| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 721 |
|
SUDHAKAR MALLAPPA SHETTY
(PAN:ALPPS0603R)
|
|
|
|
G.V.FILMS LTD.
CIN:L92490MH1989PLC238780
PAN:AAACG2118C
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF G.V.FILMS LTD. & SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II), (6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF G.V.FILMS LTD.
|
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 26-AUG-2022 TO 06-JAN-2023
IMPOSED PENALTY RS.2,00,000
26-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND REDUCED DEBARMENT PERIOD FROM ONE YEAR TO PERIOD UNDERGONE AND SET ASIDE PENALTIES IMPOSED
|
| 722 |
|
|
SUDHANGSHU SHEKHAR BISWAL
(PAN:ADVPB3594L)
|
|
|
|
OMAXE LTD.
PAN:AAACO0171H
|
|
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF OMAXE LTD.
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(III)(7), 4(1), 4(2)(E), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF OMAXE LTD.
|
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 30-JUL-2024 TO 29-JUL-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 30-JUL-2024 TO 29-JUL-2026
IMPOSED PENALTY RS.6,00,000
30-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. STAYED THE DIRECTIONS IN PARAS NO.41(1) AND 41(2) SUBJECT TO DEPOSIT OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/12/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/05/2025 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 723 |
|
|
SUDHIR BHIKHALAL PAREKH
(PAN:AGKPP2595F)
|
|
|
DID NOT MAKE DISCLOSURES OF STATEMENTS OF DEVIATION IN USE OF ISSUE PROCEEDS VIOLATING CLAUSE 43 OF LISTING AGREEMENT READ WITH REGULATION 32 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF TIRUPATI FINCORP LTD.
DID NOT MAKE DISCLOSURE OF CANCELLATION OF CERTIFICATE OF REGISTRATION BY RBI AS NBFC VIOLATING CLAUSE 30 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF TIRUPATI FINCORP LTD.
|
IMPOSED PENALTY RS.1,00,000
30-MAR-2022
|
|
| 724 |
|
|
SUDHIR KUMAR AGARWAL
(PAN:AAOPA3900H)
|
|
|
|
SVAM SOFTWARE LTD.
CIN:L72200DL1992PLC047327
PAN:AAACS0292B
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF SVAM VIOLATING SECTIONS 12A (A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SVAM SOFTWARE LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF SVAM VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(1) (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SVAM SOFTWARE LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SVAM SOFTWARE LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF SVAM SOFTWARE LTD.
|
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 07-OCT-2021 TO 06-OCT-2022
IMPOSED PENALTY RS.5,00,000
07-OCT-2021
|
SAT: SAT VIDE ITS ORDER DATED 11/01/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, DEBARMENT OF THE APPELLANTS TO REMAIN STAYED PROVIDED THEY DEPOSIT FIFTY PERCENT OF THE PENALTY AMOUNT WITHIN THREE WEEKS FROM TODAY
SAT: SAT VIDE ITS ORDER DATED 13/10/2022 PARTLY ALLOWED THE APPEAL BY REDUCING DEBARMENT PERIOD FROM ONE YEAR TO PERIOD UNDERGONE
|
| 725 |
|
|
SUDHIR V.VALIA
(PAN:AABPV2199J)
|
|
|
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM AUDIT COMMITTEE FOR TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD. IN ANNUAL REPORTS VIOLATING REGULATION 34(3) READ WITH SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.37,41,000 VIDE CONSENT ORDER)
11-FEB-2021
|
|
| 726 |
|
|
SUDIP BANDYOPADHYAY
(PAN:AEEPB0645J)
|
|
|
|
OMAXE LTD.
PAN:AAACO0171H
|
|
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PART A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF OMAXE LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. STAYED THE DIRECTIONS IN PARAS NO.41(1) AND 41(2) SUBJECT TO DEPOSIT OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/12/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/05/2025 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 727 |
|
|
SUDIPTA BHATTACHARYA
(PAN:ABAPB4098C)
(Along with : GAUTAMBHAI SHANTILAL ADANI,
RAJESHBHAI SHANTILAL ADANI,
MALAY RAMESH MAHADEVIA,
RAJEEVA RANJAN SINHA)
|
|
|
|
ADANI PORTS & SPECIAL ECONOMIC ZONE LTD.
