| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 361 |
|
MANISH RAICHAND SHAH
(PAN:AVUPS3273N)
|
|
|
|
SEACOAST SHIPPING SERVICES LTD.
PAN:AACCM2171R
|
|
FURNISHED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE 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)(6) AND 4(2)(F)(III)(7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PARA A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G), 4(1)(H), 4(1)(J), 4(2)(E)(I), 6(1), 6(1A), 18(2), 23(2), 27(2)(A), 32, 33(1)(A), 33(1)(C), 33(3)(D), 34(2)(A) AND 48 OF THE SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
DID NOT COMPLY WITH REGULATIONS 18(1)(D) READ WITH 16(1)(B) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
DID NOT ADHERE TO PREPARATION OF FINANCIAL STATEMENTS AND ACCOUNTING STANDARD VIOLATING REGULATION 34(3) READ WITH CLAUSE 1 OF PARA A OF SCHEDULE V TO SEBI (LORD) REGULATIONS, 2015 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEACOAST SHIPPING SERVICES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2024 TO 29-SEP-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2024 TO 29-SEP-2029
RESTRAINED FROM ACTING AS DIRECTOR/KEY MANAGERIAL PERSONNEL OF ANY LISTED COMPANY OR SUBSIDIARY OR ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY SEBI REGISTERED INTERMEDIARY FROM 30-SEP-2024 TO 29-SEP-2029
DIRECTED TO CREDIT/DEPOSIT AMOUNT OF UNLAWFUL GAINS IN INTEREST BEARING ESCROW ACCOUNT WITH NATIONALIZED BANK WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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 REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
30-SEP-2024
DIRECTED TO DISGORGE RS.47,89,87,587
IMPOSED PENALTY RS.50,00,000
24-SEP-2025
|
SAT: SAT VIDE ITS ORDER DATED 06/12/2024 DISMISSED THE APPEAL WITH LIBERTY TO APPELLANTS TO RAISE ALL CONTENTIONS BEFORE THE WTM OF SEBI
SAT: SAT VIDE ITS ORDER DATED 06/05/2025 EXTENDED TIME TILL 30/09/2025
VIDE ITS ORDER DATED 24/09/2025 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES OR ACCESSING CAPITAL MARKETS, DIRECTLY OR INDIRECTLY, IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF INTERIM ORDER CUM SCN I.E.30/09/2024 B) RESTRAINED FROM ASSOCIATING HIMSELF WITH ANY INTERMEDIARIES REGISTERED WITH SEBI, ANY LISTED PUBLIC COMPANY OR ANY COMPANY EXCEPT SEACOAST SHIPPING SERVICES LTD. THAT INTENDS TO RAISE MONEY FROM PUBLIC IN ANY MANNER WHATSOEVER INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL FOR FIVE YEARS FROM DATE OF INTERIM ORDER CUM SCN I.E.30/09/2024 C) IMPOSED PENALTY OF RS.30 LAC U/S 15HA AND RS.20 LAC U/S 15HB OF SEBI ACT. AND TO PAY WITHIN FORTY-FIVE (45) DAYS FROM DATE OF RECEIPT OF THIS ORDER D) DIRECTED TO DISGORGE UNLAWFUL GAINS OF RS.47,89,87,587.00 ALONG WITH INTEREST @12% P.A. FROM THE DATE GAINS WERE MADE TO BE REMITTED TO SEBI'SIPEF WITHIN 45 DAYS FROM RECEIPT OF THIS ORDER E) BANK ACCOUNTS INCLUDING JOINT ACCOUNTS SHALL CONTINUE TO REMAIN FROZEN AND NO DEBITS ARE ALLOWED WITHOUT PERMISSION OF SEBI EXCEPT FOR PAYMENT OF DISGORGEMENT AMOUNT. FURTHER, DEPOSITORIES ARE ALSO DIRECTED THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI. FURTHER, DEMAT ACCOUNTS OF NOTICEE ARE ALSO FROZEN FOR DEBITS BUT CREDITS ARE ALLOWED. BANKS AND DEPOSITORIES ARE DIRECTED TO ENSURE THAT ALL THE DIRECTIONS ARE STRICTLY ENFORCED. DEBITS MAY BE ALLOWED FROM BANK ACCOUNTS ONLY FOR AMOUNTS EXCEEDING DISGORGEMENT AMOUNT F) DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT UNTIL THE DISGORGEMENT AMOUNT WITH INTEREST IS PAID, NO TRANSFER OR REDEMPTION OF SECURITIES OR MUTUAL FUND UNITS HELD BY NOTICEE NO.2 INDIVIDUALLY OR JOINTLY G) NOT TO DISPOSE OF OR ALIENATE ANY ASSETS/PROPERTIES/SECURITIES TILL SUCH TIME AMOUNT OF UNLAWFUL GAINS IS DEPOSITED EXCEPT WITH PRIOR PERMISSION OF SEBI
|
| 362 |
|
|
MANISHA AGARWAL
(PAN:ABKPA0056B)
|
|
|
|
SVAM SOFTWARE LTD.
