| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
BRADY & MORRIS ENGINEERING CO.LTD.
(Along with : W H BRADY & CO.LTD.)
|
|
|
|
PAVAN GOKULCHAND MORARKA
|
|
|
RACHNA MORARKA
|
|
|
VAIBHAV P.MORARKA
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 42 |
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
(Along with : W H BRADY & CO.LTD.)
|
|
|
|
PAVAN GOKULCHAND MORARKA
|
|
|
RACHNA MORARKA
|
|
|
VAIBHAV P.MORARKA
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 43 |
|
|
BRIGHTCOM GROUP LTD.
(PAN:AAACL5827B)
|
|
|
|
GEETHA KANCHARLA
PAN:CWMPK4257M
|
|
|
M.SURESH KUMAR REDDY
PAN:AOOPM8696J
|
|
|
S.V.RAJYALAXMI REDDY
PAN:AWXPR4787Q
|
|
|
VIJAY KUMAR KANCHARLA
PAN:ATNPK0320K
|
|
DID NOT OBTAIN PRE-CLEARANCE OF TRADING IN SHARES OF COMPANY WHEN TRADING WINDOW WAS CLOSED VIOLATING MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9 OF SEBI (PIT) REGULATIONS, 2015
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
IMPOSED PENALTY RS.5,00,000
13-JUN-2023
|
|
| 44 |
|
|
CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING SECTIONS 12(A)(A) TO 12A(B) OF SEBI ACT, 1992 READ WITH REGULATION 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PNB FINANCE & INDUSTRIES 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 PNB FINANCE & INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE
DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR
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-MAR-2023 TILL COMPLYING WITH THE MPS REQUIREMENT
IMPOSED PENALTY RS.1,41,00,000
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 26/04/2023 ALLOWED THE APPLICATIONS AND DIRECTED RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS. REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. DIRECTED THAT THE EFFECT AND OPERATION OF IMPUGNED ORDERS TO REMAIN STAYED DURING PENDENCY OF APPEAL AND APPELLANTS TO DEPOSITS 25% OF PENALTY AMOUNT BY WAY OF CASH OR BANK GUARANTEE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 07/11/2024 DIRECTED APPELLANTS TO SUBMIT LETTER TO CGM, CORPORATE FINANCE DEPARTMENT, SEBI WITHIN TEN DAYS FROM DATE OF THIS ORDER AND SEBI TO REPLY/RESPOND WITHIN THIRTY DAYS FROM DATE OF SUBMISSION OF THEIR REQUEST BY THE APPELLANTS
|
| 45 |
|
|
CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 46 |
|
|
CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,67,500 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 47 |
|
|
CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO EXTEND EXIT OFFER BY ISSUANCE OF INDIVIDUAL NOTICES,
UNDER SPEED POST, DIRECTLY TO THE REMAINING PUBLIC SHAREHOLDERS OF SAHU JAIN LTD. AT THE SAME EXIT PRICE AS WAS OFFERED IN 2019 IN RESPECT OF CAMAC COMMERCIAL CO.LTD.)
07-SEP-2022
|
|
| 48 |
|
|
CANARA ROBECO ASSET MANAGEMENT CO.LTD.
(PAN:AAACC2031J)
|
|
|
ALLEGED VIOLATION OF REGULATION 38 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF REGULATION 48(2) OF (MUTUAL FUNDS) REGULATIONS, 1996 READ WITH SEBI CIRCULAR MFD/CIR NO.11/171/01 DATED 09/02/2001 AND SEBI CIRCULAR SEBI/IMD/CIR NO.5/63714/06 DATED 29/03/2006
ALLEGED VIOLATION OF CLAUSE III OF SEBI CIRCULAR SEBI/HO/IMD/DF3/CIR/P/2017/114 DATED 06/10/2017
ALLEGED VIOLATION OF CLAUSE 5 OF SEBI CIRCULAR SEBI/IMD/CIR NO.5/126096/08 DATED 23/05/2008
ALLEGED VIOLATION OF CLAUSE D OF SEBI CIRCULAR SEBI/HO/IMD/DF2/CIR/P/2018/137 DATED 22/10/2018
ALLEGED VIOLATION OF CLAUSE B OF SEBI CIRCULAR SEBI/IMD/CIR NO.10/22701/03 DATED 12/12/2003
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.84,82,500 VIDE CONSENT ORDER)
11-JUN-2024
|
|
| 49 |
|
|
CAPITALVIA GLOBAL RESEARCH LTD.
