| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 481 |
|
SUNRISE ASIAN LTD.
(CIN:L51900MH1981PLC025740)
|
|
|
|
ARUNESH
PAN:AHCPA1754E
|
|
|
MAHESH KESHAR DEO JOSHI
PAN:AAAPJ6899G
|
|
|
NITESH RANJAN
PAN:AOAPR7655G
|
|
|
SANJIT JHA
PAN:AUCPJ5771F
|
|
|
SANJIV KUMAR MISHRA
DIN:05342857
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNRISE ASIAN 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 06-SEP-2021 TO 05-SEP-2022
06-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/02/2023 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
|
| 482 |
|
|
SURABHI DEALMARK PVT.LTD.
(PAN:AAQCS6011A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF YAMINI INVESTMENTS CO.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 04-SEP-2023 TO 03-SEP-2025
04-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER
|
| 483 |
|
|
SURAKSHIT MERCHANTS PVT.LTD.
(PAN:AANCS7666N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF YAMINI INVESTMENTS CO.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 04-SEP-2023 TO 03-SEP-2025
04-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER
|
| 484 |
|
|
SURESH HEGDE & CO.
|
|
|
|
SURESH NARAYAN HEGDE
PAN:AAAPH4848P
|
|
INDULGED IN SIPHONING OFF RS.64.43 CRORES (APPROX) FROM IPO PROCEEDS VIOLATING REGULATIONS 57(1) & 60(7)(A) AND CLAUSES 2(VII)(G), 2(VIII)(D)(5) & 2(XVI)(B)(2) OF PART A OF SCHEDULE VIII READ WITH REGULATION 57(2)(A) OF THE SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF SUDAR INDUSTRIES LTD.
|
DIRECTED NOT TO DIRECTLY OR INDIRECTLY ISSUE ANY CERTIFICATE OF AUDIT OF LISTED COMPANIES, COMPLIANCE OF LISTED COMPANIES AND INTERMEDIARIES REGISTERD WITH SEBI FROM 20-APR-2021 TO 19-APR-2024
DIRECTED LISTED COMPANIES AND INTERMEDIARIES REGISTERED WITH SEBI TO NOT TO ENGAGE FOR ISSUING ANY CERTIFICATE WITH RESPECT TO COMPLIANCE OF STATUTORY OBLIGATIONS
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 20-APR-2021 TO 19-APR-2024
20-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/02/2022 CONDONED THE DELAY OF 175 DAYS IN FILING OF APPEAL. DISMISSED EXEMPTION APPLICATION AS INFRUCTUOUS. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO FILE ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 24/03/2022 IN THE MEANWHILE, RESPONDENT MAY FILED REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILED ON OR BEFORE THE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 13/06/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/06/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 04/09/2023 PARTLY ALLOWED THE APPEAL BY REDUCING DEBARMENT PERIOD FROM FOUR YEARS TO PERIOD UNDERGONE
|
| 485 |
|
|
SURESH SHETTY (HUF)
(PAN:AAJHS7270M)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING 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-APR-2021 TO 26-APR-2023
DIRECTED TO DISGORGE RS.1,19,680
27-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/05/2021ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT DISGORGED AMOUNT ALONG WITH INTEREST AND PENALTY WITHIN TWO WEEKS FROM DATE OF THIS ORDER. UPON DEPOSIT, RESTRAINT ORDER AS GIVEN IN DIRECTION NO 1&2 IN PARAGRAPH 52 OF THE IMPUGNED ORDER WILL REMAIN IN ABEYANCE DURING PENDENCY OF THE APPEL
SAT: SAT VIDE ITS ORDER DATED 13/05/2021 DISMISSED THE APPEAL AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 28/06/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 DISPOSED OFF THE APPEAL AS THE CASE HAS BEEN SETTLED BETWEEN THE PARTIES
|
| 486 |
|
|
SURINDER SINGH KALRA (HUF)
(PAN:AAQHS3875P)
|
|
|
MISUTILIZED AND MIS-APPROPRIATED IPO PROCEEDS OF RS.46.66 CRORES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF FIVE CORE ELECTRONICES 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 31-MAY-2023 TO 30-MAY-2028
DIRECTED TO EXTEND NECESSARY CO–OPERATION TO INDEPENDENT AUDITOR/AUDIT FIRMS APPOINTED AND FURNISH ALL INFORMATION/DOCUMENTS
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY LISTED ENTITY OR ITS MATERIAL UNLISTED SUBSIDIARY FROM 31-MAY-2023 TO 30-MAY-2028
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED NSE TO APPOINT INDEPENDENT AUDITOR/AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF COMPANY TO CONFIRM MIS-UTILIZATION OF IPO PROCEEDS
23-JUL-2020
|
SEBI VIDE ITS ORDER DATED 08/07/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 23/07/2020
SEBI VIDE ITS ORDER DATED 31/05/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER
|
| 487 |
|
|
SURYAMUKHI PROJECTS PVT.LTD.