CIN:L72200DL1992PLC047327
PAN:AAACS0292B
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF SVAM VIOLATING SECTIONS 12A (A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SVAM SOFTWARE LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF SVAM VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(1) (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SVAM SOFTWARE LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SVAM SOFTWARE LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF SVAM SOFTWARE 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 07-OCT-2021 TO 06-OCT-2022
IMPOSED PENALTY RS.4,00,000
07-OCT-2021
|
SAT: SAT VIDE ITS ORDER DATED 11/01/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, DEBARMENT OF THE APPELLANTS TO REMAIN STAYED PROVIDED THEY DEPOSIT FIFTY PERCENT OF THE PENALTY AMOUNT WITHIN THREE WEEKS FROM TODAY
SAT: SAT VIDE ITS ORDER DATED 13/10/2022 PARTLY ALLOWED THE APPEAL BY REDUCING DEBARMENT PERIOD FROM ONE YEAR TO PERIOD UNDERGONE
|
| 363 |
|
|
MANISHA GUPTA
(PAN:AFPPG4864C)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(1)(B) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF FIBREWEB INDIA LTD.
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 FIBREWEB INDIA LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-SEP-2017
|
|
| 364 |
|
|
MANISHA JAIN
(PAN:BMJPJ6349H)
|
|
|
DID NOT PLACE COMPLETE INFORMATION AND AGENDA ITEM BEFORE BOARD OF DIRECTORS VIOLATING REGULATION 17(7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF URJA GLOBAL LTD.
DID NOT DISCHARGE DUTY AS COMPLIANCE OFFICER VIOLATING REGULATION 6(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF URJA GLOBAL LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JAN-2025
|
SAT: SAT VIDE ITS ORDER DATED 05/05/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 365 |
|
|
MANMOHAN AHLUWALIA
(PAN:AGDPA0642F)
|
|
|
|
ESKAY K'N'IT (INDIA) LTD.
CIN:L18109DN1987PLC000034
PAN:AABCS1363G
|
|
MISREPRESENTED FINANCIALS AND/OR BUSINESS AND MISUSED FUNDS/BOOKS OF ACCOUNTS OF ESKAY AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 8, 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ESKAY K'N'IT (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 11-AUG-2021 TO 10-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.3,00,000
11-AUG-2021
|
SEBI VIDE ITS ORDER DATED 09/06/2023 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 11/07/2024 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 09/06/2023
SEBI VIDE ITS ORDER DATED 11/07/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4263 OF 2021 DATED 16/11/2021
|
| 366 |
|
|
MANOHAR IYER SADAHALLI NAGARAJ
(PAN:ADKPN1944R)
|
|
|
|
CRESSANDA RAILWAY SOLUTIONS LTD.
