| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 341 |
|
OZONE PROJECTS PVT.LTD.
(CIN:U70101TN2005PTC056894
PAN:AAACO7589D)
|
|
|
DELAY IN SUBMISSION OF HALF YEARLY FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(1), 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(1), 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,00,000
30-MAR-2021
|
|
| 342 |
|
|
PALAI DEVELOPMENTS PVT.LTD.
(PAN:AAJCP3774A)
|
|
|
DID NOT SUBMIT BANK DETAILS TO DEBENTURE TRUSTEES VIOLATING CLAUSE 3.2 OF SEBI CIRCULAR SEBI/HO/DDHS/CIR/P/103/2020 DATED 23/06/2020 READ WITH CLAUSE 4.1 OF CHAPTER XI OF SEBI CIRCULAR SEBI/HO/DDHS/P/CIR/2021/613 DATED 10/08/2021 READ WITH REGULATION 8 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2023
|
|
| 343 |
|
|
PANYAM CEMENTS & MINERAL INDUSTRIES LTD.
(CIN:L26940AP1955PLC000546)
|
|
|
DID NOT SUBMIT COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATION 7(3) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DID NOT ADHERE TO REGULATION 9 OF SEBI (LODR) REGULATIONS, 2015
DID NOT PRIOR INTIMATE STOCK EXCHANGES THE DUE DATE OF INTEREST ON DEBENTURES & BONDS AND REDEMPTION AMOUNT OF REDEEMABLE SHARES OR DEBENTURES AND BONDS VIOLATING REGULATION 50(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT INTIMATE IN ADVANCE TO STOCK EXCHANGES REGARDING THE MEETING OF BOARD OF DIRECTORS AT WHICH RECOMMENDATION OR DECLARATION OF ISSUE OF NCDS OR MATTER AFFECTING THE RIGHTS OR INTEREST OF HOLDERS VIOLATING REGULATION 50(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT DISCLOSE LINE ITEMS IN RESPECT OF VARIOUS SERIES OF NCDS AS REQUIRED UNDER REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT CERTIFICATE SIGNED BY DEBENTURE TRUSTEE TO STOCK EXCHANGES NCDS VIOLATING REGULATION 52(5) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAINTAIN HUNDRED PERCENT ASSET COVER OR ASSET COVER AS PER TERMS OF OFFER DOCUMENT/INFORMATION MEMORANDUM AND/OR DEBENTURE TRUST DEED, SUFFICIENT TO DISCHARGE PRINCIPAL AMOUNT AT ALL TIMES FOR THE NON-CONVERTIBLE DEBT SECURITIES ISSUE VIOLATING REGULATION 54(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF SECURITY CREATED AND MAINTAINED WITH RESPECT TO ITS LISTED NCDS TO STOCK EXCHANGES VIOLATING REGULATION 54(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT GET ITS SECURITIES REVIEWED BY CREDIT RATING AGENCY AT LEAST ONCE A YEAR VIOLATING REGULATION 55 OF SEBI LODR) REGULATIONS, 2015
