| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 701 |
|
SHREE SHITALNATH STOCK BROKING PVT.LTD.
|
|
|
|
MEHUL RAMESHCHANDRA ANKLESHWARIA
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.20,000
27-APR-2005
|
|
| 702 |
|
|
SHREE YAAX PHARMA & COSMETICS LTD.
|
|
|
ISSUED MISLEADING CORPORATE ANNOUNCEMENTS IN ORDER TO CREATE ARTIFICIAL VOLUMES IN SCRIP OF SHREE YAAX PHARMA & COSMETICS LTD.
SUBMITTED FALSE/MISLEADING DOCUMENTS AND INFORMATION IN MATTER OF SHREE YAAX PHARMA & COSMETICS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JAN-2010 TO 21-JAN-2015
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JAN-2010 TO 21-JAN-2015
22-JAN-2010
|
SEBI VIDE ORDER DATED 22/01/2010 PERMITTED CONCERNED STOCK EXCHANGES TO ALLOW SQUARE OFF EXISTING OPEN POSITIONS IN F&O SEGMENT, IF ANY, IMMEDIATELY AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
|
| 703 |
|
|
SHREE YAAX PHARMA & COSMETICS LTD.
|
|
|
|
ANANT C.PATEL
|
|
|
ARVIND K.PATEL
|
|
|
DIPAK S.TALATI
|
|
|
JITENDRA RAJGOR
|
|
|
KANTIBHAI M.PATEL
|
|
|
MANEKLAL VELSIBHAI THAKKAR
|
|
|
PARUL DAVE
|
|
|
PRAKASH J.PATEL
|
|
|
VIJAY S.TALATI
|
|
|
YOGESH S.DAVE
|
|
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT SUBMIT REPLY/SUBMISSION OF SHOW CAUSE NOTICE TO ISSUED IN MATTER OF VANISHING COMPANIES
DID NOT FILE STATUTORY RETURNS WITH REGISTRAR OF COMPANIES (ROC) FOR TWO YEARS
DID NOT FILE RETURNS WITH STOCK EXCHANGES FOR TWO YEARS
COMPANY WAS NOT TRACEABLE AT ITS REGISTERED OFFICE
DIRECTORS OF THE COMPANY WERE NOT TRACEABLE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2016 TO 20-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2016 TO 20-OCT-2021
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 21-OCT-2016 TO 20-OCT-2021
21-OCT-2016
|
|
| 704 |
|
|
SHREENATH HARVESTING PVT.LTD.
(PAN:AAMCS3192A)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.5,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA AND 15H(II) AND SET ASIDE PENALTY IMPOSED UNDER SECTION 15 A(A) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 705 |
|
|
SHREYA TIE UP PVT.LTD.
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF OASIS CINE COMMUNICATION LTD.
|
IMPOSED PENALTY RS.2,00,000
23-NOV-2010
|
|
| 706 |
|
|
SHREYAS HOLDINGS LTD.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
IMPOSED PENALTY RS.21,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-OCT-2003
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.1,50,000 FROM RS.21,00,000 WITH NO ORDER AS TO COSTS
|
| 707 |
|
|
SHRIRAM ASSET MANAGEMENT CO.LTD.
|
|
|
|
D.A.GADGIL
|
|
DID NOT ENSURE INVESTMENT OF FUNDS WAS CARRIED OUT AS A PRUDENT BUSINESSMAN AND IN THE BEST INTEREST OF THE UNITHOLDERS
DID NOT ENSURE INVESTMENT OF FUNDS DID NOT GIVE ANY UNDUE OR UNFAIR ADVANTAGE TO ENTITIES HAVING ASSOCIATION WITH SPONSORS AND MANAGED PORTFOLIO OF SCHEMES OF SHRIRAM MUTUAL FUND IN THE INTEREST OF ASSOCIATES OF SPONSORS AND NOT IN THE INTEREST OF ORDINARY UNITHOLDERS
DID NOT EXERCISE DUE DILIGENCE
PURCHASED SHARES FOR EXTRANEOUS CONSIDERATION OF BAILING OUT BROKERS FACING PAYMENT PROBLEMS FOR THEIR TRADING IN THE SHARES OF VIDEOCON INTERNATIONAL LTD. AND IN PURSUANCE OF CLANDESTINE BUYBACK ARRANGEMENT WITH VIDEOCON GROUP
CREATED FALSE DOCUMENTARY EVIDENCE WITH A VIEW TO MISLEAD THE INVESTIGATIONS BY PREPARING ANTE-DATED CORRESPONDENCE BETWEEN SHRIRAM MUTUAL FUND AND THE BROKER TO GIVE AN IMPRESSION THAT THE SHARES WERE PURCHASED ON A DATE DIFFERENT FROM THE ACTUAL DATE OF TRANSACTION
|
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 24-OCT-2002 TO 23-OCT-2003
24-OCT-2002
|
|
| 708 |
|
|
SHUKUN CONSTRUCTION LTD.
(CIN:L45201GJ1993PLC019120)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
|
IMPOSED PENALTY RS.10,00,000
21-MAR-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 709 |
|
|
SHYAM ALCOHOL & CHEMICALS LTD.
(PAN:AAGCS6595M)
|
|
|
TRANSFERRED 7,50,000 SHARES THROUGH OFF-MARKET TRANSFER WITHOUT RECEIPT OF CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R.219 (E) DATED 02/03/2000 AND SECTION 13 AND 18 OF SCRA1956 READ WITH SECTION 2(I) OF SCRA ACT, 1956 IN MATTER OF SAMPADA CHEMICALS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAMPADA CHEMICALS LTD.
