| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 481 |
|
SUSHIL PACKAGINGS (INDIA) LTD.
|
|
|
|
BIPINCHANDRA P.MEHTA
|
|
|
GIRISHCHANDRA M.MODI
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 482 |
|
|
SUSHIL PACKAGINGS (INDIA) LTD.
|
|
|
|
AMUL M.GANDHI
|
|
|
MADANLAL R.JALANI
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2000 TO 19-JUN-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2000 TO 19-JUN-2005
20-JUN-2000
|
|
| 483 |
|
|
SUZLON ENERGY LTD.
(PAN:AADCS0472N)
|
|
|
DID NOT MAKE CORPORATE ANNOUNCEMENT ON RECEIPT AND CANELLATION OF ORDERS VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
DID NOT MAKE CORPORATE ANNOUNCEMENT ON RECEIPT AND CANCELLATION OF ORDERS VIOLATING CLAUSE 36 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.5,00,000
20-APR-2018
|
SAT: SAT VIDE ITS ORDER DATED 03/05/2021 PARTLY ALLOWED THE APPEAL BY SETTING ASIDE THE PENALTY OF RS.1 CRORE UNDER SECTION 23E IMPOSED VIDE ORDER DATED 20/04/2018
|
| 484 |
|
|
SWASTIK COMMERCIAL PVT.LTD.
(CIN:002010)
(Along with : GHCL LTD.)
|
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 485 |
|
|
SYBLY INDUSTRIES LTD.
(PAN:AACCS6886M)
|
|
|
OBTAINED LOAN OF USD 6.99 MILLION BY ENTERING INTO LOAN AGREEMENT WITH EURAM BANK TO SUBSCRIBE TO GDRS VIOLATING SECTIONS 12(A) TO (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
DID NOT INFORM STOCK EXCHANGE ABOUT DELISTING OF GDRS ON LUXEMBOURG STOCK EXCHANGE VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT ADHERE TO PROVISION OF ACCOUNTING STANDARD VIZ AS-1, AS-3 AND AS-29 VIOLATING CLAUSES 32 AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.25,00,000
15-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 02/09/2019 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
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 DIRECTED APPELLANT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND RESPONDENT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 14/07/2022 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.25 LAC FROM RS.10.30 CRORE
SEBI VIDE ITS NOTICE DATED 26/08/2022 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 02/09/2019
SEBI VIDE ITS ORDER DATED 31/08/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2416 OF 2019 DATED 01/08/2019
|
| 486 |
|
|
SYSTEMATIX CORPORATE SERVICES LTD.
(PAN:AAGCS3420D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 23 A(A) SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
26-OCT-2018
|
|
| 487 |
|
|
TACTFULL INVESTMENTS LTD.
|
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 488 |
|
|
TACTFULL INVESTMENTS LTD.
|
|
|
|
BHUPINDER K.SINGH
|
|
|
SOHINDER KAUR BEDI
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 489 |
|
|
TANEJA AEROSPACE & AVIATION LTD.
|
|
|
DID NOT MAKE REQUISITE DISCLOSURE OF RELEVANT AND MATERIAL INFORMATION TO SHAREHOLDERS AND BSE OF ITS BOARD OF DIRECTORS VIOLATING CLAUSE 36 LISTING AGREEMENT
|
IMPOSED PENALTY RS.5,00,000
21-FEB-2019
|
|
| 490 |
|
|
TARINI INTERNATIONAL LTD.
(CIN:L74899DL1999PLC097993
PAN:AABCT7379R)
|
|
|
|
VAKAMULLA ANU NAIDU
PAN:ADPPN6394L
|
|
|
VAKAMULLA CHANDRA SHEKHAR
PAN:AOBPS6042M
|
|
INDULGED IN MIS-UTILIZATION/DIVERSION OF IPO PROCEEDS VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATION 3(A) TO (D) AND REGULATION 4(1), 4(F) AND 4 (K) OF PFUTP REGULATIONS IN MATTER OF TARINI INTERNATIONAL LTD.