(PAN:AADCC5782H)
|
|
|
|
KIRAN RAVINDRA KUMAR CHOUDHARY
PAN:AAEPK1536D
|
|
|
PREM PRAKASH
PAN:AIAPP8261A
|
|
|
ROHIT GADIA
PAN:AGXPG1899A
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-NOV-2022
|
SAT: SAT VIDE ITS ORDER DATED 12/01/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 02/02/2023 REJECTED STAY APPLICATION
SAT: SAT VIDE ITS ORDER DATED 09/02/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 11/11/2016. MATTER REMITTED TO AO TO REDECIDE THE MATTER
SAT: SAT VIDE ITS ORDER DATED 13/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/04/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 31/05/2023 MODIFIED ITS ORDER DATED 22/11/2012 BY REDUCING PENALTY TO RS.RS.30 LAC FROM RS.50 LAC JOINTLY AND SEVERALLY U/S 15HB OF SEBI ACT.
SAT: SAT VIDE ITS ORDER DATED 27/07/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 09/01/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 12/03/2024 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 50 |
|
|
CAPMAN FINANCIALS LTD.
(PAN:AAACC1523B)
|
|
|
DID NOT SUBMIT AUDIT REPORT IN RESPECT OF RECORDS & SYSTEMS OF SHAREPRO AND DID NOT SHIFT OPERATION RELATED TO RTA FROM SHAREPRO
|
IMPOSED PENALTY RS.1,50,000
20-DEC-2018
|
SEBI VIDE ITS NOTICE DATED 24/06/2022 DIRECTED TO PAY RS.2,15,500.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 15/07/2022 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 29/09/2022 DIRECTED ALL THE BANKS TO REMIT RS.2,20,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF CAPMAN FINANCIALS LTD. BY WAY OF EFT/NEFT/RTGS
|
| 51 |
|
|
CDSL VENTURES LTD.
(PAN:AACCC9192Q)
|
|
|
DELAY IN SUBMISSION OF SYSTEM AUDIT REPORT
DID NOT PROCESS FRESH “KNOW YOUR CLIENTS” (KYC) APPLICATIONS OF CLIENTS WITHIN TURNAROUND TIME
DID NOT MAINTAIN SEGREGATION BETWEEN CYBER SECURITY SERVICES AND CYBER INFRASTRUCTURE OF CDSL VENTURES LTD. (CVL) AND CENTRAL DEPOSITORY SERVICES (I) LTD. (CDSL)
|
IMPOSED PENALTY RS.2,00,000
27-SEP-2023
|
|
| 52 |
|
|
CITICORP INVESTMENT BANK (SINGAPORE) LTD.
(PAN:AAACC5806F)
|
|
|
ALLEGED TO ISSUE OFFSHORE DERIVATIVE INSTRUMENT TO SYMMETRY MASTER FUND LTD. WITHOUT COMPLYING WITH ‘KNOW YOUR CLIENTS’ NORMS VIOLATING REGULATION 21(1)(C) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATION, 2019 READ WITH PARAGRAPH 2 OF PART D OF MASTER CIRCULAR
ALLEGED DELAY IN DEPOSITING REGULATORY FEE COLLECTED FROM SUBSCRIBER OF OFFSHORE DERIVATIVE INSTRUMENT VIOLATING REGULATION 21(4) SEBI (FPI) REGULATIONS READ WITH CLAUSE 1 OF PART C OF II SCHEDULE OF (FPI) REGULATIONS, 2019
ALLEGED FAILURE TO PUT IN PLACE NECESSARY SYSTEMS, CONTROLS AND PROCEDURES WITH RESPECT TO ISSUANCE OF OFFSHORE DERIVATIVE INSTRUMENT AND ‘KNOW YOUR CLIENTS’ REQUIREMENTS VIOLATING PARAGRAPH 3(III) OF PART D OF MASTER CIRCULAR
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.36,00,000 VIDE CONSENT ORDER)
05-MAR-2025
|
|
| 53 |
|
|
CITRUS CHECK-INNS LTD.
