| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 361 |
|
KEMEFS SPECIALITIES PVT.LTD.
|
|
|
DEALT IN SCRIP OF HELIOS & MATHESON INFORMATION TECHNOLOGY LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
MISLED SEBI BY SUBMITTING POWER OF ATTORNEY OF JM MORGAN STANLEY RETAIL SERVICES PVT.LTD. IN MATTER OF HELIOS & MATHESON INFORMATION TECHNOLOGY LTD.
|
IMPOSED PENALTY RS.25,00,000
31-JAN-2011
|
SAT: SAT VIDE ITS ORDER DATED 21/07/2011 HAS MODIFIED ORDER DATED 31/01/2011 BY REDUCING PENALTY AMOUNT TO RS.7.50 LACS FROM 15 LACS UNDER SECTION 15G(I), WITH NO ORDER AS TO COSTS
|
| 362 |
|
|
KESHRIMAL MAFATLAL SETH (HUF)
(PAN:AACHK3218A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 363 |
|
|
KEYUR MADHUSUDAN SHAH (HUF)
(PAN:AAAHK5034L)
(Along with : KELVIN FINCAP LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH MATCHED TRANSACTIONS IN SCRIP OF KELVIN FINCAP LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KELVIN FINCAP LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2014 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2014 TILL FURTHER ORDERS
14-AUG-2014
|
SEBI VIDE ITS ORDER DATED 31/03/2015 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 14/08/2014
SAT: SAT VIDE ITS ORDER DATED 16/05/2017 REITERATED THAT THAT THE MATTER CAN BE DISPOSED OF WITH A DIRECTION TO SEBI TO COMPLETE INVESTIGATION AND PASS THE APPROPRIATE ORDER IN RESPECT OF THE INVESTIGATION WITHIN A PERIOD OF FIVE MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 03/10/2017 REVOKED ITS DIRECTIONS ISSUED VIDE ITS CONFIRMATORY ORDER DATED 31/03/2015
|
| 364 |
|
|
KINITA REAL ESTATE PVT.LTD.
(PAN:AADCK7739G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MAHAN INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MAHAN INDUSTRIES LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MAHAN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.9,00,000
24-APR-2015
|
SEBI VIDE ITS NOTICE DATED 15/03/2016 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
SAT: SAT VIDE ITS ORDER DATED 14/07/2016 QUASHED AND SET ASIDED PENALTY IMPOSED UNDER SECTION ALLEGEDLY VIOLATING 1997 REGULATIONS AND PIT REGULATIONS. PENALTY IMPOSED UNDER SECTION 15A (A) OF SEBI ACT VIOLATING SECTION 11C(3) AND SECTION 11C(5) OF SEBI ACT UPHELD AND DIRECTED TO WITHIN SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 22/11/2016 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 15/03/2016
|
| 365 |
|
|
KIRAN VYAPAR LTD.
(PAN:AABCK4935A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(6), 10(7) AND 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF PERIA KARAMALAI TEA & PRODUCE CO.LTD.,THE
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(2A), 13(3) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PERIA KARAMALAI TEA & PRODUCE CO.LTD.,THE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,10,594 VIDE CONSENT ORDER)
18-JUL-2017
|
|
| 366 |
|
|
KIRI INDUSTRIES LTD.
|
|
|
ALLEGED VIOLATION OF REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,88,682 VIDE CONSENT ORDER)
12-OCT-2018
|
|
| 367 |
|
|
KIRIT RATILAL SHAH (HUF)
(PAN:AAHHK6820R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 368 |
|
|
KNR CONSTRUCTIONS LTD.
|
|
|
|
D.RAMAIAH
|
|
|
J.S.R.CHANDRAMOULI
|
|
|
J.V.PANINDRA REDDY
|
|
|
K.JALANDHAR REDDY
|
|
|
L.B.REDDY
|
|
|
M.RAJESH REDDY
|
|
DID NOT CLOSE TRADING WINDOW AS REQUIRED UNDER CLAUSES 1.2,3.2 AND 3.3 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES AS PRESCRIBED UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KNR CONSTRUCTIONS LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2011
|
|
| 369 |
|
|
KNR CONSTRUCTIONS LTD.
