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF ONE97 COMMUNICATIONS LTD.
ALLEGED SIGN OFFER DOCUMENTS CONTAINING INCORRECT STATEMENT AND INCOMPLETE DISCLOSURES W.R.T. COMPANY BEING PROFESSIONALLY MANAGED COMPANY HAVING NO IDENTIFIABLE PROMOTER WHEREAS COMPANY HAVING PROMOTER I.E. MR.VIJAY SHEKHAR SHARMA VIOLATING REGULATIONS 245(1) AND 245(2) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF ONE97 COMMUNICATIONS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.53,62,500 VIDE CONSENT ORDER)
17-JAN-2025
|
|
| 336 |
|
|
ONE 97 COMMUNICATIONS LTD.
(PAN:AAACO4007A)
|
|
|
|
AJAY SHEKHAR SHARMA
PAN:BBJPS0729P
|
|
ALLEGED VIOLATION OF REGULATION REGULATION 2(1)(I)(III) OF SEBI (SBEB) REGULATIONS, 2021 IN MATTER OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
ALLEGED VIOLATION OF REGULATIONS 245(1) AND 245(2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 IN MATTER OF GRANTING OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
ALLEGED VIOLATION OF REGULATIONS 4(1) AND 4(2) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,11,15,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,10,00,000 ESOPS GRANTED/VESTED AND NON-EXERCISED)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,22,862 ESOPS GRANTED/VESTED UPON BUT NOT EXERCISED)
08-MAY-2025
|
|
| 337 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
|
|
|
|
AMOL SHIVAJI AUTADE
PAN:ANCPA3607Q
|
|
|
DHANANJAY CHANDRAKANT PARIKH
PAN:ACTPP2402L
|
|
|
GURUNATH MUDLAPUR
PAN:AEGPM9121C
|
|
|
MANOJ RAMGOPAL MALPANI
PAN:AADPM9730A
|
|
|
PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
|
|
|
RAM NARAYAN GUPTA
PAN:AAKPG9052E
|
|
|
SONAM SATISH KUMAR JAIN
PAN:ANYPJ5733C
|
|
|
THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
PAN:ABIPN2653D
|
|
MISSTATED AND MISPRESENTED FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED/ MISPRESENTED FINANCIAL STATEMENTS AND DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT VIOLATING SECTION 27 OF SEBI ACT, 1992 AND REGULATIONS 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH REGULATIONS 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED AND MISPRESENTED FINANCIAL RESULTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES AND DID NOT TAKE NECESSARY APPROVALS FROM AUDIT COMMITTEE/ SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(2), 23(4) AND 23(9) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED/ MISPRESENTED FINANCIAL RESULTS AND DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DELAY IN FILING OF DISCLOSURES TO STOCK EXCHANGES REGARDING APPOINTMENT/ RESIGNATION OF DIRECTOR AND CHIEF FINANCIAL OFFICER VIOLATING REGULATION 30(2) READ WITH PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DELAY IN APPOINTMENT OF COMPANY SECRETARY/KEY MANAGERIAL PERSONS WITHIN TIMELINES VIOLATING REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
|
IMPOSED PENALTY RS.25,00,000
28-MAR-2025
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SAT: SAT VIDE ITS ORDER DATED 02/05/2025 A) DIRECTED THAT STOCK EXCHANGES AND DEPOSITORIES NOT TO ALTER “FIT AND PROPER” STATUS BASED ON IMPUGNED ORDER UNTIL FURTHER ORDERS B) REJECTED GRANT OF STAY DIRECTIONS IN PARAGRAPH NO.90.1 AND 90.2 OF IMPUGNED ORDER RESTRAINING APPELLANTS FROM ACCESSING SECURITIES MARKET AND APPOINTMENT OF SECOND APPLICANT AS DIRECTOR/KMPC) STAYED RECOVERY OF PENALTY SUBJECT TO DEPOSIT OF 50% OF PENALTY I.E. RS.25 LAC
SAT: SAT VIDE ITS ORDER DATED 13/06/2025 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 01/08/2025 DIRECTED TO PAY RS.26,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 21/07/2025 GRANTED RESPONDENT TWO WEEKS TO FILE REPLY
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| 338 |
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ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
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PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
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THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
PAN:ABIPN2653D
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MISPRESENTED FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISPRESENTED FINANCIAL STATEMENTS AND OTHER DISCLOSURES VIOLATING REGULATIONS 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH REGULATIONS 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003
