| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 721 |
|
SOLID CARBIDE TOOLS LTD.
(PAN:AABCS5855M)
|
|
|
|
MUKESH MANSUKHLAL KOTHARI
|
|
|
SUBRATO NAG
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SOLID CARBIDE TOOLS LTD.
DID NOT PROVIDE INFORMATION TO SEBI
SHARES ISSUED UNDER PROMOTER'S QUOTA IN PUBLIC ISSUE SOLD IN OPEN MARKET BEFORE COMPLETION OF LOCK-IN-PERIOD
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JUN-2007 TO 14-JUN-2009
15-JUN-2007
|
AS PER FORM 32 FILED BY THE COMPANY WITH ROC, MR.MUKESH MANSUKHLAL KOTHARI HAD RESIGNED FROM DIRECTORSHIP OF THE COMPANY ON 30/11/1995. THIS IS PRIOR TO THE ORDER PASSED BY SEBI ON 15/06/2007
|
| 722 |
|
|
SOMANI CEMENT CO.LTD.
(CIN:L26940GJ1983PLC006400
PAN:AACCS9762N)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SOMANI CEMENT CO.LTD.
|
IMPOSED PENALTY RS.7,00,000
23-DEC-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 723 |
|
|
SOMPLAST LEATHER INDUSTRIES LTD.
(PAN:AADCS0254L)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF SOMPLAST LEATHER INDUSTRIES LTD.
|
IMPOSED PENALTY RS.3,00,000
14-NOV-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 724 |
|
|
SOMPLAST LEATHER INDUSTRIES LTD.
(PAN:AADCS0254L)
|
|
|
|
BHAGWATI SHAH (AKA. M.P.SHAH)
|
|
|
GIRISH SHAH
|
|
|
M.P.SHAH (AKA. BHAGWATI SHAH)
|
|
|
N.R.VEKARIA
PAN:ABOPV5260E
|
|
|
R.D.PATEL
|
|
|
R.N.VEKARIA
|
|
|
RAMANLAL C.HATHI
|
|
|
S.N.VEKARIA
|
|
|
SANJAY PATEL
|
|
|
YOGINI VYAS
PAN:ACQPV5440H
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
ISSUED EQUITY SHARES IN EXCESS ON PREFERENTIAL BASIS WITHOUT TAKING IN-PRINCIPLE APPROVAL OF STOCK EXCHANGE
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 725 |
|
|
SONAL SHARES INVESTMEN & CO.LTD.
(PAN:ASCPP6491Q)
|
|
|
INDULGED IN SIPHONING OFF IPO PROCEEDS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.7,00,000
31-MAY-2022
|
SEBI VIDE ITS NOTICE DATED 19/09/2022 DIRECTED TO PAY RS.7,26,545.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/10/2023 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
SEBI VIDE ITS NOTICE DATED 16/02/2024 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 10/10/2023
SEBI VIDE ITS ORDER DATED 16/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5704 OF 2022 DATED 19/09/2022
|
| 726 |
|
|
SONEPAT COMMODEAL PVT.LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.30,000
19-MAY-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 727 |
|
|
SOUNDCRAFT INDUSTRIES LTD.
(PAN:AABCS3556M)
|
|
|
|
RAJKUMAR C.BASANTANI
PAN:AESPB2834F
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
30-MAR-2007
|
SEBI VIDE ITS NOTICE DATED 27/03/2015 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 18/12/2025 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 27/03/2015
|
| 728 |
|
|
SOUNDCRAFT INDUSTRIES LTD.
(PAN:AABCS3556M)
|
|
|
|
RAJKUMAR C.BASANTANI
PAN:AESPB2834F
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
INDULGED IN PRICE MANIPULATION BY CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-DEC-2008 TO 11-DEC-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-DEC-2008 TO 11-DEC-2013
12-DEC-2008
|
|
| 729 |
|
|
SOURABH H.BORA (HUF)
(PAN:AKFPB3102P)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MAHAN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.4,00,000
30-NOV-2015
|
SEBI VIDE ITS NOTICE DATED 29/02/2016 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 04/03/2016 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 29/02/2016
|
| 730 |
|
|
SOVOTEX TEXTILE PVT.LTD.