CIN:L63090GJ1998PLC034182
|
|
ALLEGED FAILURE IN ADHERING TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19A OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957 AND CLAUSES 35 AND 40A OF LISTING AGREEMENT IN MATTER OF ADANI GROUP COMPANIES
ALLEGED FAILURE IN ADHERING TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING REGULATIONS 31 AND 38 OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 24(1) OF SCRA, 1956 IN MATTER OF ADANI GROUP COMPANIES
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.37,05,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-SEP-2026
|
|
| 728 |
|
|
SULOCHANADEVI ANILKUMAR AGARWAL
(PAN:AABPA9575D)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(1)(B) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF FIBREWEB INDIA LTD.
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 FIBREWEB INDIA 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 FIBREWEB INDIA LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-SEP-2017
|
|
| 729 |
|
|
SUMATI SHARMA
(PAN:AIGPS2352B)
|
|
|
|
NU TEK INDIA LTD.
CIN:L74899DL1993PLC054313
PAN:AAACN2270L
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NU TEK INDIA LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(A), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NU TEK INDIA LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF NU TEK INDIA LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF NU TEK INDIA LTD.
|
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 21-DEC-2021 TO 20-JUN-2022
IMPOSED PENALTY RS.1,60,000
21-DEC-2021
|
|
| 730 |
|
|
SUMIT MAZUMDAR
(PAN:AEOPM4572K)
|
|
|
|
TIL LTD.
PAN:AABCT0704G
|
|
MISREPRESENTED/MISSTATED FINANCIALS STATEMENTS VIOLATING REGULATION 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TIL LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF TIL LTD.
MISREPRESENTED/MISSTATED FINANCIALS STATEMENTS VIOLATING REGULATIONS 4(1), 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF TIL LTD.
|
IMPOSED PENALTY RS.1,00,00,000
30-MAY-2024
|
SAT: SAT VIDE ITS ORDER DATED 12/08/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY. REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/09/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/12/2025 CONDONED THE DELAY OF 38 DAYS IN FILING OF APPEAL AND STAY OF RECOVERY SUBJECT TO DEPOSIT OF 50% PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 17/12/2025 CONDONED THE DELAY IN FILING OF APPEAL AND REJOINDER
|
| 731 |
|
|
SUMIT PAL SINGH
(PAN:FJNPS6477N)
|
|
|
|
SUUMAYA INDUSTRIES LTD.
PAN:AAFCR4357R
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SUUMAYA INDUSTRIES LTD.
MISREPRESENTED FINANCIAL STATEMENTS AND MANIPULATED BOOKS OF ACCOUNTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2)(6)(7)(8) AND 4(2)(F)(III)(1),(3),(6),(7)(12) OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956 READ WITH SECTION 27(2) OF SEBI ACT, 1992 IN MATTER OF SUUMAYA INDUSTRIES LTD.
FURNISHED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II AND REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUUMAYA INDUSTRIES LTD.
DID NOT ADHERE TO PREPARATION OF FINANCIAL STATEMENTS AS PER ACCOUNTING STANDARD VIOLATING REGULATION 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 27(1) AND 27(2) OF SEBI ACT, 1992 IN MATTER OF SUUMAYA INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2025 UNTIL FURTHER ORDERS
24-JAN-2025
|
|
| 732 |
|
|
SUNIL AJMERA
(PAN:AACPA0366P)
|
|
|
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM AUDIT COMMITTEE FOR TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD. IN ANNUAL REPORTS VIOLATING REGULATION 34(3) READ WITH SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF RELATED PARTY DISCLOSURE WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 6(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,70,500 VIDE CONSENT ORDER)
11-FEB-2021
|
|
| 733 |
|
|
SUNIL GODHWANI
(PAN:AACPG6998F)
|
|
|
INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
CERTIFIED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING CLAUSE 49(IX) OF LISTING AGREEMENT (POST CIRCULAR DATED 17/04/2014) READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956 AND REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
DID NOT ABIDE BY PRINCIPLES GOVERNING DISCLOSURES AND OBLIGATIONS WITH RESPECT TO LISTED COMPANIES VIOLATING CLAUSES 49(I)(D)(1)(B), 49(I)(D)(2)(F), 49(I)(D)(3)(C),(F),(G),(I),(L) AND 49(II)(E)(2) OF LISTING AGREEMENT (POST CIRCULAR DATED 17/04/2014) READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 AND REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(6), 4(2)(F)(III)(1)(3), (6), (7), (9), (12) AND 26(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
DID NOT EXERCISE DUTY AS MEMBERS OF AUDIT COMMITTEE VIOLATING CLAUSES 49(III)(D)(1)(4),(5) & (9) 49(III)(E)(1)(2) AND 49(V)(B) OF LISTING AGREEMENT {POST AMENDMENT DATED 17/04/2014} READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 AND REGULATIONS 18(3) READ WITH CLAUSES A(1), A(4), (5), (9) AND B(1) UNDER PART C OF SCHEDULE II AND REGULATION 24(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
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-JUL-2022 TO 27-JUL-2024
IMPOSED PENALTY RS.5,00,00,000
28-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 12/04/2023 ALLOWED FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 24/07/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED REJOINDER TO BE FILED WITHIN A WEEK
SAT: SAT VIDE ITS ORDER DATED 02/08/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 734 |
|
|
SUNIL GOEL
(PAN:AHGPG8020K)
|
|
|
|
OMAXE LTD.
