| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 501 |
|
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
|
| 502 |
|
|
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
|
| 503 |
|
|
TULIVE DEVELOPERS LTD.
(PAN:AAACK4787D)
|
|
|
|
ATUL GUPTA
PAN:AFZPG6089H
|
|
|
K.V.RAMANA SHETTY
PAN:ATZPS3443D
|
|
DID NOT ADHERE TO PRESCRIBED METHODS OF COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENTS AS PER CLAUSE 40A OF LISTING AGREEMENT IN MATTER OF TULIVE DEVELOPERS LTD.
DID NOT ADHERE TO PRESCRIBED METHODS OF COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENTS VIOLATING PROVISIONS OF SECTION 21 OF SCRA AND PROVISO TO REULE 19A (1) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2015
|
|
| 504 |
|
|
TUSCON EXPORTS LTD.
|
|
|
|
RAMESH FATEHPURIA
|
|
|
RANJEET CHOURARIA
|
|
DECLARED AS A VANISHING COMPANY
DID NOT ADHERE TO LISTING AGREEMENT
DID NOT SUBMIT STATUTORY REPORTS, DIRECTORS REPORTS AND OTHER INFORMATION TO STOCK EXCHANGE
DID NOT FURNISH FINANCIAL RESULTS INCLUDING CASH FLOW STATEMENTS, BALANCE SHEET AND PROFIT & LOSS ACCOUNT TO STOCK EXCHANGE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-SEP-2003 TO 24-SEP-2008
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 25-SEP-2003 TO 24-SEP-2008
25-SEP-2003
|
|
| 505 |
|
|
UNICORN PHARMACEUTICALS (INDIA) LTD.
|
|
|
|
K.NANDA KUMAR
|
|
|
S.PRASAD
|
|
|
S.SASHIDHARAN
|
|
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
|
|
| 506 |
|
|
UNICORN PHARMACEUTICALS (INDIA) LTD.
|
|
|
|
ELFRIEDE ELIZABETH
|
|
|
RAM MURTHY
|
|
|
VARADARAJ RAMNATH PRABHU
|
|
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
|
|
| 507 |
|
|
UNISYS SOFTWARES & HOLDING INDUSTRIES LTD.
(CIN:L51909WB1992PLC056742
PAN:AABCC1191Q)
|
|
|
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF EQUITY LISTING AGREEMENT
|
IMPOSED PENALTY RS.4,00,000
13-APR-2022
|
SEBI VIDE ITS NOTICE DATED 11/08/2022 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 NOTICE DATED 22/03/2024 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 11/08/2022
|
| 508 |
|
|
UNITECH LTD.
(CIN:L74899DL1971PLC009720
PAN:AAACU1482H)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.2,00,000
29-NOV-2019
|
|
| 509 |
|
|
UNIVERSAL CREDIT & SECURITIES LTD.
(PAN:AAACU2627G)
|
|
|
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(D), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING REGULATION 4(1)(B), (C), (G), (J), 33(1)(D), 33(3)(D), (E), 34(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING CLAUSE 41(I)(D)(IV), AND (V) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.11,00,000
21-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 26/10/2023 DIRECTED TO PAY RS.12,44,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 11/12/2023 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
|
| 510 |
|
|
UNIVERSAL VITA ALIMENTARE LTD.
|
|
|
|
A.KRISHNAMURTHY
|
|
|
HARIPRAKASH VYAS
|
|
|
K.K.RAO
|
|
|
N.K.RAO
|
|
|
P.P.BHATT
|
|
|
VITHAL B.MITBANDER
|
|
DECLARED AS A VANISHING COMPANY
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 27-SEP-2002 TO 26-SEP-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2002 TO 26-SEP-2007
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 27-SEP-2002 TO 26-SEP-2007
27-SEP-2002
|
|
| 511 |
|
|
USHA (INDIA) LTD.
(PAN:AAACU0927B)
|
|
|
DID NOT SUBMIT QUARTERLY REPORTS TO BSE AND NSE AS PER CLAUSE 49 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.5,00,000
27-APR-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 14/07/2014 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 21/10/2014 ORDERED TO SALE OF THE ATTACHED EQUITY SHARES HELD BY DEFAULTER
|
| 512 |
|
|
USHA IRON & FERRO METALS CORP.LTD.
|
|
|
DID NOT SUBMIT QUARTERLY REPORTS TO BSE AND NSE AS PER CLAUSE 49 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.5,00,000
27-APR-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 513 |
|
|
USHDEV INTERNATIONAL LTD.
|
|
|
ALLEGED FAILURE IN SUBMITTING REPORTS OF DEALINGS IN TRADING IN SHARES OF COMPANY FOR PERIOD 08/09/2005 TO 28/09/2005 AS REQUIRED UNDER CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA ACT, 1956
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
08-OCT-2009
|
|
| 514 |
|
|
VADRA INVESTMENTS LTD.
|
|
|
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 11-MAY-2000 TO 10-MAY-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-MAY-2000 TO 10-MAY-2005
11-MAY-2000
|
|
| 515 |
|
|
VADRA INVESTMENTS LTD.
|
|
|
|
MANIT JAJU
|
|
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 28-FEB-2001 TO 27-FEB-2006
28-FEB-2001
|
|
| 516 |
|
|
VAS INFRASTRUCTURE LTD.
(PAN:AAACV3537A)
|
|
|
DID NOT SET UP AUDIT COMMITTEE VIOLATING CLAUSE 49(II) (A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA ACT, 1956
|
IMPOSED PENALTY RS.1,00,000
09-JAN-2018
|
|
| 517 |
|
|
VATSA MUSIC LTD.
(PAN:AABCV5388G)
|
|
|
DID NOT SUBMIT QUARTERLY REPORTS TO BSE AND NSE AS PER CLAUSE 49 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.1,00,000
28-APR-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 25/06/2024 DIRECTED TO PAY RS.2,84,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 06/08/2024 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 03/09/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,87,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 518 |
|
|
VEER ENERGY & INFRASTRUCTURE LTD.
(PAN:AAACJ8658G)
|
|
|
DID NOT MAKE DISCLOSURE OF DETAILS OF DISCLOSURES OF PLEDGE OF SHARES RECEIVED FROM PROMOTERS AS REQUIRED UNDER REGULATIONS 8A(4) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011
DID NOT SHOW VEERHEALTH CARE LTD. UNDER PROMOTER GROUP IN SHAREHOLDING PATTERN VIOLATING CLAUSES 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.6,00,000
07-AUG-2017
|
|
| 519 |
|
|
VEERHEALTH CARE LTD.
(PAN:AAACN1407B)
|
|
|
DID NOT SHOW VEER ENERGY & INFRASTRUCTURE LTD. UNDER PROMOTER GROUP IN SHAREHOLDING PATTERN VIOLATING CLAUSES 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.5,00,000
07-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 15/11/2017 CONDONED THE DELAY OF 16 DAYS IN FILING OF APPEAL AND QUASHED AND SET ASIDED IMPUGNED ORDER DATED 07/08/2017. NO COSTS
|
| 520 |
|
|
VERTEX SPINNING LTD.
(CIN:L28900MH1994PLC108684
PAN:AABCV5617N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHARES ACQUIRED BY MR.SURESH SHARMA
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO BSE VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF LISTING AGREEMENT IN MATTER OF SHARES ACQUIRED BY MR.SURESH SHARMA
|
IMPOSED PENALTY RS.50,000
09-JUL-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 26 of 28
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