(PAN:AAMCS5392J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NOUVEAU GLOBAL VENTURES 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 19-MAR-2021 TO 18-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2021
|
|
| 488 |
|
|
SVAM SOFTWARE LTD.
(CIN:L72200DL1992PLC047327
PAN:AAACS0292B)
|
|
|
|
HARSHWARDHAN KOSHAL
PAN:AAVPK1615L
|
|
|
MANISHA AGARWAL
PAN:ABKPA0056B
|
|
|
RAJEEV GARG
PAN:AGDPG7304E
|
|
|
SUDHIR KUMAR AGARWAL
PAN:AAOPA3900H
|
|
|
VIRENDER KUMAR GUPTA
PAN:AEXPG9500L
|
|
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 33(1)(C), 30(6) AND 48 OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956
|
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.30,00,000
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 PENALTY AMOUNT TO RS.10 LAC FROM RS.30 LAC TO BE PAID WITHIN SIX WEEKS FROM DATE OF THIS ORDER
|
| 489 |
|
|
SWAPANLOKE STEELS PVT.LTD.
(PAN:AALCS7102D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES 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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 490 |
|
|
SYNOPTICS TECHNOLOGIES PVT.LTD.
(PAN:AAMCS4502L)
|
|
|
|
JAGMOHAN MANILAL SHAH
PAN:ABWPS9290B
|
|
|
JANVI JATIN SHAH
PAN:AYAPS9827K
|
|
|
JATIN SHAH
PAN:AONPS5463E
|
|
DIVERTED AND MIS-UTILIZED FUNDS RAISED THROUGH INITIAL PUBLIC OFFERING (IPO) VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SYNOPTICS TECHNOLOGIES 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 06-MAY-2025 UNTIL FURTHER ORDERS
06-MAY-2025
|
SAT: SAT VIDE ITS ORDER DATED 18/06/2025 ACCEPTED THE UNDERTAKING BY THE APPELLANTS THAT SHALL ABIDE BY THE DIRECTION CONTAINED IN PARA NOS.49(A) AND STAYED IMPUGNED ORDER DATED 06/05/2025 QUA THE APPELLANT RESERVING A LIBERTY TO FILE REPLY BEFORE THE SEBI
SEBI VIDE ITS ORDER DATED 03/10/2025 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 06/05/2025
|
| 491 |
|
|
TAJ CAPITAL PARTNERS PVT.LTD.
(PAN:AACCT2750M)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 AND REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NEW DELHI TELEVISION LTD.
|
DIRECTED TO DISGORGE RS.2,20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
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-NOV-2020 TO 26-NOV-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-NOV-2020
|
|
| 492 |
|
|
TATIA GLOBAL VENNTURE LTD.
(CIN:L18101TN1994PLC026546
PAN:AAACT1724B)
|
|
|
|
ARUN KUMAR BAFNA
PAN:AHQPB1468G
|
|
|
D.HEMAMALINI
PAN:AEMPH4787D
|
|
|
S.SHOBHA
PAN:BMGPS1306C
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF TGVL AND CONSOLIDATING SUBSIDIARIES VIOLATING REGULATIONS 4(1)(A) 4(1)(C), (E) & (G), 4(2)(F)(II)(6) & (7), 4(2)(F)(III)(3),(6) & (12), 16(1)(B)(IV), 17(1)(B), 18(1)(B), 19(1), 23(3), 24(3), 25(3), 33, CLAUSE B(2) OF SCHEDULE III READ WITH REGULATIONS 30 AND 48 OF SEBI (LODR) REGULATION, 2015 IN MATTER OF TATIA GLOBAL VENNTURE 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 28-MAY-2021 TO 27-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAY-2021
|
|
| 493 |
|
|
TATIA GLOBAL VENNTURE LTD.