PAN:AAACC1553F
|
|
INDULGED IN FICTITIOUS SALES AND PURCHASE TRANSACTIONS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(C) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CRESSANDA RAILWAY SOLUTIONS LTD. (PREVIOUSLY KNOWN AS CRESSANDA SOLUTIONS LTD.)
INDULGED IN FICTITIOUS SALES AND PURCHASE TRANSACTIONS VIOLATING REGULATIONS 4(1), 4(2)(E), 4(2)(F), 32(1), 33 AND 34 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CRESSANDA RAILWAY SOLUTIONS LTD. (PREVIOUSLY KNOWN AS CRESSANDA SOLUTIONS LTD.)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-OCT-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-OCT-2024 UNTIL FURTHER ORDERS
11-OCT-2024
|
SEBI VIDE ITS ORDER DATED 26/03/2025 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 11/10/2024
|
| 367 |
|
|
MANOJ GAUR
(PAN:AAOPG1931A)
|
|
|
|
JAIPRAKASH POWER VENTURES LTD.
PAN:AAACJ6297K
|
|
MISREPRESENTED BOOKS OF ACCOUNTS AND/OR FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(R) READ WITH 2(1)(B) AND 2(1)(C)(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JAIPRAKASH POWER VENTURES LTD.
MISREPRESENTED BOOKS OF ACCOUNTS AND/OR FINANCIAL STATEMENTS VIOLATING CLAUSE 41(I)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF JAIPRAKASH POWER VENTURES LTD.
MISREPRESENTED BOOKS OF ACCOUNTS AND/OR FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E) AND 4(1)(G) TO 4(1)(J) READ WITH 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6), (7), 4(2)(F)(III) (1)(3), (6), (12), 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF JAIPRAKASH POWER VENTURES LTD.
|
IMPOSED PENALTY RS.7,00,000
27-DEC-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 STAYED THE RECOVERY SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 08/07/2025 GRANTED APPELLANT SIX WEEKS TO FILE REJOINDER
|
| 368 |
|
|
MANOJ GUPTA
(PAN:AATPG3850H)
|
|
|
|
RANA SUGARS LTD.
PAN:AABCR6744C
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS TO ITS PROMOTERS AND THEIR FAMILY MEMBERS THROUGH CONDUIT ENTITIES VIOLATING SECTIONS 12A(B) AND 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C), 3(D), 4(1), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RANA SUGAR LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II AND REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 1992 IN MATTER OF RANA SUGAR LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS AND DID NOT TAKE AUDIT COMMITTEE AND/OR SHAREHOLDER’S APPROVAL FOR UNDISCLOSED RELATED PARTY TRANSACTIONS VIOLATING REGULATIONS 23(2), 23(4), 23(9), 30(2), 30(3), 33(1)(C) AND 34(3) READ WITH PART A OF SCHEDULE V READ WITH CLAUSE (2)(B) AND (3)(C) OF PART C OF SCHEDULE V SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RANA SUGAR LTD.
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RANA SUGAR 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 27-AUG-2024 TO 26-AUG-2026
IMPOSED PENALTY RS.4,00,00,000
27-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED APPELLANTS A WEEK’S TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 ALLOWED THE EXEMPTION APPLICATION AND GRANTED EARLIER INTERIM PROTECTION TO BE CONTINUE TILL NEXT DATE OF HEARING
SAT: SAT VIDE ITS ORDER DATED 30/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 DIRECTED SEBI TO FILE REPLY WITHIN FOUR WEEKS AND REJOINDER, IF ANY, TO BE FILED TWO WEEKS THEREAFTER. IN THE MEANWHILE, SEBI NOT TO INITIATE ANY COERCIVE ACTION AGAINST APPELLANTS
SAT: SAT VIDE ITS ORDER DATED 11/06/2025 CONDONED THE DELAY IN FILING OF REPLY AND GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 369 |
|
|
MANOJ RAMGOPAL MALPANI
(PAN:AADPM9730A)
|
|
|
|
ONELIFE CAPITAL ADVISORS LTD.