|
|
|
GAVE CLEARANCE TO CHAIRMAN FOR PURCHASE OF SHARES OF COMPANY DURING TRADING WINDOW CLOSURE PERIOD VIOLATING REGULATION 12(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND CLAUSES 1.2,3.2 AND 3.3 OF SCHEDULE I READ WITH REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.4,00,000
30-NOV-2011
|
|
| 370 |
|
|
KOSHIBO TRADE LINKS PVT.LTD.
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12 A (D&E) OF SEBI ACT, 1992 IN SCRIP OF NOVA PETROCHEMICALS LTD.
|
IMPOSED PENALTY RS.50,000
02-AUG-2010
|
|
| 371 |
|
|
KPM INFOTECH PVT.LTD.
(PAN:AADCK2496E)
|
|
|
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.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.2,00,000
21-MAY-2019
|
|
| 372 |
|
|
KRISHNA ENGINEERING WORKS LTD.
(CIN:L29219PB1983PLC005454)
|
|
|
|
GURBACHAN JUNEJA
DIN:00410440
|
|
|
SATISH AHUJA
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO NSE AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DID NOT SUBMIT QUARTERLY COMPLIANCE REPORTS FOR QUARTERS ENDED MARCH 2006,JUNE 2006, SEPTEMBER 2006,DECEMBER 2006 AND MARCH 2007 TO NSE AS REQUIRED UNDER CLAUSE 49 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.2,00,000
14-DEC-2009
|
SAT: IMPUGNED ORDER DATED 14/12/2009 MODIFIED AND PENALTY AMOUNT REDUCED TO RS.1,00,000 FROM 2,00,000, VIDE ORDER DATED 05/04/2010. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/09/2010, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 373 |
|
|
KRP CONSULTANTS PVT.LTD.
|
|
|
|
GOPAL VIJAY
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
V.K.AGARWAL
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 374 |
|
|
KSEMA FINSECURE CONSULTANTS LTD.
(PAN:AADCK9953C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF CENTURY 21ST PORTFOLIO LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF CENTURY 21ST PORTFOLIO LTD.
|
IMPOSED PENALTY RS.2,00,000
31-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 375 |
|
|
KSS LTD.
(PAN:AAACG5103D)
|
|
|
|
ASHOK GAGWANI
PAN:AAFPG0318J
|
|
|
PARAG M.SANGHAVI
PAN:ATYPS3041A
|
|
|
SANJAY BIPIN LAI
PAN:AAEPL6967H
|
|
WRONG AND DELAYED DISCLOSURE OF PLEDGED SHARES OF MANTRA TRADING CO.PVT.LTD. TO NSE VIOLATING REGULATION 8A(4) OF SAST (AMENDMENT) REGULATIONS, 2009 IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF PLEDGED SHARES OF PROMOTERS TO BSE IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF INVOCATION OF SHARES OF THE PROMOTERS TO NSE & BSE DESPITE RECEIVING THE SAME FROM THE PROMOTERS IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF NON-IMPLEMENTATION OF CORPORATE ANNOUNCEMENTS TO STOCK EXCHANGES VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KSS LTD.
DID NOT MAKE DISCLOSURE OF INVOCATION OF PLEDGED SHARES TO STOCK EXCHANGES VIOLATING CLAUSE 2.1 OF SCHEDULE II OF REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KSS LTD.
|
IMPOSED PENALTY RS.10,00,000
11-MAY-2018
|
|
| 376 |
|
|
KSS LTD.
