| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 701 |
|
SUNDAY EXPORTS LTD.
(CIN:L51100GJ1994PLC022438
PAN:AADCS1501J)
|
|
|
DID NOT SUBMIT QUARTERLY FINANCIAL RESULTS WITHIN STIPULATED TIME VIOLATING CLAUSE 1.2 OF MODEL CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATIONS 12(1) AND 12(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DID NOT SUBMIT QUARTERLY FINANCIAL RESULTS WITHIN STIPULATED TIME VIOLATING CLAUSE 41(F) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 AND CLAUSE 2.0 AS SPECIFIED IN SCHEDULE II OF CODE OF CORPORATE DISCLOSURES PRACTICE READ WITH REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
01-NOV-2012
|
SAT: SAT VIDE ITS ORDER DATED 20/03/2013 REDUCED THE PENALTY AMOUNT TO RS.1,00,000 FROM RS.2,00,000. NO COSTS
|
| 702 |
|
|
SUNIDHI CAPITAL PVT.LTD.
(PAN:AAJCS0968B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF PRAKASH INDUSTRIES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PRAKASH INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,50,000 VIDE CONSENT ORDER)
09-JAN-2017
|
|
| 703 |
|
|
SUNMET HOLDINGS INDIA PVT.LTD.
(PAN:AADCS2821B)
|
|
|
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 INDSIL HYDRO POWER & MANGANESE LTD.
|
IMPOSED PENALTY RS.2,00,000
13-NOV-2014
|
|
| 704 |
|
|
SURANA INDUSTRIES LTD.
(PAN:AAACS3123M)
|
|
|
|
DINESHCHAND SURANA
PAN:AACPS3233K
|
|
|
G.R.SURANA
PAN:AACPS3237P
|
|
|
KRISHNA UDUPA
PAN:AABPU0478R
|
|
MADE CORPORATE ANNOUNCEMENTS REGARDING PREFERENTIAL ALLOTMENTS AND THERAFTER DEFERRING/DROPPING AGENDA ITEMS RELATING TO SUCH ALLOTMENTS IN MATTER OF SURANA INDUSTRIES LTD.
DELAY IN DISSEMINATION OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES RELATED TO PREFERENTIAL ALLOTMENT VIOLATING REGULATION 12(2) & (3) READ WITH CLAUSE 2.1 OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SURANA INDUSTRIES LTD.
DELAY IN SENDING INTIMATION OF CLOSURE OF BOARD MEETING TO STOCK EXCHANGES VIOLATING PROVISIONS OF CLAUSE 22(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-SEP-2014
|
SAT: SAT VIDE ITS ORDER DATED 25/08/2015 ALLOWED THE APPELLANTS TO WITHDRAWN THE APPEAL AS ALSO MISC. APPLICATION WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 28/04/2016 ALLOWED APPEAL TO BE WITHDRAWN AND DIRECTED APPELLANTS TO PAY PENALTY IMPOSED IN IMPUGNED UNDER THE ORDER IMPUGNED IN THE APPEAL WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 705 |
|
|
SURANA SECURITIES LTD.
(PAN:AADCS9077P)
|
|
|
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 P.M.TELELINKS LTD.
|
IMPOSED PENALTY RS.1,00,000
02-FEB-2018
|
|
| 706 |
|
|
SURBHI INFRAPROJECTS PVT.LTD.
(PAN:AAMCS9707M)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS13(1) AND 13(2A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF YAMINI INVESTMENTS CO.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF YAMINI INVESTMENTS CO.LTD.
|
IMPOSED PENALTY RS.5,00,000
04-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER
SEBI VIDE ITS NOTICE DATED 07/01/2025 DIRECTED TO PAY RS.5,86,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 28/01/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8505 OF 2025 DATED 07/01/2025
|
| 707 |
|
|
SURYA MEDI-TECH LTD.
(PAN:AALCS3282L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
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 ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.4,00,000
30-JUN-2017
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 708 |
|
|
SURYALAKSHMI COTTON MILLS LTD.
(PAN:AAECS1921R)
|
|
|
ALLEGED 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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,69,156 VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 709 |
|
|
SUSHANKU ENTERPRISES LTD.
(PAN:AAECS4434R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SVC RESOURCES LTD.
|
IMPOSED PENALTY RS.2,60,000
31-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 31/07/2020. DIRECTED APPELLANTS TO APPEAR BEFORE THE AO ON 30/06/2022 AND DIRECTED AO TO DECIDE THE MATTER AFRESH WITHIN FOUR MONTHS AFTER THE REPLY RECEIVED
SEBI VIDE ITS ORDER DATED 30/11/2022 RE-IMPOSED PENALTY TO RS.2.60 LAC U/S 15A(B) AND U/S 15H(II) OF SEBI ACT,1992 AND DIRECTED TO PAY WITHIN FORTY-FIVE-DAYS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 10/05/2023 DIRECTED TO PAY RS.2,76,600.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6522 OF 2023 DATED 10/05/2023
|
| 710 |
|
|
SUTLEJ TEXTILES & INDUSTRIES LTD.