DID NOT SUBMIT REQUIRED INFORMATION/DOCUMENTS SOUGHT VIDE SUMMONS IN MATTER OF SAMPADA CHEMICALS LTD.
|
IMPOSED PENALTY RS.24,00,000
25-MAR-2021
|
SEBI VIDE ITS NOTICE DATED 02/08/2022 DIRECTED TO PAY RS.28,33,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 710 |
|
|
SIDDARTH BUSINESSES LTD.
(PAN:AAACS0442F)
|
|
|
SUBMITTED INCORRECT AND MISLEADING DOCUMENTS WITH RESPECT TO PRE-CLEARANCE OF TRADES TO SEBI IN INVESTIGATIONS
|
IMPOSED PENALTY RS.2,00,000
11-AUG-2020
|
SEBI VIDE ITS NOTICE DATED 07/04/2022 DIRECTED TO PAY RS.2,43,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 15/09/2022 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 12/10/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF SIDDARTH BUSINESSES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 01/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4637 OF 2022 DATED 07/04/2022
SEBI VIDE ITS NOTICE DATED 01/12/2022 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 15/09/2022
|
| 711 |
|
|
SIDDHI CULTIVATION PVT.LTD.
(PAN:AAMCS3193B)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.3,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA AND 15H(II) AND SET ASIDE PENALTY IMPOSED UNDER SECTION 15 A(A) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 712 |
|
|
SIDHANT FINANCIAL SERVICES LTD.
(PAN:AADCS9447D)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
24-JUL-2013
|
|
| 713 |
|
|
SILVERFLAG TRADING CO.PVT.LTD.
|
|
|
|
PRAVIN SAWANT
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRIME CAPITAL MARKET LTD.
DID NOT FURNISH TIMELY AND ACCURATE INFORMATION TO SEBI TO COMPLY WITH SUMMONS ISSUED IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
IMPOSED PENALTY RS.1,00,000
21-JUN-2007
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 714 |
|
|
SILVERFLAG TRADING CO.PVT.LTD.
|
|
|
DID NOT FURNISH TIMELY AND ACCURATE INFORMATION TO SEBI TO COMPLY WITH SUMMONS ISSUED IN SCRIP OF PRIME CAPITAL MARKET LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF PRIME CAPITAL MARKET LTD.
|
IMPOSED PENALTY RS.2,00,000
26-APR-2007
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 715 |
|
|
SILVERLINE HOLDINGS CORP.
|
|
|
DID NOT FURNISH REQUISITE INFORMATION TO SEBI IN TIME
|
IMPOSED PENALTY RS.21,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-OCT-2003
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.1,50,000 FROM RS.21,00,000 WITH NO ORDER AS TO COSTS
|
| 716 |
|
|
SILVERLINE TECHNOLOGIES LTD.
(PAN:AAACS7365M)
|
|
|
DID NOT PRODUCE DOCUMENTS/RECORDS/INFORMATION IN RESPONSE TO SUMMONS IN MATTER OF GDR CONVERSIONS AND SUBSEQUENT SALE OF SHARES OF SILVERLINE TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.10,00,000
09-JUN-2011
|
COMPANY VIDE ITS LETTER DATED 25/07/2011 FILED AN APPEAL WITH SAT FOR GRANT OF EXEMPTION FROM PAYING PENALTY OF RS.10,00,000 WHICH WAS IMPOSED BY SEBI VIDE ORDER DATED 09/06/2011.COMPANY DEPOSITED APPEAL FEE OF RS.10,400 WITH SAT.DECISION PENDING WITH SAT
INCLUDED IN SEBI LIST DATED 31/12/2013, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 717 |
|
|
SIRPUR MARKETING PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF BOLTON PROPERTIES LTD.
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BOLTON PROPERTIES LTD.
|
IMPOSED PENALTY RS.7,00,000
03-SEP-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 718 |
|
|
SKYLARK LAND DEVELOPERS & INFRASTRUCTURE INDIA LTD.
(CIN:U70100MP2010PLC023689
PAN:AAOCS3538A)
|
|
|
|
DILIP KUMAR JAIN
DIN:02162529
PAN:AEUPJ2034B
|
|
|
DURGA PRASAD YADAV
DIN:03118203
PAN:ABAPY8539M
|
|
|
JAIHIND KUMAR
DIN:03127028
PAN:ALAPK2141F
|
|
|
RAMASHANKER SINGH YADAV
DIN:03076085
PAN:AAUPY1604L
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS/NOTICES/LETTERS
|
IMPOSED PENALTY RS.1,00,00,000
20-JAN-2016
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 719 |
|
|
SKYVIEW TRADING CO.PVT.LTD.
(CIN:U51909MH2007PTC176694
PAN:AALCS4103N)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.8,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA, 15A (A) AND 15H(II) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 23/03/2017 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 NOTICE DATED 16/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.18,17,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 720 |
|
|
SOLID CARBIDE TOOLS LTD.
(PAN:AABCS5855M)
|
|
|
|
DILIP SURESH SHAH
|
|
|
MUKESH MANSUKHLAL KOTHARI
|
|
|
NARENDRA C.DOSHI
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS/NOTICES/LETTERS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-APR-2011 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
08-APR-2011
|
SEBI VIDE ITS ORDER DATED 10/05/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/04/2011
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 36 of 44
|
