| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 341 |
|
PATLIPUTRA CREDIT & SECURITIES LTD.
|
|
|
|
HARISH LYALL
|
|
|
PRAKASH CHANDRA
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 342 |
|
|
PATLIPUTRA CREDIT & SECURITIES LTD.
|
|
|
|
AMARNATH CHHATWAL
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUL-1999 TO 18-JUL-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUL-1999 TO 18-JUL-2004
19-JUL-1999
|
|
| 343 |
|
|
PERFACT WEAVERS LTD.
|
|
|
|
GOKUL B.PATEL
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2000 TO 19-JUN-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2000 TO 19-JUN-2005
20-JUN-2000
|
|
| 344 |
|
|
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
|
| 345 |
|
|
PLETHICO PHARMACEUTICALS LTD.
(PAN:AABCP3063G)
|
|
|
DELAY IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
IMPOSED PENALTY RS.6,50,000
29-DEC-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 346 |
|
|
PLETHICO PHARMACEUTICALS LTD.
(PAN:AABCP3063G)
|
|
|
|
CHIRAG PATEL
PAN:ADHPP4699Q
|
|
|
GAURAVI KARTIK PARIKH
PAN:AKPPP7466E
|
|
|
SHASHIKANT APABHAI PATEL
PAN:AFVPP0343K
|
|
DID NOT MAKE DISCLOSURE OF RAISING MONEY THROUGH FCCBS AND FAILED IN REDEEMING FCCBS ON MATURITY DATE TO STOCK EXCHANGES VIOLATING CLAUSES 2.1 AND 7(II) OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING AS SPECIFIED UNDER REGULATION 12(2) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DID NOT MAKE DISCLOSURE OF RAISING MONEY THROUGH FCCBS AND FAILED IN REDEEMING FCCBS ON MATURITY DATE TO STOCK EXCHANGES VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 14/12/2022 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
|
| 347 |
|
|
PRADHIN LTD.
(PAN:AAACB1368B)
|
|
|
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
|
IMPOSED PENALTY RS.5,00,000
30-JUN-2022
|
|
| 348 |
|
|
PRAKASH CONSTROWELL LTD.
(PAN:AABCP3573F)
|
|
|
DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES VIOLATING CLAUSE 43A AND 32 OF THE LISTNG AGREEMENT READ WITH SECTION 21 OF SCRA ACT, 1956
|
IMPOSED PENALTY RS.2,00,000
01-FEB-2018
|
|
| 349 |
|
|
PREMIER AQUA FARMS LTD.
|
|
|
|
A.RAMAKRISHNA REDDY
|
|
|
A.SHANTI
|
|
|
C.ANIL KUMAR REDDY
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 350 |
|
|
PREMIER AQUA FARMS LTD.
|
|
|
|
A.RAMAKRISHNA REDDY
|
|
|
A.SHANTI
|
|
|
C.ANIL KUMAR REDDY
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2001 TO 27-FEB-2006
28-FEB-2001
|
|
| 351 |
|
|
PRIME CAPITAL MARKET LTD.
(CIN:L67120OR1994PLC003649
PAN:AABCP9313M)
|
|
|
SECURITIES UNDER INVESTIGATION
DID NOT FURNISH FINANCIAL RESULTS INCLUDING CASH FLOW STATEMENTS, BALANCE SHEET AND PROFIT & LOSS ACCOUNT TO STOCK EXCHANGE
|
SUSPENDED TRADING ON ALL STOCK EXCHANGES FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
DIRECTED THAT THE INTERIM ORDER DATED 29/09/2005 SHALL REMAIN IN FORCE TILL THE DELETION OF THE NAME OF THE COMPANY FROM THE LIST OF VANISHING COMPANIES ISSUED BY MINISTRY OF COMPANY AFFAIRS
DIRECTED CALCUTTA STOCK EXCHANGE TO RECHECK COMPLIANCE STATUS OF COMPANY AND SUBMIT ITS REPORT BEFORE REGIONAL TASK FORCE
|
| 352 |
|
|
PRIME PROPERTY DEVELOPMENT CORP.LTD.
|
|
|
|
DILSHAD S.S.