PAN:AAACO9540L
|
|
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.
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.
FURNISHED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
|
IMPOSED PENALTY RS.10,00,000
28-MAR-2025
|
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
|
| 370 |
|
|
MANU M.PARPIA
(PAN:AACPP8377R)
|
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NESCO LTD.
PAN:AAACN1222E
|
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ALLEGED TO CONTINUE AS INDEPENDENT DIRECTOR OF NESCO LTD. FOR MORE THAN A YEAR EVEN AFTER EXPIRY OF TENURE ON 09/05/2022 VIOLATING REGULATIONS 4(2)(F)(II)(2), 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(3), AND 4(2)(F)(III)(12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF NESCO LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,45,000 VIDE CONSENT ORDER)
01-JAN-2025
|
|
| 371 |
|
|
MASILAMANI NANDAGOPAL
(PAN:AADPN2678L)
|
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BINNY LTD.
PAN:AAACB2529G
|
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DID NOT MAKE DISCLOSURE OF ORDER OF HON’BLE SUPREME COURT DATED 04/08/2023 TO STOCK EXCHANGE VIOLATING REGULATIONS 30(1) READ WITH 30(2) AND CLAUSE 20 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BINNY LTD.
DELAY IN MAKING DISCLOSURE OF INITIATION OF FORENSIC AUDIT TO STOCK EXCHANGES VIOLATING REGULATION 30(6) READ WITH CLAUSE 17(A) OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BINNY LTD.
DELAY IN MAKING DISCLOSURE OF RESIGNATION OF DIRECTOR TO STOCK EXCHANGES VIOLATING REGULATIONS 30(6) READ WITH CLAUSE 7 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BINNY LTD.
DID NOT INTIMATE MCA REGARDING RESIGNATION OF DIRECTOR VIOLATING REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BINNY LTD.
SUBMITTED CONTRADICTORY DISCLOSURES REGARDING BOARD MEETINGS TO STOCK EXCHANGES VIOLATING REGULATION 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BINNY LTD.
DID NOT MAKE DISCLOSURE OF APPOINTMENT OF DIRECTORS AND/OR CHIEF FINANCIAL OFFICER TO STOCK EXCHANGES VIOLATING REGULATIONS 30(1) READ WITH30(2) AND CLAUSE 7 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 AND SEBI CIRCULAR DATED 13/07/2023 IN MATTER OF BINNY LTD.
DID NOT SUBMIT FINANCIAL STATEMENT, CORPORATE GOVERNANCE REPORT, AND SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING REGULATIONS 27(2), 33(D) AND 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BINNY LTD.
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES AGREEMENT BETWEEN MR.ARVIND NANDAGOPALAND THEMSELVES VIOLATING REGULATIONS 30(6) READ WITH CLAUSE 5A OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 AND SEBI CIRCULAR DATED 13/07/2023 IN MATTER OF BINNY LTD.
DID NOT MAKE DISCLOSURE OF CHANGE IN STATUTORY AUDITOR TO STOCK EXCHANGES VIOLATING REGULATIONS 30(1) READ WITH 30(2) ANDCLAUSES7AND 7A OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 AND SEBI CIRCULAR DATED 13/07/2023 IN MATTER OF BINNY LTD.
|
IMPOSED PENALTY RS.6,00,000
30-OCT-2025
|
|
| 372 |
|
|
MASILAMANI NANDAGOPAL
(PAN:AADPN2678L)
|
|
|
|
BINNY LTD.
PAN:AAACB2529G
|
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INDULGED IN DIVERSION AND SIPHONING OF FUNDS TO RELATED PARTIES, MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS 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) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BINNY LTD.
INDULGED IN DIVERSION AND SIPHONING OF FUNDS TO RELATED PARTIES, MISREPRESENTATION OF FINANCIAL STATEMENTS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6), (7), 4(2)(F)(III)(1), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BINNY LTD.
