| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 641 |
|
SECURE EARTH TECHNOLOGIES LTD.
(PAN:AABCS9108H)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
28-NOV-2019
|
SEBI VIDE ITS NOTICE DATED 18/02/2022 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 17/06/2022 DIRECTED ALL THE BANKS TO REMIT RS.2,65,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF SECURE EARTH TECHNOLOGIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 20/09/2022 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 18/02/2022
|
| 642 |
|
|
SEENGAL CAPITAL ADVISORS PVT.LTD.
(CIN:U67110DL2008PTC179849
PAN:AAMCS2180G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF CDI INTERNATIONAL LTD. (FORMERLY KNOWN AS COMPACT DISC INDIA LTD.)
|
IMPOSED PENALTY RS.7,00,000
31-JUL-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 04/09/2019 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
SEBI VIDE ITS ORDER DATED 23/01/2020 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL AND MUTUAL FUNDS 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 04/09/2019
|
| 643 |
|
|
SENTHIL TRADE & BUSINESS LINKS PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH REGULATION 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF STERLING HOLIDAY RESORTS INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
05-JAN-2009
|
|
| 644 |
|
|
SETHIA GEMS PVT.LTD.
(PAN:AAHCS4460J)
|
|
|
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 FLAWLESS DIAMOND INDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF FLAWLESS DIAMOND INDIA LTD.
|
IMPOSED PENALTY RS.1,00,000
28-SEP-2011
|
|
| 645 |
|
|
SETHIA GEMS PVT.LTD.
(PAN:AAHCS4460J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF FLAWLESS DIAMOND INDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FLAWLESS DIAMOND INDIA LTD.
|
IMPOSED PENALTY RS.3,00,000
23-NOV-2011
|
SEBI VIDE ITS NOTICE DATED 10/06/2014 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 24/10/2019 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
SEBI VIDE ITS ORDER DATED 24/10/2019 DIRECTED ALL THE BANKS TO REMIT RS.5,52,551.20 TO THE EXTENT LYING IN THE ACCOUNT OF MR.PRASHANT KAMBLE BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 12/10/2021 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 10/06/2014
|
| 646 |
|
|
SGN TELECOMS LTD.
(CIN:L64200PB1986PLC006807)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000
29-MAR-2010
|
|
| 647 |
|
|
SHAH SPACE MANAGER PVT.LTD.
(CIN:U70100GJ2009PTC055936)
|
|
|
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 TURBOTECH ENGINEERING LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TURBOTECH ENGINEERING LTD.
|
IMPOSED PENALTY RS.3,00,000
27-NOV-2014
|
SAT: APPEAL ALLOWED TO WITHDRAWN. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 08/05/2015 ALLOWED APPEAL TO BE WITHDRAWN AND EXTENED THE TIME TO PAYMENT OF PENALTY AMOUNT OF RS.3 LAC BY EIGHT WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 648 |
|
|
SHAKTI HOTELS PVT.LTD.
(PAN:AAKCS7807G)
|
|
|
DELAY IN MAKING 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 PRISM MEDICO & PHARMACY LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PRISM MEDICO & PHARMACY LTD.
|
IMPOSED PENALTY RS.3,00,000
18-JUN-2019
|
|
| 649 |
|
|
SHAKTI PUMPS (INDIA) LTD.
(PAN:AAECS5027L)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
17-NOV-2017
|
|
| 650 |
|
|
SHAMANJWALI METALS PVT.LTD.
(PAN:AADCS5576R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1),7(1A) READ WITH 7(2) AND 8(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CUPID TRADES & FINANCE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF CUPID TRADES & FINANCE LTD.
|
IMPOSED PENALTY RS.50,000
29-JUN-2011
|
|
| 651 |
|
|
SHAMANJWALI METALS PVT.LTD.