MADE WRONG AND MISLEADING INFORMATION/DISCLOSURE OF UTILIZATION OF ISSUE PROCEEDS IN PROSPECTUS VIOLATING CLAUSES 45 AND 46 OF SME LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.5,05,00,000
10-FEB-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/05/2021 ALLOWED APPELLANT TO THREE WEEKS FURTHER TIME TO FILE REJOINDER
|
| 491 |
|
|
TEA TIME LTD.
(PAN:AAACT9777A)
|
|
|
DELAY IN COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT AS REQUIRED UNDER RULE 19(2)(B) AND 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957
DELAY IN COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19(2)(B) AND RULE 19A OF SCR RULES, 1957 AND CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.13,00,000
11-SEP-2017
|
|
| 492 |
|
|
TELEDATA TECHNOLOGY SOLUTIONS LTD.
(PAN:AACCT5488Q)
|
|
|
|
ARUN RAMSWAROOP PANCHARIYA
PAN:AEVPP6125N
|
|
|
G.JAGADISH
PAN:AALPG8002H
|
|
|
M.S.RAMAKRISHNAN
PAN:AACPR6473J
|
|
|
N.SAKTHIVEL
PAN:BCMPS6376L
|
|
|
R.RAVICHANDRAN
PAN:AHJPR6079C
|
|
INDULGED IN FACILITATING SUBSCRIPTION 3.5 MN.GDRS AMOUNTING TO USD 36.96 MN. THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY TELEDATA TECHNOLOGY SOLUTIONS LTD. PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT ADHERE TO PROVISION OF ACCOUNTING STANDARD VIZ AS-1, AS-3 AND AS-29 VIOLATING CLAUSES 32 AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES ENTERING INTO PLEDGE AGREEMENT WITH EURAM BANK FOR SUBSCRIPTION OF GDRS VIOLATING CLAUSES 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,10,00,000
31-MAY-2022
|
|
| 493 |
|
|
TELEPHOTO ENTERTAINMENTS LTD.
(PAN:AABCT2678R)
|
|
|
ALLEGED DELAY IN FILING OF AUDITED FINANCIAL RESULTS AS REQUIRED UNDER CLAUSE 41 OF LISTING AGREEMENT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
10-MAR-2014
|
|
| 494 |
|
|
TEMPTATION FOODS LTD.
|
|
|
|
VINIT KUMAR
|
|
MISLEADED PUBLIC BY CONFIRMING REPORT PUBLISHED IN PUBLIC MEDIA ABOUT HIGHER SHAREHOLDING IN KOHINOOR FOODS LTD.
DID NOT INTIMATE BSE ABOUT INTENTION OF TAKEOVER OF KOHINOOR FOODS LTD.UNDER CLAUSE 36(7)(II) OF LISING AGREEMENT
DID NOT MAKE DISCLOSURE OF HOLDING OF MORE THAN 5% OF KOHINOOR FOODS LTD. AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
DIRECTED TO CEASE & DESIST FROM GIVING MISLEADING RECOMMENDATIONS IN ANY PUBLIC ACCESSIBLE MEDIA
16-FEB-2009
|
EX-PARTE ORDER DATED 16/02/2009 DISPOSED OFF AND ADVISED NOT TO REPORT OR PUBLISH INFORMATION REGARDING SHAREHOLDING WITHOUT STRICTLY ADHERING TO PROVISIONS OF LAW
|
| 495 |
|
|
TEXMO PIPES & PRODUCTS LTD.