DID NOT SUBMIT TO STOCK EXCHANGES CERTAIN DOCUMENT SUCH AS ANNUAL REPORT, CERTIFICATION ON UTILIZATION OF FUNDS, CHANGE IN CREDIT RATING, HALF YEARLY ASSETS COVER CERTIFICATE, COPY OF NOTICES, RESOLUTIONS ETC. TO DEBENTURE TRUSTEE PROMPTLY VIOLATING REGULATION 56 OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT CERTIFICATE TO STOCK EXCHANGES WITHIN TWO DAYS OF INTEREST/PRINCIPAL OF BECOMING DUE IN RESPECT OF NCDS VIOLATING REGULATION 57(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PROVIDE UNDERTAKING TO STOCK EXCHANGES ON ANNUAL BASIS STATING THAT ALL THE DOCUMENTS AND INTIMATIONS REQUIRED TO BE SUBMITTED TO DEBENTURE TRUSTEE IN TERMS OF TRUST DEED AND SEBI (ILDS) REGULATIONS, 2008 HAVE BEEN COMPLIED WITH VIOLATING REGULATION 57(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT INFORM STOCK EXCHANGES RECORD DATE FOR PURPOSES OF PAYMENT OF INTEREST, DIVIDEND AND PAYMENT OF REDEMPTION OR REPAYMENT AMOUNT OR FOR SUCH OTHER PURPOSES AS SPECIFIED BY THE STOCK EXCHANGE VIOLATING REGULATION 60(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT INTIMATE IN ADVANCE RECORD DATE TO STOCK EXCHANGES IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATION 60(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PROVIDE HARD COPY OF ANNUAL REPORTS, NOTICE OF ALL MEETINGS TO NCD HOLDERS AND DID NOT SEND PROXY FORMS TO NCDS HOLDERS AND/OR NCRPS HOLDERS VIOLATING REGULATION 58 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.14,00,000
26-APR-2022
|
SEBI VIDE ITS NOTICE DATED 25/07/2022 DIRECTED TO PAY RS.14,57,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/01/2023 CANCELLED RECOVERY CERTIFICATE AS THE APPEALS ARE PENDING BEFORE HON’BLE SUPREME COURT OF INDIA
SAT: SAT VIDE ITS ORDER DATED 10/01/2023 CONDONED THE DELAY IN FILING OF APPEAL. QUASHED IMPUGNED ORDER DATED 26/04/2022. NO COSTS
|
| 344 |
|
|
PAR DRUGS & CHEMICALS PVT.LTD.
(PAN:AABCP6547M)
|
|
|
VALUATION REPORT FOR TRANSACTION AS SLUMP SALE OF BUSINESS UNDERTAKING AS A GOING CONCERN DID NOT CAPTURE THE VALUATION OF THE BUSINESS AS A GOING CONCERN BASIS
|
RESTRAINED FROM EFFECTING THE TRANSACTIONS AGREED UPON UNDER BUSINESS TRANSFER AGREEMENT FROM 15-SEP-2025 UNTIL FURTHER ORDERS
DIRECTED NSE TO APPOINT A REGISTERED VALUER TO INDEPENDENTLY CARRY-OUT VALUATION OF BUSINESS UNDERTAKING PROPOSED TO BE TRANSFERRED THROUGH BUSINESS TRANSFER AGREEMENT
DIRECTED REGISTERED VALUER TO SUBMIT A REPORT TO NSE WITHIN THREE MONTHS FROM DATE OF THIS ORDER
CEASED AND DESIST FROM ENTERING INTO ANY TRANSACTION DIRECTLY OR INDIRECTLY IN ALIENATION OF ANY ASSETS FORMING SUBJECT MATTER OF BUSINESS TRANSFER AGREEMENT FROM 15-SEP-2025 UNTIL FURTHER ORDERS
DIRECTED TO EXTEND NECESSARY CO–OPERATION TO VALUER APPOINTED AND FURNISH ALL INFORMATION/DOCUMENTS
DIRECTED NSE TO SUBMIT VALUATION REPORT, FAIRNESS OPINION ALONG WITH ITS RECOMMENDATION
15-SEP-2025
|
SEBI VIDE ITS ORDER DATED 25/03/2026 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 15/09/2025
|
| 345 |
|
|
PARANJAPE SCHEMES (CONSTRUCTION) LTD.