(PAN:AADCS5576R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF ROTAM COMMERCIALS LTD. (PRESENTLY KNOWN AS SWORD-EDGE COMMERCIALS LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ROTAM COMMERCIALS LTD. (PRESENTLY KNOWN AS SWORD-EDGE COMMERCIALS LTD.)
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2014 TO 30-SEP-2019
01-OCT-2014
|
|
| 652 |
|
|
SHARMAN APPLIANCES PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GEMSTONE INVESTMENTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GEMSTONE INVESTMENTS LTD.
|
IMPOSED PENALTY RS.1,00,000
06-SEP-2010
|
SAT: APPEAL ALLOWED PARTLY. MONETARY PENALTY OF RS.6 CRORE FOR VIOLATING REGULATION 3 AND 4 SET ASIDE. NO COSTS
|
| 653 |
|
|
SHATBHISHA TRADING PVT.LTD.
(PAN:AAQCS2033L)
|
|
|
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 SHALIMAR PRODUCION LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHALIMAR PRODUCTIONS LTD.
|
IMPOSED PENALTY RS.2,00,000
29-MAR-2019
|
|
| 654 |
|
|
SHELTER INFRA PROJECTS LTD.
(PAN:AABCC2340F)
|
|
|
DID NOT CLOSE TRADING WINDOW VIOLATING REGULATION 12(1) READ WITH CLAUSE 3.2-1 AND 3.2-3A OF MODEL CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTER AND PROMOTER GROUP AS REQUIRED UNDER CLAUSE 22(D) OF SCHEDULE II READ WITH REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,00,000
07-MAR-2014
|
SAT: SAT VIDE ITS ORDER DATED 30/11/2016 PENALTY OF RS.50 LACS IMPOSED UNDER SECTION 15HB OF SEBI ACT SUSTAINED AND PENALTY OF RS.50 LACS IMPOSED UNDER SECTION 23A(A) OF SCRA REDUCED TO RS.7 LACS. DIRECTED TO PAY PENALTY AMOUNT WITHIN A PERIOD OF 45 DAYS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 655 |
|
|
SHINGAR DYES & CHEMICALS PVT.LTD.
(PAN:AAACS6370E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MINDVISION CAPITAL LTD.
|
IMPOSED PENALTY RS.2,00,000
28-FEB-2019
|
|
| 656 |
|
|
SHREE AMBEY TEXTILES PVT.LTD.
(PAN:AAECS3550Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MILLENIUM CYBERTECH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MILLENIUM CYBERTECH LTD.
|
IMPOSED PENALTY RS.3,00,000
20-JAN-2011
|
SEBI VIDE ITS NOTICE DATED 17/07/2014 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 657 |
|
|
SHREE ATAM VALLABH POLY PLASTIC INDUSTRIES PVT.LTD.
(PAN:AACCS3272K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF RITESH PROPERTIES & INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
31-MAY-2011
|
|
| 658 |
|
|
SHREE KGFM PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF REI SIX TEN RETAIL LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF REI SIX TEN RETAIL LTD.
|
IMPOSED PENALTY RS.1,00,000
25-JUN-2018
|
|
| 659 |
|
|
SHREE NATH EXPORTS (INDIA) PVT.LTD.
|
|
|
ALLEGED DELAY IN MAKING 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 ACQUISITION OF 4,69,700 SHARES (6.42%) OF HOWARD HOTELS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
29-NOV-2010
|
|
| 660 |
|
|
SHREEYASH INDUSTRIES LTD.
(PAN:AALCS7768K)
|
|
|
DELAY IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION REGARDING NON-EXECUTION/CANCELLATION OF ORDERS TO STOCK EXCHANGES VIOLATING CLAUSE 2.1 UNDER REGULATION 12(2) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DELAY IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION REGARDING NON-EXECUTION/CANCELLATION OF ORDERS TO STOCK EXCHANGES VIOLATING OF CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.7,00,000
31-OCT-2017
|
SAT: APPEAL DISMISSED. NO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 33 of 42
|