DID NOT OBTAIN NECESSARY APPROVAL WITH RESPECT TO RELATED PARTY TRANSACTIONS FROM SHAREHOLDERS AND AUDIT COMMITTEE VIOLATING CLAUSE 49(VII)(E) OF ERSTWHILE LISTING AGREEMENT READ WITH REGULATIONS 103 OF SEBI (LODR) REGULATIONS, 2015 AND REGULATIONS 23(2), 23(4) AND 23(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BINNY LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JUL-2024 TO 30-JUL-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 TO 30-JUL-2027
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 31-JUL-2024 TO 30-JUL-2027
IMPOSED PENALTY RS.6,00,00,000
31-JUL-2024
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SEBI VIDE ITS NOTICE DATED 07/11/2024 DIRECTED TO PAY RS.6,30,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 12/11/2024 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 19/11/2024 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK/POST OFFICE ACCOUNTS OF THE DEFAULTER WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 12/11/2024
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| 373 |
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MAUREEN NUSLI WADIA
(PAN:AAAPW4163A)
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BOMBAY BURMAH TRADING CORP.LTD.,THE
PAN:AAACT4309C
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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.
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REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
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| 374 |
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MAYUR P.SHAH
(PAN:ARNPS1936P)
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LCC INFOTECH LTD.
PAN:AACCA2580J
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DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE IN APPROVING FINANCIAL STATEMENTS VIOLATING REGULATION 18(3) READ WITH PART A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LCC INFOTECH LTD.
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IMPOSED PENALTY RS.1,00,000
12-NOV-2024
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| 375 |
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MEHUL CHINUBHAI CHOKSI
(DIN:00060099
PAN:AABPC1451E)
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GITANJALI GEMS LTD.
PAN:AAACG1642F
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DID NOT EXERCISE DUE DILIGENCE & CARE AND DID NOT FULFIL RESPONSIBILITY OF MAINTAINING ETHICAL STANDARDS IN COMPANY VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(8), 4(2)(F)(III)(3) AND 4(2)(F)(III)(6) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF GITANJALI GEMS LTD.
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IMPOSED PENALTY RS.5,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-FEB-2020
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SEBI VIDE ITS NOTICE DATED 04/09/2020 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 17/03/2022 DIRECTED ALL THE BANKS TO REMIT RS.6,23,13,329.00 TO THE EXTENT LYING IN THE ACCOUNT OF GITANJALI GEMS LTD., MR.MEHUL CHINUBHAI CHOKSI & MR.DHANESH VRAJLAL SHETH TO SEBI BY WAY OF EFT/NEFT/RTGS
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| 376 |
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MILIND MADHUKAR PALAV
(PAN:BOLPP8040R)
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CRESSANDA RAILWAY SOLUTIONS LTD.
PAN:AAACC1553F
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DIVERTED PROCEEDS OF PREFERENTIAL ISSUE AS LOANS AND ADVANCES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(C) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CRESSANDA RAILWAY SOLUTIONS LTD. (PREVIOUSLY KNOWN AS CRESSANDA SOLUTIONS LTD.)
DIVERTED PROCEEDS OF PREFERENTIAL ISSUE AS LOANS AND ADVANCES VIOLATING REGULATIONS 4(1), 4(2)(E), 4(2)(F), 33 AND 34 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CRESSANDA RAILWAY SOLUTIONS LTD. (PREVIOUSLY KNOWN AS CRESSANDA SOLUTIONS LTD.)
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-OCT-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-OCT-2024 UNTIL FURTHER ORDERS
11-OCT-2024
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SEBI VIDE ITS ORDER DATED 26/03/2025 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 11/10/2024
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| 377 |
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MILINDKUMAR V.BABAR
(PAN:ABDPB5999H)
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MANPASAND BEVERAGES LTD.