(PAN:AACCP1941Q)
|
|
|
DELAY IN SUBMISSION OF HALF YEARLY UNAUDITED FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE OF QUARTERLY, HALF-YEARLY, YEARLY-TO-DATE AND ANNUAL FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING REGULATION 54(2) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF HALF YEARLY RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF STATEMENT OF INVESTOR COMPLAINTS TO STOCK EXCHANGES VIOLATING REGULATION 13(3) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN INTIMATION TO STOCK EXCHANGES THE DUE DATE OF INTEREST ON DEBENTURES & BONDS AND REDEMPTION AMOUNT OF REDEEMABLE SHARES OR DEBENTURES AND BONDS VIOLATING REGULATION 50(1) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF CERTIFICATE TO STOCK EXCHANGES WITHIN TWO DAYS OF INTEREST/PRINCIPAL OF BECOMING DUE IN RESPECT OF NCDS VIOLATING REGULATION 57(1) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN APPOINTMENT OF COMPLIANCE OFFICER VIOLATING REGULATION 6(1) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN APPOINTMENT OF REGISTRAR & SHARE TRANSFER AGENT VIOLATING REGULATION 7(1) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN INTIMATION TO STOCK EXCHANGES DATE OF COMMENCEMENT OF DISPATCH OF NOTICES AND MEETING OF HOLDERS ON NON-CONVERTIBLE SECURITIES IN RELATION TO PROPOSAL WITH RESPECT TO ANY MATTER AFFECTING THE RIGHTS OR INTERESTS OF HOLDERS OF NON-CONVERTIBLE SECURITIES VIOLATING REGULATION 50(2) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF ANNUAL REPORT TO STOCK EXCHANGES VIOLATING REGULATION 53(2) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF CERTIFICATE REGARDING STATUS OF PAYMENT OF INTEREST OR DIVIDEND OR REDEMPTION TO STOCK EXCHANGES VIOLATING REGULATIONS 57(4) AND 57(5) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.7,00,000
31-MAY-2024
|
|
| 346 |
|
|
PARANJAPE SCHEMES (CONSTRUCTION) LTD.
(PAN:AACCP1941Q)
|
|
|
DID NOT SUBMIT NO DEFAULT STATEMENT (NDS) TO CREDIT RATING AGENCIES VIOLATING REGULATION 8 OF SEBI (LODR) REGULATIONS 2015 READ WITH CLAUSE 1(A) AND/OR CLAUSE 1(C) OF SEBI CIRCULAR DATED 30/06/2017
|
IMPOSED PENALTY RS.20,00,000
19-JUN-2024
|
SEBI VIDE ITS NOTICE DATED 06/01/2025 DIRECTED TO PAY RS.21,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 15/01/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8501 OF 2025 DATED 06/01/2025
|
| 347 |
|
|
PARINEE REALTY PVT.LTD.
(PAN:AABCG5484E)
|
|
|
DELAY IN SUBMISSION OF COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATION 7(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT FURNISH POLICY OR ANY OTHER DOCUMENT TO DEMONSTRATE APPROVAL BY BOARD OF DIRECTORS VIOLATING REGULATION 9 OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF STATEMENT OF INVESTOR COMPLAINTS TO STOCK EXCHANGES VIOLATING REGULATION 13(3) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF COPY OF INTIMATION TO STOCK EXCHANGES THE DATE ON AND FROM INTEREST ON DEBENTURES, BONDS AND REDEMPTION AMOUNT OF REDEEMABLE SHARES OR OF DEBENTURES AND BONDS PAYABLE VIOLATING REGULATION 50(1) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES ABOUT DEFAULT IN PAYMENT OF INTEREST/PRINCIPAL AMOUNT/REDEMPTION FOR MORE THAN THREE MONTHS FROM DUE DATE VIOLATING REGULATION 51 OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF UNAUDITED FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT HALF YEARLY RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(2) AND 52(4) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF CERTIFICATE SIGNED BY DEBENTURE TRUSTEE TO STOCK EXCHANGES VIOLATING REGULATION 52(5) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PUBLISH FINANCIAL RESULTS AND STATEMENT IN AT LEAST ONE ENGLISH NATIONAL DAILY NEWSPAPER WITHIN TWO CALENDAR DAYS OF CONCLUSION OF MEETING OF BOARD OF DIRECTORS VIOLATING REGULATION 52(8) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE OF SECURITY CREATED AND MAINTAINED WITH RESPECT TO ITS LISTED NCDS TO STOCK EXCHANGES VIOLATING REGULATION 54(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT TO STOCK EXCHANGES CERTAIN DOCUMENT SUCH AS ANNUAL REPORT, CERTIFICATION ON UTILIZATION OF FUNDS, CHANGE IN CREDIT RATING, HALF YEARLY ASSETS COVER CERTIFICATE, COPY OF NOTICES, RESOLUTIONS ETC. TO DEBENTURE TRUSTEE PROMPTLY VIOLATING REGULATION 56 OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF CERTIFICATE TO STOCK EXCHANGES WITHIN TWO DAYS OF INTEREST/PRINCIPAL OF BECOMING DUE IN RESPECT OF NCDS VIOLATING REGULATION 57(1) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF UNDERTAKING BY DEBENTURE TRUSTEE TO STOCK EXCHANGES VIOLATING REGULATION 57(2) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF RECORD DATE FOR PURPOSES OF PAYMENT OF INTEREST AND REDEMPTION AMOUNT TO STOCK EXCHANGES VIOLATING REGULATION 60 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAINTAIN FUNCTIONAL WEBSITE WITH REQUISITE INFORMATION VIOLATING REGULATION 62 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,00,000
25-JAN-2022
|
|
| 348 |
|
|
PATELS AIRTEMP (INDIA) LTD.