MISSTATED AND MISPRESENTED FINANCIAL RESULTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES AND DID NOT TAKE NECESSARY APPROVALS FROM AUDIT COMMITTEE/ SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(2), 23(4) AND 23(9) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT WITH DEALMONEY DISTRIBUTION & E-MARKETING PVT.LTD. (DDEPL) AND PROMOTER/ DIRECTOR OF COMPANY VIOLATING REGULATIONS 4(1)(A), 4(1)(B), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED FINANCIAL STATEMENTS AND OTHER DISCLOSURES VIOLATING REGULATIONS 4(1)(C), 4(1)(D), 4(1)(E), 4(1)(G) TO 4(1)(I) AND 4(1)(J) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN FILING OF DISCLOSURES TO STOCK EXCHANGES REGARDING APPOINTMENT/ RESIGNATION OF DIRECTOR AND CHIEF FINANCIAL OFFICER VIOLATING REGULATION 30(2) READ WITH PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DELAY IN APPOINTMENT OF COMPANY SECRETARY/KEY MANAGERIAL PERSONS WITHIN TIMELINES VIOLATING REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
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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 21-OCT-2024 TO 20-OCT-2025
21-OCT-2024
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SAT: SAT VIDE ITS ORDER DATED 25/11/2024 GRANTED PERMISSION TO RECEIVED THE SHARES BY APPELLANT COMPANY FOR PAYMENTS MADE IN MARCH & SEPTEMBER AND ALSO REDEEM AND RECEIVE THE SHARES OF CONTINENTAL CONTROL LTD. PLEDGED BY THE APPELLANT MR.PRABHAKRA NAIG
SAT: SAT VIDE ITS ORDER DATED 10/12/2024 ADDED WORDS ‘CONTINENTAL CONTROL LTD.’ IN PARAGRAPH 8 AFTER WORD ‘SHARES’, IN THE SECOND BULLET POINT
SEBI VIDE ITS ORDER DATED 28/03/2025 RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR A PERIOD OF ONE YEAR FROM DATE OF INTERIM ORDER 21/10/2024
SAT: SAT VIDE ITS ORDER DATED 11/08/2025 PERMITTED APPELLANTS TO OBTAIN SHAREHOLDER? RESOLUTION BY CLEARLY MENTIONING IN THE AGENDA AND THE RESOLUTION THAT DEBARMENT IS IN FORCE TILL 22/10/2025
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ORIENTAL TRIMEX LTD.
(PAN:AAACO1556G)
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INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS OR FINANCIAL STATEMENTS BY BOOKING FICTIOUS SALES AND PURCHASES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ORIENTAL TRIMEX LTD.
PUBLISHED MISREPRESENTED/ MISSTATED AND MISLEADING FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1) TO 4(1)(E), 4(1)(G), 4(1)(H), 4(1)(I), 4(1)(J), 4(2)E, 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ORIENTAL TRIMEX LTD.
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IMPOSED PENALTY RS.50,00,000
18-FEB-2026
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SEBI VIDE ITS NOTICE DATED 15/07/2026 DIRECTED TO PAY RS.53,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 24/07/2026 DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 10/08/2026 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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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| 340 |
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OSPL INFRADEAL PVT.LTD.
(PAN:AABCO8558K)
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INDULGED IN DIVERSION OF FUNDS OF RS.2315.09 CRORES (APPROX.) FROM RELIGARE FINVEST LTD. TO PROMOTERS AND THEIR RELATED ENTITIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1), 4(2)(F) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
DID NOT MAKE DISCLOSURE OF FUNDS ROUTED BY RELIGARE FINVEST LTD. THROUGH UNRELATED ENTITIES TO PROMOTERS AND PROMOTERS GROUP ENTITIES VIOLATING CLAUSE 32 OF LISTING AGREEMENT IN MATTER OF RELIGARE ENTERPRISES LTD.
MISREPRESENTATED FINANCIAL POSITION BY ROLLING OVER THE LOANS VIOLATING REGULATIONS 4(1)(B), (C), 30(1) AND 51(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
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DIRECTED NOT TO DIVERT ANY FUNDS EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI
14-MAR-2019
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SEBI VIDE ITS ORDER DATED 12/11/2020 DISPOSED OFF THE ONGOING PROCEEDINGS
SEBI VIDE ITS ORDER DATED 12/11/2020 REVOKED ITS DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 14/03/2019 READ WITH CORRIGENDUM ORDER DATED 18/04/2019
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