(PAN:AAACG5103D)
|
|
|
DELAY IN MAKING DISCLOSURE OF PLEDGED AND INVOCATION OF PLEDGED SHARES TO BSE AS REQUIRED UNDER REGULATION 8A(4) OF SAST (AMENDMENT) REGULATIONS, 2009
DID NOT DISSEMINATE DETAILS OF PLEDGED SHARES OF THE PROMOTERS TO BSE AS REQUIRED UNDER REGULATION 8A(4) OF SAST (AMENDMENT) REGULATIONS, 2009
DID NOT MAKE CORRECT DISCLOSURE OF PLEDGED SHARES OF PROMOTER TO NSE AS REQUIRED UNDER REGULATION 8A(4) OF SAST (AMENDMENT) REGULATIONS, 2009
DID NOT MAKE DISCLOSURE OF NON IMPLEMENTATION OF CORPORATE ANNOUNCEMENTS TO STOCK EXCHANGES VIOLATING REGULATION 12(2) READ WITH CLAUSE 2.1 OF SCHEDULE II OF SEBI (PIT) REGULATIONS, 1992
DID NOT MAKE DISCLOSURE OF NON IMPLEMENTATION OF CORPORATE ANNOUNCEMENTS TO STOCK EXCHANGES VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.4,00,000
30-OCT-2019
|
SAT: SAT VIDE ITS ORDER DATED 22/06/2021 ALLOWED APPELLANT THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/08/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/09/2021 PARTLY ALLOWED THE APPEAL AND AFFIRMED IMPUGNED ORDER DATED 30/10.2019 BY REDUCING PENALTY TO RS.4 LAC FROM RS.7 LAC
SAT: SAT VIDE ITS ORDER DATED 27/09/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 12/04/2022 DIRECTED TO PAY RS.3,94,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 28/04/2022 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 ORDER DATED 30/09/2022 DIRECTED ALL THE BANKS TO REMIT RS.4,38,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF KSS LTD. BY WAY OF EFT/NEFT/RTGS
|
| 377 |
|
|
KWALITY LTD.
(PAN:AABCK1289R)
|
|
|
|
GULSHAN DHINGRA
PAN:AAFPD9564P
|
|
|
KRISHAN DHINGRA
PAN:AEOPD7331P
|
|
|
NARESH DHINGRA
PAN:AEQPD3702E
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KWALITY LTD.
|
IMPOSED PENALTY RS.6,00,000
13-APR-2017
|
|
| 378 |
|
|
KYNER TRADING PVT.LTD.
(PAN:AADCK6443P)
|
|
|
DID NOT MAKE 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 RAMMAICA (INDIA) LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF RAMMAICA (INDIA) LTD.
|
IMPOSED PENALTY RS.7,50,000
30-MAY-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 12/10/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 ORDER DATED 17/01/2020 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL AND MUTUAL FUNDS 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 12/10/2018
|
| 379 |
|
|
LAKESIDE PROPERTIES PVT.LTD.
(PAN:AABCL4041Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF MAHAN INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MAHAN INDUSTRIES LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MAHAN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.9,00,000
30-SEP-2015
|
SEBI VIDE ITS NOTICE DATED 15/03/2016 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
SAT: SAT VIDE ITS ORDER DATED 14/07/2016 QUASHED AND SET ASIDED PENALTY IMPOSED UNDER SECTION ALLEGEDLY VIOLATING 1997 REGULATIONS AND PIT REGULATIONS. PENALTY IMPOSED UNDER SECTION 15A (A) OF SEBI ACT VIOLATING SECTION 11C(3) AND SECTION 11C(5) OF SEBI ACT UPHELD AND DIRECTED TO WITHIN SIX WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 25/10/2016 CONDONED THE DELAY OF 6-7 DAYS IN PAYING THE PENALTY AMOUNT OF RS.4 LAC. NO COSTS
SEBI VIDE ITS ORDER DATED 22/11/2016 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 15/03/2016
|
| 380 |
|
|
LAKHANPUR COAL CARRIERS PVT.LTD.
(PAN:AAACL7944F)
|
|
|
DID NOT MAKE 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 IN MATTER OF USG TECH SOLUTIONS LTD.
|
IMPOSED PENALTY RS.1,00,000
30-DEC-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 19 of 42
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