(PAN:AABCP1375K)
|
|
|
ALLEGED VIOLATION OF REGULATION 30(2) READ WITH CLAUSE 4(D) OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
ALLEGED VIOLATION OF REGULATION 4(1)(C) READ WITH 30(2) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,53,180 VIDE CONSENT ORDER)
19-NOV-2024
|
|
| 349 |
|
|
PB GLOBAL LTD.
(PAN:AAACP2251P)
|
|
|
DID NOT OBTAIN IN-PRINCIPLE APPROVAL FROM STOCK EXCHANGE FOR ALLOTMENT OF NCRPS/CCPS
PROPOSED ALLOTTEE OF PREFERENTIAL ISSUE OF SPECIFIED SECURITIES HELD SHARES IN PHYSICAL FORM INSTEAD OF DEMATERIALISED FORM
CONVERTED CONVERTIBLE SECURITIES BEYOND TENURE OF EIGHTEEN MONTHS
DID NOT MAKE DISCLOSURE OF SPECIFIED INFORMATION RELATED TO PREFERENTIAL ISSUE AS EXPLANATORY STATEMENT TO NOTICE FOR GENERAL MEETING
ISSUED OFFER DOCUMENT AND SOLICITED MONEY FROM PUBLIC FOR THE ISSUE OF SECURITIES DURING SUSPENSION PERIOD
|
IMPOSED PENALTY RS.5,00,000
31-MAY-2024
|
COMPANY HAS PAID RS.5,07,397.26 TOWARDS PENALTY WITH INTEREST VIDE ONLINE TRANSACTION REFERENCE NO.YUBI12382840890
|
| 350 |
|
|
PC JEWELLER LTD.
(PAN:AADCP5443Q)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF DEFAULT ON LOANS AND DETAILS RELATED TO QUARTERLY REPORTS ON LOAN DEFAULTS
ALLEGED DELAY IN MAKING DISCLOSURE OF DEFAULT ON LOANS AND DETAILS RELATED TO QUARTERLY REPORTS ON LOAN DEFAULTS
ALLEGED FAILURE IN MAKING CLASSIFICATION OF LOANS AS NON-PERFORMING ASSETS (NPAS)
ALLEGED SUBMISSION OF A RESOLUTION PLAN TO THE LENDERS
ALLEGED FAILURE OF RESOLUTION PLAN
ALLEGED FAILURE IN SUBMISSION OF IMPROVED RESOLUTION PLAN
ALLEGED FAILURE IN MAKING IMPROVED RESOLUTION PLAN
ALLEGED FAILURE IN FILING WRIT PETITION BEFORE HON’BLE HIGH COURT OF DELHI IN RESPECT OF REJECTION OF RESOLUTION PLAN
ALLEGED FAILURE IN FILING SBI’S PETITION IN DRT AND ORDER OF DRT
ALLEGED FAILURE IN FILING APPEAL BEFORE DRAT AND ORDER OF DRAT
ALLEGED FAILURE IN RECEIPT OF LOAN RECALL NOTICES FROM BANKS
ALLEGED FAILURE IN FILING OF APPLICATION BY SBI FOR INITIATION OF CIRP
ALLEGED FAILURE IN SEIZURE OF PROPERTIES OF ITS GUARANTORS BY ITS LENDERS ETC.