(PAN:AAACS6456P)
|
|
|
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.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.15,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA AND 15A(B) 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
|
| 731 |
|
|
SPACE AGE POLYMERS PVT.LTD.
|
|
|
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDING NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PEACOCK INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
10-MAY-2011
|
|
| 732 |
|
|
SPECTRUM.COM PVT.LTD.
|
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.1,00,00,000
28-NOV-2003
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 28/11/2003 SET ASIDE. BOARD MAY INITIATE FRESH PROCEEDINGS AGAINST APPLICANT IF SO DECIDES AND PROCEEDINGS SHALL BE CONCLUDED EXPEDITIOUSLY BUT NOT LATER THEN 30/06/2009
SEBI VIDE ITS NOTICE DATED 22/11/2017 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
|
| 733 |
|
|
SPLENDOR VANIJYA PVT.LTD.
(PAN:AAKCS0981P)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF MURLI INDUSTRIES LTD.
|
IMPOSED PENALTY RS.3,00,000
27-JUN-2013
|
|
| 734 |
|
|
SQUARE D TEXTILES & EXPORTS LTD.
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.1,00,000
07-NOV-2008
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 735 |
|
|
SRIJAN VYAPAR PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUBH LAXMI PROJECTS LTD.
DID NOT FURNISH COMPLETE DETAILS TO SEBI OF TRANSACTIONS IN SCRIP OF SUBH LAXMI PROJECTS LTD.
|
IMPOSED PENALTY RS.1,30,00,000
27-FEB-2009
|
|
| 736 |
|
|
SRIJAN VYAPAR PVT.LTD.
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF AMLUCKIE INVESTMENT CO.LTD.
|
IMPOSED PENALTY RS.2,00,000
26-OCT-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 12/12/2023 DIRECTED TO PAY RS.5,19,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 09/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7468 OF 2023 DATED 12/12/2023
|
| 737 |
|
|
STALLION TRADING CO.
(PAN:DRUPS8079D)
|
|
|
|
SAPNA
PAN:DRUPS8079D
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.10,50,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
SEBI VIDE ITS NOTICE DATED 15/06/2026 DIRECTED TO PAY RS.14,92,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/08/2026 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS, MUTUAL FUNDS FOLIOS AND/OR POST OFFICE ACCOUNT 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
|
| 738 |
|
|
STAR INDIA MARKET RESEARCH
(PAN:AJZPL7369K)
|
|
|
|
DHARMENDRA KUMAR LODHI
PAN:AJZPL7369K
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT CARRY OUT RISK PROFILING OF CLIENTS
DID NOT ENSURE SUITABILITY ADVICE PROVIDE TO CLIENTS
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
LEADING QUESTIONS IN QUESTIONNAIRE FOR RISK PROFILING
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
OFFERED PRODUCTS/SERVICES WITHOUT ASSESSING APPROPRIATE RISK BEARING CAPACITY OF THE CLIENTS
SOLD HNI SERVICES TO NON-HNI CLIENTS
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
CHARGED SERVICE FEES DISPROPORTIONATE TO ANNUAL INCOME/PROPOSED INVESTMENT
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT RENDER SERVICE EVEN AFTER RECEIPT OF FEES
OBTAINED REGISTRATION FROM SEBI AS AN INVESTMENT ADVISER BY SUBMITTING INCORRECT INFORMATION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-AUG-2023
|
|
| 739 |
|
|
STAR INDIA MARKET RESEARCH
(PAN:AJZPL7369K)
|
|
|
|
DHARMENDRA KUMAR LODHI
PAN:AJZPL7369K
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT CARRY OUT RISK PROFILING OF CLIENTS
DID NOT ENSURE SUITABILITY ADVICE PROVIDE TO CLIENTS
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
LEADING QUESTIONS IN QUESTIONNAIRE FOR RISK PROFILING
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
OFFERED PRODUCTS/SERVICES WITHOUT ASSESSING APPROPRIATE RISK BEARING CAPACITY OF THE CLIENTS
SOLD HNI SERVICES TO NON-HNI CLIENTS
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
CHARGED SERVICE FEES DISPROPORTIONATE TO ANNUAL INCOME/PROPOSED INVESTMENT
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT RENDER SERVICE EVEN AFTER RECEIPT OF FEES
OBTAINED REGISTRATION FROM SEBI AS AN INVESTMENT ADVISER BY SUBMITTING INCORRECT INFORMATION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 29-DEC-2023
29-DEC-2023
|
|
| 740 |
|
|
STARVIEW CONSTRUCTIONS PVT.LTD.
|
|
|
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 31/03/2014, 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 07/11/2017 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 ORDER DATED 10/11/2017 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 07/11/2017
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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| Page 37 of 44
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