| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 401 |
|
HOTEL LEELAVENTURE LTD.
|
|
|
DID NOT MAKE CRITICAL DISCLOSURES IN POSTAL BALLOT NOTICE THAT WERE REQUIRED TO ENABLE SHAREHOLDERS TO TAKE INFORMAL DECISION
DID NOT MAKE PROPER DISCLOSURES OF MATERIAL LITIGATIONS RELATING TO AIRPORT AUTHORITY OF INDIA’S IN NOTES TO FINANCIAL STATEMENTS
DID NOT APPROACH SEBI FOR EXEMPTION FROM MAKING OPEN OFFER FOR ACQUISITION OF 26% EQUITY SHAREHOLDING BY JMF ARC
|
DIRECTED TO PROVIDE DETAILS OF EACH OF SALE TRANSACTIONS INCLUDING ASSET SALE TRANSACTION AND ADDITIONAL IP TRANSACTION WITH SPECIFIC INFORMATION IDENTIFYING TRANSACTIONS BETWEEN COMPANY & BROOKFIELD AND PROMOTERS & BROOKFIELD INCLUDING AMOUNTS INVOLVED THEREIN UNDER SEPARATE TABLES WITH SPLIT CONSIDERATION AMOUNTS FOR EACH HEAD
DIRECTED TO PROVIDE VALUATION OF BOTH ASSET SALE TRANSACTION AND ADDITIONAL IP TRANSACTION INCLUDING THE METHODS ADOPTED BY COMPANY
DIRECTED TO KEPT VALUATION REPORTS FOR INSPECTION BY SHAREHOLDERS OF HOTEL LEELA VENTURES LTD.
DIRECTED TO PUT TO VOTE ASSET SALE TRANSACTION OF COMPANY ALONG WITH ADDITIONAL IP TRANSACTION OF PROMOTERS/PROMOTERS’ AFFILIATES (EXCLUDING ‘RELATED PARTY TRANSACTION’ INVOLVING TRANSFER OF ‘JAMAVAR’ TRADEMARK) BY HOTEL LEELA VENTURES LTD. BEFORE ITS SHAREHOLDERS
DIRECTED TO SEPARATELY PUT TO VOTE BY HOTEL LEELA VENTURES LTD. BEFORE ITS SHAREHOLDERS ADDITIONAL IP TRANSACTION CONCERNING ‘RELATED PARTY TRANSACTION’ INVOLVING TRANSFER OF JAMAVAR’ TRADEMARK
DIRECTED PROMOTERS/PROMOTER GROUP OF HOTEL LEELA VENTURES LTD. NOT TO PARTICIPATE IN AFOREMENTIONED VOTING PROCESS
DIRECTED TO MAKE ALL MATERIAL DISCLOSURES INCLUDING LITIGATION RELATING TO CLAIM OF AAI WITH RESPECT TO HOTEL LEELA VENTURES LTD., MUMBAI IN POSTAL BALLOT NOTICE AND IN FINANCIAL STATEMENTS IN ANNUAL REPORT
23-JUL-2019
|
SAT: SAT VIDE ITS ORDER DATED 24/09/2021 REJECTED THE APPLICATION FOR CORRECTION OF ALLEGED CLERICAL ERROR, ETC.
|
| 402 |
|
|
HOTEL POLO TOWERS PVT.LTD.
(PAN:AABCT0864B)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF NYSSA CORP.LTD. (FORMERLY KNOWN AS RAVINAY TRADING CO.LTD.)
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1), 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF NYSSA CORP.LTD. (FORMERLY KNOWN AS RAVINAY TRADING CO.LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,25,900 VIDE CONSENT ORDER)
05-JUN-2017
|
|
| 403 |
|
|
HOWRAH WAREHOUSE PVT.LTD.
(PAN:AABCR2933B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2), 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF RTS POWER CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,17,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-AUG-2017
|
|
| 404 |
|
|
HRIDAYNATH CONSULTANCY PVT.LTD.
(CIN:U74120MH2010PTC208538
PAN:AACCH5285R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF JYOTI LTD.
|
IMPOSED PENALTY RS.6,00,000
29-JUN-2021
|
|
| 405 |
|
|
HRIDAYNATH CONSULTANCY PVT.LTD.
(CIN:U74120MH2010PTC208538
PAN:AACCH5285R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGE AS REQUIRED UNDER REGULATION 29(1) OF SAST REGULATIONS, 2011 IN MATTER OF PONNI SUGARS (ERODE) 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 PONNI SUGARS (ERODE) LTD.