(CIN:L18101TN1994PLC026546
PAN:AAACT1724B)
|
|
|
|
E.SUBBARAYAN
PAN:BEBPS0342K
|
|
|
NAMRATA PAREKH
PAN:ADJPJ0861C
|
|
|
S.P.BHARAT JAIN TATIA
PAN:AEQPB4533F
|
|
|
TATIA JAIN PANNALAL SAMPATHLAL
PAN:AGMPP1055C
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF TGVL AND CONSOLIDATING SUBSIDIARIES VIOLATING REGULATIONS 4(1)(A) 4(1)(C), (E) & (G), 4(2)(F)(II)(6) & (7), 4(2)(F)(III)(3),(6) & (12), 16(1)(B)(IV), 17(1)(B), 18(1)(B), 19(1), 23(3), 24(3), 25(3), 33, CLAUSE B(2) OF SCHEDULE III READ WITH REGULATIONS 30 AND 48 OF SEBI (LODR) REGULATION, 2015 IN MATTER OF TATIA GLOBAL VENNTURE LTD.
DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR
|
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 28-MAY-2021 TO 27-MAY-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/02/2022 CONDONED THE DELAY IN FILING OF REJOINDER AFFIDAVIT
SAT: SAT VIDE ITS ORDER DATED 24/08/2022 PARTLY ALLOWED THE APPEAL BY REDUCING DEBARMENT PERIOD OF APPELLANTS TILL PERIOD UNDERGONE
|
| 494 |
|
|
TEXMO PIPES & PRODUCTS LTD.
(PAN:AACCT9780D)
|
|
|
|
MUKESH BABULAL CHAURADIYA
PAN:AAVPC0966A
|
|
|
SANJAY KUMAR AGRAWAL
PAN:ADAPA0132C
|
|
|
VIJAY PRASAD PAPPU
PAN:ASRPP0392H
|
|
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGE ABOUT ALLOWING GDR PROCEEDS TO USED AS SECURITY FOR A LOAN AVAILED BY VINTAGE FZE, UAE TOWARDS SUBSCRIPTION OF GDRS ISSUED BY
TEXMO PIPES & PRODUCTS LTD. VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
|
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 28-FEB-2023 TO 27-FEB-2026
DIRECTED TO CONTINUE TO PURSUE THE MEASURES OF BRING BACK OUTSTANDING USD 3.49 MN. INTO ITS BANK ACCOUNT IN INDIA
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 06/12/2023 CONDONED THE DELAY OF 165 DAYS IN FILING OF APPEAL AND RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE THE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 03/04/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/10/2024 SET ASIDE IMPUGNED ORDER DATED 28/02/2023 AND MATTER REMITTED TO SEBI TO PASS FRESH ORDER IN ACCORDANCE WITH LAW. APPELLANT TO PRODUCE DOCUMENTS WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 20/02/2025 DIRECTED TO CALL BACK THE BOOK ENTRY LOAN FROM ACCOUNTS OF TAPTI I.E. OUTSTANDING AMOUNT OF GDR PROCEEDS AND CREDIT THE SAME IN ITS BANK ACCOUNT IN INDIA WITHIN THREE MONTHS UNDER SUPERVISION OF ITS AUDIT COMMITTEE
|
| 495 |
|
|
TEXMO PIPES & PRODUCTS LTD.
(PAN:AACCT9780D)
|
|
|
|
RISHABH KUMAR JAIN
PAN:AHYPJ1203B
|
|
|
SHANTI LAL BADERA
PAN:ABLPB5820D
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION OF GDR ISSUE VIOLATING SECTION 12A (A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TEXMO PIPES & PRODUCTS 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 28-FEB-2023 TO 27-FEB-2024
28-FEB-2023
|
|
| 496 |
|
|
TIMBOR HOME LTD.
(PAN:AABCI2531A)
|
|
|
|
ANANT SURESHCHANDRA MALOO
PAN:ACSPM2958D
|
|
|
MANAN VIDHYAPATI PATEL
PAN:AFJPP0452P
|
|
DID NOT USE IPO PROCEEDS AS PER PROSPECTUS DATED 08/06/2011 VIOLATING SECTION 12A(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF TIMBOR HOME LTD.
DID NOT MAKE DISCLOSURE OF PRE-EXISTING LIABILITIES OF RS.7 CRORE (APPROX.) RELATED TO WORKING CAPITAL EXPENSES, LOAN OF RS.7 CRORE FROM ALIN AND INFLATED THE SALES FIGURES FOR THE YEARS 2010-11 AND 2011-12 VIOLATING REGULATIONS 57(1) AND 57(2)(A) READ WITH CLAUSE (2)(VII)(G) PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN IPO OF TIMBOR HOME 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 15-DEC-2020 TO 14-DEC-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ACTING AS DIRECTOR IN ANY LISTED COMPANY FROM 15-DEC-2020 TO 14-DEC-2022
15-DEC-2020
|
|
| 497 |
|
|
TOOR FINANCE CO.LTD.