ALLEGED FURNISHING OF MISLEADING INFORMATION TO INVESTORS AND STOCK EXCHANGES
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,22,93,100 VIDE CONSENT ORDER)
24-JAN-2025
|
|
| 351 |
|
|
PC JEWELLER LTD.
(PAN:AADCP5443Q)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF MATERIAL INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 30(1), 30(4)(I) AND 30(7) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.19,12,500 VIDE CONSENT ORDER)
05-NOV-2019
|
|
| 352 |
|
|
PERFECT-OCTAVE MEDIA PROJECTS LTD.
(PAN:AADCP0466B)
|
|
|
|
RATISH SHARADCHANDRA TAGDE
PAN:AAZPT7580P
|
|
DELAY IN MAKING DISCLOSURE OF RECEIPT OF REQUEST FROM PROMOTER FOR RE-CLASSIFICATION TO STOCK EXCHANGES VIOLATING REGULATION 31A(8)(A) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE RESIGNATION OF DIRECTORS FROM PERFECT OCTAVE MEDIA PROJECTS LTD. TO STOCK EXCHANGES VIOLATING REGULATION 31A OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF CHANGE IN DIRECTORS, KEY MANAGERIAL PERSONNEL, AUDITOR AND COMPLIANCE OFFICER TO STOCK EXCHANGES VIOLATING CLAUSE 7 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 READ WITH REGULATION 30 OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO REGULATION 27(2) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.4,00,000
27-MAR-2024
|
|
| 353 |
|
|
PERVASIVE COMMODITIES LTD.
(PAN:AABCI1571Q)
|
|
|
DID NOT EXECUTE TRIPARTITE AGREEMENT BETWEEN ERSTWHILE REGISTRAR AND SHARE TRANSFER AGENT LINK TIME INDIA PVT.LTD. AND ACCURATE SECURITIES & REGISTRY PVT.LTD. VIOLATING REGULATION 7(4) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
23-NOV-2021
|
|
| 354 |
|
|
PLATINUM INFRASTRUCTURE PVT.LTD.
(PAN:AAFCP4197D)
|
|
|
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.
|
DIRECTED NOT TO DIVERT ANY FUNDS EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI
14-MAR-2019
|
SEBI VIDE ITS ORDER DATED 11/09/2019 DIRECTED NOT TO DISPOSED OFF OR ALIENATE ANY OF THEIR ASSETS OR DIVERT ANY FUNDS, EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI TILL COMPLETION OF INVESTIGATION AND FURTHER ORDERS
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
|
| 355 |
|
|
PNB FINANCE & INDUSTRIES LTD.
(PAN:AAACP0256C)
|
|
|
|
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 PNB FINANCE & INDUSTRIES 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.3,00,00,000
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
|
| 356 |
|
|
PNB HOUSING FINANCE LTD.
(PAN:AAACP3682N)
|
|
|
|
ASHWANI KUMAR GUPTA
PAN:ACDPG9749B
|
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|
CH.S.S.MALLIKARJUNA RAO
PAN:AEWPM2516H
|
|
|
CHANDRASEKARAN RAMAKRISHNAN
PAN:AABPC6055C
|
|
|
GITA NAYYAR
PAN:ACBPN4600J
|
|
|
HARDAYAL PRASAD
PAN:ABEPP9257D
|
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|
KAPIL MODI
PAN:AQUPM9805H
|
|
|
NEERAJ VYAS
PAN:ABDPV1345B
|
|
|
NILESH S.VIKAMSEY
PAN:AABPV3680Q
|
|
|
RAJNEESH KARNATAK
PAN:AAEPK7502P
|
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|
SUDARSHAN SEN
PAN:AALPS2024B
|
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|
SUNIL KAUL
PAN:AABPK1037E
|
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|
TEJENDRA MOHAN BHASIN
PAN:AADPB4947Q
|
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ALLEGED FAILURE IN OBTAINING REGISTERED VALUER’S REPORT IN ACCORDANCE WITH ARTICLE 19(2) OF ARTICLES OF ASSOCIATION (AOA) OF COMPANY VIOLATING REGULATIONS 4(2)(F)(III)(3), (6) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
ALLEGED FAILURE TO TAKE INTO ACCOUNT THE INTERESTS OF ALL STAKEHOLDER BY NOT ACCOUNTING FOR CONTROL PREMIUM IN PRICING OF THE PREFERENTIAL ISSUE VIOLATING REGULATIONS 4(2)(F)(III)(3), (6) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
ALLEGED FAILURE IN MAKING ADEQUATE AND TIMELY DISCLOSURE OF MATERIAL INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D), 4(1)(H), 4(2)(B), 4(2)(E)(I), 4(2)(E)(II) AND 30(12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,50,000, INTEREST RS.44,26,533 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-JUL-2022
|
|
| 357 |
|
|
POLO HOTELS LTD.