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2018
|
|
| 406 |
|
|
HRIDAYNATH CONSULTANCY PVT.LTD.
(CIN:U74120MH2010PTC208538
PAN:AACCH5285R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASTEC LIFE SCIENCES LTD.
|
IMPOSED PENALTY RS.2,00,000
28-SEP-2018
|
|
| 407 |
|
|
HRIDAYNATH CONSULTANCY PVT.LTD.
(CIN:U74120MH2010PTC208538
PAN:AACCH5285R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SUPER SALES INDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SUPER SALES INDIA LTD.
|
IMPOSED PENALTY RS.2,00,000
23-DEC-2020
|
SAT: SAT VIDE ITS ORDER DATED 08/07/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/08/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
|
| 408 |
|
|
HSI INFOTECH PVT.LTD.
(CIN:U72900DL2010PTC204446
PAN:AACCH6937J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.2,00,000
27-FEB-2018
|
SEBI VIDE ITS NOTICE DATED 07/03/2022 DIRECTED TO PAY RS.2,97,592.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 15/06/2022 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
SEBI VIDE ITS ORDER DATED 24/06/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF HSI INFOTECH PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 409 |
|
|
HSI INFOTECH PVT.LTD.
(CIN:U72900DL2010PTC204446
PAN:AACCH6937J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES 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.
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 ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.4,00,000
30-JUN-2017
|
SEBI VIDE ITS NOTICE DATED 04/03/2022 DIRECTED TO PAY RS.6,25,614.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 16/08/2022 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
SEBI VIDE ITS ORDER DATED 05/09/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF HSI INFOTECH PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 410 |
|
|
HYGENIC PALM OIL PVT.LTD.
(PAN:AAACH5501J)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF OASIS TRADELINK LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGE AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF OASIS TRADELINK LTD.
|
IMPOSED PENALTY RS.1,00,000
23-FEB-2018
|
|
| 411 |
|
|
I TENABLE INDIA PVT.LTD.
(PAN:AAACI7827C)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF BRESCON ADVISORS & HOLDING LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-SEP-2016
|
|
| 412 |
|
|
ICHAMATI INVESTMENTS LTD.
(PAN:AAACI5431J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(2) AND 8(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2022
|
|
| 413 |
|
|
IDFC BANK LTD.
(PAN:AADCI6523Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) OF SEBI TAKEOVER REGULATIONS, 2011 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,74,375 VIDE CONSENT ORDER)
03-JUL-2017
|
|
| 414 |
|
|
IFCI FACTORS LTD.
(PAN:AAACF0937E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHIVA CEMENT LTD.
|
IMPOSED PENALTY RS.2,00,000
05-JAN-2018
|
|
| 415 |
|
|
IFCI LTD.
(PAN:AAACT0668G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GLODYNE TECHNOSERVE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLODYNE TECHNOSERVE LTD.
|
IMPOSED PENALTY RS.14,00,000
22-DEC-2017
|
SAT: SAT VIDE ITS ORDER DATED 25/04/2018 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 22/12/2017 AND RESTORE THE MATTER TO THE FILE OF AO OF SEBI FOR FRESH DECISION. NO COSTS
|
| 416 |
|
|
IFCI VENTURE CAPITAL FUNDS LTD.
(PAN:AAACR3037R)
|
|
|
DID NOT MAKE DISCLOSURES UPON INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) OF SAST REGULATIONS, 2011 IN MATTER OF ANKUR DRUGS & PHARMA LTD.
DID NOT MAKE DISCLOSURES UPON INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ANKUR DRUGS & PHARMA LTD.
|
IMPOSED PENALTY RS.50,000
31-OCT-2017
|
|
| 417 |
|
|
INDIAN DIE CASTINGS CO.LTD.
(PAN:AAACI5268B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHREE HANUMAN SUGAR INDUSTRIES LTD.
DID NOT MAKE 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 SHREE HANUMAN SUGAR INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
15-OCT-2018
|
|
| 418 |
|
|
INDIANIVESH CAPITALS LTD.
(CIN:267005
PAN:AAACJ6703C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF LADDERUP FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
28-SEP-2018
|
|
| 419 |
|
|
INDIANIVESH FINANCIAL ADVISORS PVT.LTD.
(PAN:AABCI7052A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF LADDERUP FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
28-SEP-2018
|
|
| 420 |
|
|
INDUSAGE ADVISORS LTD.
(PAN:AAACI7137H)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) AND 30(1) OF SAST REGULATIONS, 2011 IN MATTER OF MADHUSUDAN SECURITIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,55,712 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
19-MAR-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 21 of 55
|