(PAN:AACCT9780D)
|
|
|
|
ARUN RAMSWAROOP PANCHARIYA
PAN:AEVPP6125N
|
|
|
MUKESH BABULAL CHAURADIYA
PAN:AAVPC0966A
|
|
|
RISHABH KUMAR JAIN
PAN:AHYPJ1203B
|
|
|
SANJAY KUMAR AGRAWAL
PAN:ADAPA0132C
|
|
|
SHANTI LAL BADERA
PAN:ABLPB5820D
|
|
|
VIJAY PRASAD PAPPU
PAN:ASRPP0392H
|
|
INDULGED IN ISSUANCE OF 6,27,500 GDRS AMOUNTING TO USD 9.99 MN ALLOTTED TO VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (TEXMO PIPES & PRODUCTS LTD.) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE DISCLOSURE OF PLEDGE AGREEMENT DATED 01/03/2011 TO STOCK EXCHANGES VIOLATING CLAUSE 36(7) AND CLAUSE 50 OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.25,00,000
28-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 30/09/2022 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.25 LAC FROM 10.25 CRORE
|
| 496 |
|
|
TOP LINE SHOES LTD.
|
|
|
|
H.M.B.MURTHY
|
|
|
H.M.G.MURTHY
|
|
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
DID NOT ADHERE TO LISTING AGREEMENT
|
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 08-SEP-2004 TO 07-SEP-2009
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-SEP-2004 TO 07-SEP-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-SEP-2004 TO 07-SEP-2009
08-SEP-2004
|
|
| 497 |
|
|
TRANSGENE BIOTEK LTD.
(PAN:AABCT3840P)
|
|
|
|
DEEPAK MISHRA
PAN:AIIPM4093P
|
|
|
KOLLIPARA KOTESWARA RAO
PAN:AHOPK5487E
|
|
|
NARAYANA MURTHY PENTYALA
PAN:ANBPP4186A
|
|
|
SAMPATH KUMAR MEESALA
PAN:AIIPM9512D
|
|
|
SOMA SEKHAR MARTHI
PAN:ACAPM9616N
|
|
INDULGED IN DIVERSION OF GDR ISSUES PROCEEDS BY LEGITIMIZING/FACILITATING SAME THROUGH BACK-DATED AGREEMENT/INVOICES, CONCEALING/MAKING FALSE STATEMENTS IN REGARD TO UTILIZATION OF GDR PROCEEDS/NON-RECEIPT OF TECHNOLOGY AND SERVICES IN ANNUAL REPORTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TRANSGENE BIOTEK LTD.
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES REGARDING SETTING UP OF WHOLLY OWNED SUBSIDIARY I.E. TBL HK LTD. VIOLATING REGULATION 12(2) READ WWITH SCHEDULE II OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES REGARDING SETTING UP OF WHOLLY OWNED SUBSIDIARY I.E. TBL HK LTD. VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT ADHERE TO ACCOUNTING STANDARD (AS-1) VIOLATING CLAUSE 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.38,00,000
27-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 30/08/2022 DIRECTED TO PAY RS.39,15,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 30/09/2022 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 25/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.40,29,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF TRANSGENE BIOTEK LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 15/12/2022 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY TO MEMORANDUM OF APPEAL AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 17/04/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/06/2023 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 14/07/2023 ALLOWED THE APPEAL AND RECALL ORDER DATED 16/06/2023
SAT: SAT VIDE ITS ORDER DATED 05/10/2023 ALLOWED AMENDMENT APPLICATION TO BE TREATED AS PART OF MEMORANDUM OF APPEALS
SAT: SAT VIDE ITS ORDER DATED 09/09/2024 GRANTED APPELLANT FURTHER TIME TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 19/01/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF TELANGANA E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTERS, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
|
| 498 |
|
|
TRANSGENE BIOTEK LTD.
(PAN:AABCT3840P)
|
|
|
INDULGED IN MISUTILIZATION OF GDR PROCEEDS AND MADE FALSE & MISLEADING DISCLOSURES IN MATTER OF TRANSGENE BIOTEK LTD.
DID NOT MAKE DISCLOSURES TO STOCK EXCHANGES RELATED TO PRICE SENSITIVE INFORMATION OF UTILIZATION OF GDRS PROCEEDS VIOLATING CLAUSE 36 OF LISTING AGREEMENT IN MATTER OF TRANSGENE BIOTEK LTD.