(CIN:U55101MH2011PLC222394)
|
|
|
|
NARAYAN SHIVRAM KOTNIS
PAN:ABIPK5022D
|
|
|
OMPRAKASH BASANTLAL GOENKA
PAN:AECPG3854J
|
|
|
PRAKASH GANPAT UTEKAR
PAN:AALPU9100E
|
|
|
VENKATRAMAN NATRAJAN
PAN:ACUPV4686K
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-DEC-2018
|
|
| 54 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING SECTIONS 12(A)(A) TO 12A(B) OF SEBI ACT, 1992 READ WITH REGULATION 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PNB FINANCE & INDUSTRIES 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 PNB FINANCE & INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE
DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR
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-MAR-2023 TILL COMPLYING WITH THE MPS REQUIREMENT
IMPOSED PENALTY RS.1,41,00,000
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 26/04/2023 ALLOWED THE APPLICATIONS AND DIRECTED RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS. REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. DIRECTED THAT THE EFFECT AND OPERATION OF IMPUGNED ORDERS TO REMAIN STAYED DURING PENDENCY OF APPEAL AND APPELLANTS TO DEPOSITS 25% OF PENALTY AMOUNT BY WAY OF CASH OR BANK GUARANTEE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 07/11/2024 DIRECTED APPELLANTS TO SUBMIT LETTER TO CGM, CORPORATE FINANCE DEPARTMENT, SEBI WITHIN TEN DAYS FROM DATE OF THIS ORDER AND SEBI TO REPLY/RESPOND WITHIN THIRTY DAYS FROM DATE OF SUBMISSION OF THEIR REQUEST BY THE APPELLANTS
|
| 55 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE
DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR
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-MAR-2023 TILL COMPLYING WITH THE MPS REQUIREMENT
IMPOSED PENALTY RS.20,00,000
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 26/04/2023 ALLOWED THE APPLICATIONS AND DIRECTED RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS. REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. DIRECTED THAT THE EFFECT AND OPERATION OF IMPUGNED ORDERS TO REMAIN STAYED DURING PENDENCY OF APPEAL AND APPELLANTS TO DEPOSITS 25% OF PENALTY AMOUNT BY WAY OF CASH OR BANK GUARANTEE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
|
| 56 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,67,500 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-JUN-2024
07-SEP-2022
|
|
| 57 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-SEP-2024
07-SEP-2022
|
|
| 58 |
|
|
CREDIT ANALYSIS & RESEARCH LTD.
|
|
|
ALLEGED VIOLATION OF CLAUSES (1) TO (4) AND (8) OF CODE OF CONDUCT AS STIPULATED IN SCHEDULE III OF SEBI (CREDIT RATING AGENCIES) REGULATIONS, 1999 IN MATTER OF CARE LTD.
ALLEGED VIOLATION OF REGULATIONS 13, 15(1), 16(1), 16(2), 24(2) AND 24(7) OF SEBI (CREDIT RATING AGENCIES) REGULATIONS, 1999 IN MATTER OF CARE LTD.
ALLEGED VIOLATION OF CLAUSE 1.1.2 OF SEBI CIRCULAR NO.CIR/MIRSD/CRA/6/2010 DATED 03/05/2010 AND SEBI CIRCULAR NO.CIR/MIRSD/3/2013 DATED 15/03/2013 IN MATTER OF CARE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.43,45,645 VIDE CONSENT ORDER)
16-MAY-2018
|
|
| 59 |
|
|
CRESSANDA SOLUTIONS LTD.
(CIN:L51900MH1985PLC037036)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,50,000
12-NOV-2018
|
|
| 60 |
|
|
CREST ANIMATION STUDIOS LTD.
(PAN:AAACC6134C)
|
|
|
DID NOT SUBMIT AUDIT REPORT IN RESPECT OF RECORDS & SYSTEMS OF SHAREPRO AND DID NOT SHIFT OPERATION RELATED TO RTA FROM SHAREPRO
|
IMPOSED PENALTY RS.3,00,000
20-DEC-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 13
|