(PAN:AABCP0940L)
|
|
|
DID NOT OBTAIN IN-PRINCIPAL APPROVAL FROM STOCK EXCHANGES FOR ALLOTMENT OF EQUITY SHARES ON PREFERENTIAL BASIS VIOLATING REGULATION 28(1) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000
29-NOV-2019
|
|
| 358 |
|
|
PRABHU STEEL INDUSTRIES LTD.
(PAN:AABCP0025E)
|
|
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AKSHITA HARISH AGRAWAL
PAN:BDEPA7767C
|
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DINESH GANGARAM AGRAWAL
PAN:ABLPA5717E
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HARISH GANGARAM AGARWAL
PAN:ABUPA3505F
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DID NOT ADHERE TO PREPARATION OF FINANCIAL STATEMENTS AS PER ACCOUNTING STANDARD VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(G), 4(1)(H), 33(1)(C), 48 AND 34(3) READ WITH PART B OF SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 21 OF SCRA, 1956
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IMPOSED PENALTY RS.3,00,000
10-APR-2024
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SEBI VIDE ITS NOTICE DATED 22/08/2021 DIRECTED TO PAY RS.3,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 13/08/2024 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SEBI VIDE ITS ORDER DATED 09/09/2024 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 13/09/2024 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 09/09/2024
SEBI VIDE ITS ORDER DATED 13/09/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7944 OF 2024 DATED 22/08/2024
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| 359 |
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PRADHIN LTD.
(PAN:AAACB1368B)
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DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING CLAUSE 35 READ WITH 52(1)(B) OF LISTING AGREEMENT
MADE INCORRECT AND MISLEADING INFORMATION TO STOCK EXCHANGES AND SHAREHOLDERS VIOLATING REGULATIONS 31(4) READ WITH 4(1)(C), 4(1)(E), AND 4(2)(E) OF SEBI (LODR) REGULATIONS, 2015 READ WITH REGULATION 2(PP)(II) OF SEBI (ICDR) REGULATIONS, 2009
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IMPOSED PENALTY RS.5,00,000
30-JUN-2022
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| 360 |
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PRAVEG LTD.
(PAN:AADCS5070N)
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DID NOT MAKE DISCLOSURE OF UNLISTED ENTITY DETAILS IN PRESCRIBED ABRIDGED PROSPECTUS FORMAT IN EXPLANATORY STATEMENT SENT TO SHAREHOLDERS VIOLATING CLAUSE I.A.3(A) OF ANNEXURE I TO SEBI CIRCULAR READ WITH REGULATION 11 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF EXPECTED PRE AND POST AMALGAMATION CAPITAL STRUCTURE AND SHAREHOLDING PATTERN IN EXPLANATORY STATEMENT SENT TO SHAREHOLDERS VIOLATING CLAUSE I.A.8(B) OF ANNEXURE I TO SEBI CIRCULAR READ WITH REGULATION 11 OF SEBI (LODR) REGULATIONS, 2015
DID NOT INCORPORATE STATEMENT IN SCHEME SUBMITTED TO NCLT VIOLATING CLAUSE I.A.10 OF ANNEXURE I TO SEBI CIRCULAR DATED 10/03/2017 READ WITH REGULATION 11 OF SEBI (LODR) REGULATIONS, 2015
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IMPOSED PENALTY RS.2,00,000
02-NOV-2026
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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 18 of 28
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