(PAN:AAACT5163G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF YAMINI INVESTMENTS CO.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 04-SEP-2023 TO 03-SEP-2025
04-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER
|
| 498 |
|
|
TOP CLASS CAPITAL MARKETS PVT.LTD.
(PAN:AACCT5800G)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION REGARDING LICENSING AND SUPPLY AGREEMENTS OF APL WITH PFIZER INC.VIOLATING REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AUROBINDO PHARMA LTD.
|
DIRECTED TO DISGORGE RS.3,77,89,062
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 05-AUG-2020 TO 04-AUG-2021
05-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 03/03/2021 DIRECTED RESPONDENT FOUR WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. MATTER TO BE LISTED FOR ADMISSION AND FINAL DISPOSAL ON 20/04/2021. IN THE MEANTIME, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED TO BE STAYED UPON DEPOSIT OF RS.10 CRORE WITHIN FIVE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 20/04/2021 DISPOSED OFF THE EXTENSION PERMITTING APPLICANTS TO COMPLY WITH THE ORDER OF 03/03/2021 BY 25/05/2021 AND DIRECTED APPELLANT TO FILE REJOINDER AFFIDAVITS ON OR BEFORE THE NEXT DATE FIXED
SEBI VIDE ITS NOTICE DATED 17/06/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 10/06/2021 ALLOWED APPELLANT TO THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/07/2021 DISPOSED OFF MISC. APPLICATION NOS.665 & 666 OF 2021. DIRECTED RECOVERY OFFICER TO NOT TO PROCEED WITH THE RECOVERY OF ANY AMOUNT PURSUANT TO IMPUGNED ORDERS OF THE AO AND WTM AND ALSO DIRECTED RESPONDENT TO FILE AFFIDAVIT OF THE RECOVERY OFFICER INDICATING THE EXTENT OF THE SHARES SOLD FROM THE DEMAT ACCOUNT OF THE APPELLANTS. FURTHER, DIRECTED RECOVERY OFFICER TO FILE AFFIDAVIT WITH REGARD TO THE PROCEDURE FOLLOWED BY HIM FOR THE SALE OF SHARES AS PER SECTION 28A OF SEBI ACT. READ WITH INCOME TAX RULES
SAT: SAT VIDE ITS ORDER DATED 20/07/2021 ALLOWED APPELLANT TO DEPOSIT BALANCE AMOUNT RS.3.50 CRORE ON OR BEFORE 31/07/2021 AND DIRECTED RO TO KEEP THE AMOUNT IN ESCROW ACCOUNT
SAT: SAT VIDE ITS ORDER DATED 02/08/2021 ALLOWED AMENDMENT APPLICATION AND NECESSARY CORRECTION IN MEMO OF APPEAL AND/OR AMENDED COPY OF MEMO OF APPEAL MAY BE FILED WITHIN TEN DAYS. ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY TO THE AMENDED MEMO OF APPEAL
SEBI VIDE ITS ORDER DATED 30/08/2021 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 17/06/2021
SAT: SAT VIDE ITS ORDER DATED 24/08/2021 STAYED RECOVERY PROCEEDINGS DURING PENDENCY OF THE APPEAL AND LIFTED FREEZING OF DEMAT ACCOUNT AND ATTACHMENT ORDER BY THE RESPONDENT. RESPONDENT TO FILE REPLY TO AMENDED MEMO OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILED WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/03/2022 DISMISSED THE APPEAL. NO COSTS
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| 499 |
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TOPWELL PROPERTIES PVT.LTD.
(PAN:AADCT8403C)
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|
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MYSTIC ELECTRONICS LTD. (EARLIER KNOWN AS PEARL ELECTRONICS LTD.)
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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 26-JUN-2020 TO 25-JUN-2021
26-JUN-2020
|
|
| 500 |
|
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TOSHEE TRADE
(PAN:AARFT2714M)
|
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INDULGED IN MISAPPROPRIATION OF NON-PUBLIC INFORMATION FROM EMPLOYER AND TRADED VIOLATING REGULATIONS 3 AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ
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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-JUN-2024 TO 10-MAY-2029
DIRECTED TO DISGORGE RS.2,33,86,615 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
11-JUN-2024
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SAT: SAT VIDE ITS ORDER DATED 29/01/2026 PARTLY ALLOWED THE APPEAL. MATTER REMITTED TO SEBI TO RE-COMPUTE CALCULATE LIABILITY OF RS.3,16,98,245.50
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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 25 of 28
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