|
|
|
MANISH P.SONI
|
|
|
NITIN R.KILAWALA
|
|
|
PADAMSHI L.SONI
|
|
|
PRAKASH D.SHAH
|
|
|
SHABBIR M.SOMJI
|
|
|
SHAINAZ S.S.
|
|
|
SIRAJ M.SOMJI
|
|
|
VIREN C.MIKSHITA
|
|
|
VISHAL P.SONI
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
DID NOT MAKE DISCLOSURE OF SHAREHOLDING, CONTROL AND SALE OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT
ACTED IN CONCERT TO CREATE FALSE MARKET TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
DID NOT INFORM APPOINTMENT OF REGISTRAR AND TRANSFER AGENT TO STOCK EXCHANGE
DID NOT SUBMIT CORPORATE GOVERNANCE REPORT TO STOCK EXCHANGE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2005 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
REVOKED AD-INTERIM EX-PARTE ORDER DATED 29/09/2005
|
| 353 |
|
|
PRISM FOODS LTD.
|
|
|
|
M.NAGAPADMA
|
|
|
M.RAVINDRA
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 354 |
|
|
PROTECH CIRCUIT BREAKERS LTD.
(CIN:U29309GJ1991PLC015319)
|
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2001 TO 27-FEB-2006
28-FEB-2001
|
|
| 355 |
|
|
PROTECH SWITCHGEARS LTD.
(CIN:L31100GJ1989PLC013181)
|
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2001 TO 27-FEB-2006
28-FEB-2001
|
|
| 356 |
|
|
PUR OPALE CREATIONS LTD.
|
|
|
|
ANJALI DAVE
|
|
|
HIMANSHU DESAI
|
|
|
JAGDISH CHANDRA DAVE
|
|
|
JAYESH DAVE
|
|
|
KAMLESH MANKODI
|
|
|
MADHUBEN DAVE
|
|
|
ROHIT VYAS
|
|
|
UMESH SONI
|
|
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
DID NOT ADHERE TO LISTING AGREEMENT
|
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 08-SEP-2004 TO 07-SEP-2009
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-SEP-2004 TO 07-SEP-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-SEP-2004 TO 07-SEP-2009
08-SEP-2004
|
SAT: APPEAL DISPOSED OFF, WITHOUT INTERFERING IMPUGNED ORDER DATED 08/09/2004 BUT ALLOWED COMPANY TO PERFORM ITS BUSINESS ACTIVITIES FOR 2 YEARS AND AFTER THAT SUBMIT ITS AUDITED RESULTS WITH SEBI
SAT: DIRECTED SEBI TO DECIDE ISSUE AND TAKE A FINAL DECISION WITHIN A PERIOD OF 3 MONTHS FROM DATE OF RECEIPT OF AUDITED ACCOUNTS/REPORTS OF COMPANY
|
| 357 |
|
|
PVP VENTURES LTD.
(PAN:AAACS3101P)
|
|
|
ALLEGED DELAY IN FILING OF AUDITED FINANCIAL RESULTS AS REQUIRED UNDER CLAUSE 41 OF LISTING AGREEMENT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
10-MAR-2014
|
COMPANY HAS PAID RS.1 LAC TO SEBI VIDE DD NO.172467 DRAWN ON CANARA BANK TOWARDS SETTLEMENT CHARGES
|
| 358 |
|
|
RADFORD GLOBAL LTD.
(PAN:AABCM5771E)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT MAKE DISCLOSURE TO BSE ABOUT VARIATION BETWEEN PROJECTED UTILIZATION AND ACTUAL UTILIZATION OF PREFERENTIAL ALLOTMENT PROCEEDS VIOLATING CLAUSES 43 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.25,00,000
26-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2020 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.5 LACS FROM 10.LACS AND DIRECTED APPELLANT TO PAY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 359 |
|
|
RAJ OIL MILLS LTD.
(CIN:L15142MH2001PLC133714)
|
|
|
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSES 1.1 AND 2.1 OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING IN SCHEDULE II READ WITH REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSE 36(5) OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
|
IMPOSED PENALTY RS.5,00,000
29-NOV-2018
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER
|
| 360 |
|
|
RAJGARH INVESTMENTS LTD.
|
|
|
|
KISHAN LAL
|
|
|
N.C.GARG
|
|
|
PARINITA KHANNA
|
|
|
SEEMA GUPTA
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 18 of 28
|
