| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ADITYA INVESTMENTS & COMMUNICATION LTD.
(PAN:AAACA5288P)
|
|
|
DID NOT MAKE OPEN OFFER TO SHAREHOLDERS POST ACQUISITION OF SHARES OF TRANSCHEM LTD. VIOLATING REGULATION 3(1) OF SAST REGULATIONS, 2011
|
IMPOSED PENALTY RS.4,50,000 ALONG WITH OTHER ENTITIES/PERSONS
18-FEB-2020
|
|
| 22 |
|
|
ADITYA SAH (HUF)
(PAN:AAHHA1697J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5), 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF G.P.PETROLEUMS LTD. (FORMERLY KNOWN AS SAH PETROLEUMS LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,16,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 23 |
|
|
ADVANCE CHEMICAS
(PAN:AAEFA7026J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PUNJAB ALKALIES & CHEMICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,77,813 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 24 |
|
|
AIR TRAVEL SERVICES PVT.LTD.
(CIN:U63040GJ1981PTC004388
PAN:AABCA6361N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF JAY ENERGY & S.ENERGIES LTD.
|
IMPOSED PENALTY RS.2,00,000
30-NOV-2018
|
SEBI VIDE ITS ORDER DATED 19/07/2019 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 04/01/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,25,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 25 |
|
|
AISA INTERNATIONAL PVT.LTD.
(CIN:U74899DL1994PTC060744
PAN:AAACA8505H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF AMTEK AUTO LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO NSE AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF AMTEK AUTO LTD.
|
IMPOSED PENALTY RS.1,00,000
30-OCT-2018
|
|
| 26 |
|
|
AJAY ANAND (HUF)
(PAN:AAGHA5728R)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(2) READ WITH 13(1) OF SAST REGULATIONS, 2011 IN MATTER OF FAZE THREE LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
10-JUL-2019
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2020 DISMISSED THE APPEAL AND DIRECTED APPELLANTS TO PAY ENTIRE AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
|
| 27 |
|
|
AJITBHAI PATEL (HUF)
(PAN:AAEHP1151P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF AROMA ENTERPRISES (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,98,273 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-DEC-2017
|
|
| 28 |
|
|
AK PACKAGING PVT.LTD.
(PAN:AADCA2134K)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5) AND 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2021
|
|
| 29 |
|
|
AKAR ESTATE & FINANCE PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(3) READ WITH 3(2) AND 25(5) OF SAST REGULATIONS, 2011 IN MATTER OF PRAXIS HOME RETAIL LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2023
|
|
| 30 |
|
|
AKASH FARMS LLP
(PAN:ABNFA1292L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF TECHINDIA NIRMAN LTD. (FORMERLY KNOWN AS NATH SEEDS LTD.)
|
IMPOSED PENALTY RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JUN-2024
|
|
| 31 |
|
|
AKSHYA INFRASTRUCTURE PVT.LTD.
(PAN:AAHCA6944K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF MARG LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MARG LTD.
|
IMPOSED PENALTY RS.2,00,000
22-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 19/04/2023 CONDONED THE DELAY IN FILING OF REVIEW APPLICATION. DISMISSED REVIEW APPLICATION
|
| 32 |
|
|
AL JURAINA PRECIOUS METALS & BULLIONS FZE
(PAN:AALCA9215F)
|
|
|
MADE INCORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2), 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ATLAS JEWELLERY INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2021
|
|
| 33 |
|
|
AL JURAINA PRECIOUS METALS & BULLIONS FZE
(PAN:AALCA9215F)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(2 ) READ WITH 13(1) OF SAST REGULATIONS, 2011 IN MATTER OF ATLAS JEWELLERY INDIA LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-JUN-2021
|
|
| 34 |
|
|
AL LAYYAH GENERAL TRADING FZE
(PAN:AALCA9217H)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(2 ) READ WITH 13(1) OF SAST REGULATIONS, 2011 IN MATTER OF ATLAS JEWELLERY INDIA LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-JUN-2021
|
|
| 35 |
|
|
AL LAYYAH GENERAL TRADING FZE
(PAN:AALCA9217H)
|
|
|
MADE INCORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2), 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ATLAS JEWELLERY INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2021
|
|
| 36 |
|
|
AL MAREIJA PRECIOUS METAL & BULLIONS FZE
(PAN:AALCA9216G)
|
|
|
MADE INCORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2), 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ATLAS JEWELLERY INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2021
|
|
| 37 |
|
|
AL MAREIJA PRECIOUS METAL & BULLIONS FZE
(PAN:AALCA9216G)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(2 ) READ WITH 13(1) OF SAST REGULATIONS, 2011 IN MATTER OF ATLAS JEWELLERY INDIA LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-JUN-2021
|
|
| 38 |
|
|
ALAUKIK MINES & POWER PVT.LTD.
(PAN:AAICA9054F)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GINI SILK MILLS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-JUN-2021
|
|
| 39 |
|
|
ALBERS DIAMONDS PVT.LTD.
(PAN:AAICA4525F)
|
|
|
INDULGED IN MANIPULATIVE TRANSACTIONS IN DERIVATIVE SEGMENT THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF GITANJALI GEMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8A(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GITANJALI GEMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF GITANJALI GEMS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF TAKEOVER REGULATIONS, 1997 AND REGULATIONS 3(2) OF TAKEOVER REGULATIONS, 2011 IN MATTER OF GITANJALI GEMS LTD.
|
ORDERED FOR INVESTIGATION
10-MAR-2017
|
|
| 40 |
|
|
ALBERT TRADING CO.PVT.LTD.
(PAN:AACCA1505H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF ISG TRADERS LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-JAN-2022
|
|
| 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 2 of 55
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