CIN:L15549GJ2010PLC063283
PAN:AAHCM1210E
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DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH CLAUSES A(1), A(4), A(5), A(7) AND A(11) TO A(13) OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2024 TO 29-APR-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2024 TO 29-APR-2027
IMPOSED PENALTY RS.2,00,000
30-APR-2024
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SAT: SAT VIDE ITS ORDER DATED 21/05/2024 STAYED INTERIM DIRECTION AT PARAGRAPH NO.69(B) OF IMPUGNED ORDER SUBJECT TO APPELLANTS BEING PERMITTED TO KEY MANAGEMENT PERSONNEL (KMP). PARAGRAPH NOS.69(D) OF IMPUGNED ORDER REMAIN STAYED SUBJECT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 27/09/2024 GRANTED FOUR WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 02/12/2024 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/04/2025 GRANTED APPELLANTS A WEEK’S TO FILE REJOINDER
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| 378 |
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MILINDKUMAR V.BABAR
(PAN:ABDPB5999H)
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MANPASAND BEVERAGES LTD.
CIN:L15549GJ2010PLC063283
PAN:AAHCM1210E
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DID NOT MONITOR UTILIZATION OF ISSUE PROCEEDS OF VIOLATING REGULATION 18(3) READ WITH PARA (A)(6) OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.
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IMPOSED PENALTY RS.2,00,000
02-MAR-2023
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SAT: SAT VIDE ITS ORDER DATED 01/05/2023 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND DIRECTED APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 05/07/2023 CONDONED THE DELAY IN FILING OF APPEAL
SEBI VIDE ITS NOTICE DATED 18/07/2023 DIRECTED TO PAY RS.2,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 01/08/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6906 OF 2023 DATED 18/07/2023
SAT: SAT VIDE ITS ORDER DATED 10/10/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/01/2024 ALLOWED FURTHER THREE WEEKS TO FILE REJOINDER
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| 379 |
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MINAKSHI SINGH
(PAN:CNYPS8739P)
|
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DID NOT ADHERE TO CLAUSE 6(C)(III) OF AUDITOR RESIGNATION CIRCULAR READ WITH SUB-PARA 7 OF PARA A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 READ WITH REGULATION 18(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF JUMP NETWORKS LTD.
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IMPOSED PENALTY RS.1,00,000
24-NOV-2022
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SEBI VIDE ITS NOTICE DATED 23/05/2023 DIRECTED TO PAY RS.1,08,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 31/08/2023 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 09/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,13,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
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| 380 |
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MITA SINHA
(PAN:AGOPS8899K)
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URJA GLOBAL LTD.
PAN:AAACC0367M
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DID NOT MAINTAIN HIGH ETHICAL STANDARDS AND TO TAKE INTO ACCOUNT INTEREST OF STAKEHOLDERS VIOLATING REGULATIONS 4(2)(F)III(3), 4(2)(F) III(6), 4(2)(F) III(7), 4(2)(F) III(12) AND 4(2)(F)III(13) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF URJA GLOBAL LTD.
DID NOT MAINTAIN OPERATIONAL TRANSPARENCY AND ETHICAL STANDARDS IN COMPANY VIOLATING REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSES A, C & H AND CLAUSES 1 TO 3, 7, 11 AND 12 OF DUTIES OF INDEPENDENT DIRECTORS SECTION IN COMPANY’S CODE OF CONDUCT IN MATTER OF URJA GLOBAL LTD.
DID NOT ADHERE TO REGULATION 17(5)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSES I.1, I.2, I.3, II.1, II.2, II.5, II.6, III.2 AND III.11 OF SCHEDULE IV (CODE FOR INDEPENDENT DIRECTORS) OF COMPANIES ACT, 2013 IN MATTER OF URJA GLOBAL LTD.
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IMPOSED PENALTY RS.3,00,000
29-JAN-2025
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SAT: SAT VIDE ITS ORDER DATED 05/05/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
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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 19 of 43
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