DID NOT MAKE DISCLOSURES TO STOCK EXCHANGES RELATED TO PRICE SENSITIVE INFORMATION OF UTILIZATION OF GDRS PROCEEDS VIOLATING REGULATIONS 12(1) AND 12(2) READ WITH SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRANSGENE BIOTEK LTD.
|
DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHER INSTRUMENT CONVERTIBLE INTO EQUITY SHARE OR ANY OTHER SECURITY FROM 28-AUG-2019 TILL BRING BACK MONEY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-AUG-2019 TILL BRING BACK MONEY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-AUG-2019 TILL BRING BACK MONEY
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO RECALL OUTSTANDING AMOUNT OF USD 38.50 MILLION AND BRING BACK MONEY INTO ITS BANK ACCOUNT IN INDIA
20-NOV-2014
|
SEBI VIDE ITS ORDER DATED 09/03/2016 CONTINUED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 20/11/2014
SAT: SAT VIDE ITS ORDER DATED 17/08/2017 DISPOSE OFF THE APPEALS BY DIRECTING SEBI TO COMPLETE THE INVESTIGATION BY 31/12/2017. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 18/01/2018 DIRECTED SEBI TO COMPLETE THE PROCESS AND ISSUE SHOW CAUSE NOTICE, IF ANY, BY 30/04/2018 FAILING WHICH FROM 01/05/2018 THE INTERIM /CONFIRMATORY ORDER WOULD STAND VACATED AGAINST ALL THE APPELLANTS. NO COSTS
SEBI VIDE ITS ORDER DATED 28/08/2019 DIRECTED TO CONTINUE TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS), DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, TILL COMPLIANCE WITH DIRECTION AND THEREAFTER ADDITIONAL TWO YEARS FROM DATE OF BRINGING BACK MONEY AND DURING PERIOD OF RESTRAINT, EXISTING HOLDING OF SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) WILL REMAIN FROZEN
SAT: APPEAL DISMISSED
SEBI VIDE ITS ORDER DATED 31/08/2020 EXTENDED THE PERIOD OF BRINGING BACK THE MONEY , AS DIRECTED IN PARA 49(A) OF THE ORDER DATED 27/08/2019 FOR ONE YEAR FROM 27/08/2020
|
| 499 |
|
|
TRIPOLI INVESTMENT & TRADING CO.
(PAN:AAACT2207P)
|
|
|
INDULGED IN DIVERSION OF FUNDS OF RS.2315.09 CRORES (APPROX.) FROM RELIGARE FINVEST LTD. TO PROMOTERS AND THEIR RELATED ENTITIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1), 4(2)(F) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
DID NOT MAKE DISCLOSURE OF FUNDS ROUTED BY RELIGARE FINVEST LTD. THROUGH UNRELATED ENTITIES TO PROMOTERS AND PROMOTERS GROUP ENTITIES VIOLATING CLAUSE 32 OF LISTING AGREEMENT IN MATTER OF RELIGARE ENTERPRISES LTD.
MISREPRESENTATED FINANCIAL POSITION BY ROLLING OVER THE LOANS VIOLATING REGULATIONS 4(1)(B), (C), 30(1) AND 51(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
DIRECTED NOT TO DIVERT ANY FUNDS EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI
14-MAR-2019
|
SEBI VIDE ITS ORDER DATED 11/09/2019 DIRECTED NOT TO DISPOSED OFF OR ALIENATE ANY OF THEIR ASSETS OR DIVERT ANY FUNDS, EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI TILL COMPLETION OF INVESTIGATION AND FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 12/11/2020 REVOKED ITS DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 14/03/2019 READ WITH CORRIGENDUM ORDER DATED 18/04/2019
|
| 500 |
|
|
TRISHUL COMMERCIALS PVT.LTD.
(Along with : GHCL LTD.)
|
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 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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