(PAN:AAJCS1850N)
|
|
|
ALLEGED 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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,39,750 VIDE CONSENT ORDER)
20-DEC-2016
|
|
| 711 |
|
|
SUZLON ENERGY LTD.
(PAN:AADCS0472N)
|
|
|
ALLEGED DELAY IN AMENDMENT IN CODE OF CONDUCT AND DID NOT INCORPORATE PROVISIONS RELATED TO PRE-CLEARANCE OF TRADES VIOLATING REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
29-JAN-2013
|
|
| 712 |
|
|
SWALLOW ASSOCIATES LLP
(PAN:ACGFS5041R)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KEC INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
14-FEB-2017
|
|
| 713 |
|
|
SWALLOW ASSOCIATES LLP
(PAN:ACGFS5041R)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ZENSAR TECHNOLOGIES LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ZENSAR TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF ZENSAR TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.11,00,000
31-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 26/07/2021 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER DURING THE PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 15/11/2021 DIRECTED TO FILE WRITTEN SUBMISSION FILE WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT VIDE ITS ORDER DATED 06/04/2022 PARTLY ALLOWED THE APPEAL BY SETTING ASIDE VIOLATION OF REGULATIONS 10, 7(1) AND 7(1A) OF SAST REGULATIONS AND PENALTY AMOUNT TO RS.1 LAC FROM RS.2 LAC
|
| 714 |
|
|
SWARAN FINANCIAL PVT.LTD.
(PAN:AAECS4024R)
|
|
|
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 SHREE OM TRADES LTD. (NOW KNOWN AS EMERGENT GLOBAL EDU & SERVICES LTD.)
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 SHREE OM TRADES LTD. (NOW KNOWN AS EMERGENT GLOBAL EDU & SERVICES LTD.)
|
IMPOSED PENALTY RS.2,50,000
28-DEC-2015
|
|
| 715 |
|
|
SWAROOP CHOPRA (HUF)
|
|
|
|
SWAROOP CHOPRA
PAN:AAAHC6001R
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 716 |
|
|
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
|
| 717 |
|
|
SYNCOM HEALTHCARE LTD.
(PAN:AAKCS3247G)
|
|
|
|
AJAY SHANKARLAL BANKDA
PAN:ADHPB2851J
|
|
|
ATUL THAPLIYAL
PAN:AAWPT5187D
|
|
|
J.C.PALIWAL
PAN:AFYPP3780M
|
|
|
JYOTI BANKDA
PAN:ADHPB2855N
|
|
|
NAVEEN SOOD
PAN:AEXPS9104G
|
|
|
SUBASH CHANDRA GUPTA
PAN:AGKPG7678J
|
|
DID NOT MAKE DISCLOSURE WITH REGARD TO FAILURE OF ENTERING INTO MOU TO STOCK EXCHANGES VIOLATING CLAUSE 2.0 OF CODE OF CORPORATE DISCLOSURES FOR PREVENTION OF INSIDER TRADING AS SPECIFIED UNDER REGULATION 12(2) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SYNCOM HEALTHCARE LTD.
DID NOT MAKE CORRECT CORPORATE ANNOUNCEMENT VIOLATING SECTION 12A(C) READ WITH REGULATIONS 3(D), 4(1), 4(2) (F) AND 4(2) (R) OF SEBI PFUTP REGULATIONS, 2003 IN MATTER OF SYNCOM HEALTHCARE LTD.
DID NOT ADOPT CODE OF CONDUCT VIOLATING CLAUSE 1.2 READ WITH REGULATIONS 12(1) AND 12(3) PART A OF SCHEDULE I OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SYNCOM HEALTHCARE LTD.
|
IMPOSED PENALTY
30-NOV-2017
|
SAT: SAT VIDE ITS ORDER DATED 18/05/2018 CONDONED THE DELAY OF 33 DAYS IN FILING OF APPEAL. FURTHER, SET ASIDED IMPUGNED ORDER DATED 30/11/2017 AND RESTORED THE MATTER FOR FRESH DECISION. NO COSTS
SEBI VIDE ITS ORDER DATED 30/11/2018 IMPOSED PENALTY OF RS.10 LACS ON NOTICEES SYNCOM HEALTHCARE LTD., MR.AJAY BANKDA, MR.JYOTI BANKDA AND MR.J.C.PALIWAL UNDER SECTTION 15HB
|
| 718 |
|
|
SYSCHEM (INDIA) LTD.
|
|
|
|
ATUL NIBBER
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SYSCHEM (INDIA) LTD.
|
IMPOSED PENALTY RS.25,000
15-MAY-2009
|
|
| 719 |
|
|
SYSCHEM (INDIA) LTD.
|
|
|
|
KASHMIR CHAND
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SYSCHEM (INDIA) LTD.
|
IMPOSED PENALTY RS.10,000
15-MAY-2009
|
|
| 720 |
|
|
SYSCHEM (INDIA) LTD.
|
|
|
|
ANIL NIBBER
PAN:AATPN3154H
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SYSCHEM (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
15-MAY-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 36 of 42
|