PAN:AAACO0171H
|
|
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(III)(7), 4(1), 4(2)(E), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF OMAXE LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUL-2024
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. STAYED THE DIRECTIONS IN PARAS NO.41(1) AND 41(2) SUBJECT TO DEPOSIT OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/12/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
|
| 735 |
|
|
SUNIL GOEL
(PAN:AHGPG8020K)
|
|
|
|
DREAM HOME DEVELOPERS PVT.LTD.
PAN:AACCD0572F
|
|
|
GUILD BUILDERS PVT.LTD.
PAN:AACCG2350E
|
|
|
OMAXE LTD.
PAN:AAACO0171H
|
|
DID NOT ACHIEVE PRESCRIBED 25% MINIMUM PUBLIC SHAREHOLDING THROUGH INDEPENDENT PUBLIC SHAREHOLDERS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 AND PROVISION OF 2(II) ON “AMENDMENTS TO CLAUSE 40A – MINIMUM PUBLIC SHAREHOLDING” OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 AND CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015 IN MATTER OF OMAXE LTD.
MADE INCORRECT AND INFLATED DISCLOSURE OF PUBLIC SHAREHOLDING VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015READ WITH CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZB) OF SEBI (ICDR) REGULATIONS, 2009 AND REGULATION 2(PP) OF SEBI (ICDR) REGULATIONS 2018AND CLAUSE 35 OF LISTING AGREEMENT IN MATTER OF OMAXE LTD.
INDULGED IN FRAUDULENT AND DECEPTIVE SCHEME & ARTIFICE IN CONNECTION WITH DEALING IN SECURITIES VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT.,1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF OMAXE LTD.
PROVIDED DIRECTLY OR INDIRECTLY FINANCIAL ASSISTANCE FOR ACQUISITION OF ITS OWN SHARES VIOLATING SECTION 77(2) OF COMPANIES ACT, 1956 IN MATTER OF OMAXE LTD.
|
IMPOSED PENALTY RS.37,00,000
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 24-SEP-2026 TO 23-SEP-2027
24-SEP-2026
|
|
| 736 |
|
|
SUNIL KAUL
(PAN:AABPK1037E)
|
|
|
|
PNB HOUSING FINANCE LTD.
PAN:AAACP3682N
|
|
ALLEGED FAILURE IN OBTAINING REGISTERED VALUER’S REPORT IN ACCORDANCE WITH ARTICLE 19(2) OF ARTICLES OF ASSOCIATION (AOA) OF COMPANY VIOLATING REGULATIONS 4(2)(F)(III)(3), (6) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
ALLEGED FAILURE TO TAKE INTO ACCOUNT THE INTERESTS OF ALL STAKEHOLDER BY NOT ACCOUNTING FOR CONTROL PREMIUM IN PRICING OF THE PREFERENTIAL ISSUE VIOLATING REGULATIONS 4(2)(F)(III)(3), (6) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
ALLEGED FAILURE IN MAKING ADEQUATE AND TIMELY DISCLOSURE OF MATERIAL INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D), 4(1)(H), 4(2)(B), 4(2)(E)(I), 4(2)(E)(II) AND 30(12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,50,000, INTEREST RS.44,26,533 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-JUL-2022
|
|
| 737 |
|
|
SUNIL KUMAR JAIN
(PAN:ABOPJ9538R)
|
|
|
|
RAJASTHAN TUBE MANUFACTURING CO.LTD.
PAN:AABCR1642P
|
|
DID NOT EXERCISE DUTY AS MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PARA A(1), A(4)(E), A(5), A(11) AND A(12) OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RAJASTHAN TUBE MANUFACTURING CO.LTD.
DID NOT DISCHARGE RESPONSIBILITIES AS MEMBERS OF BOARD OF DIRECTORS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(1)(2)(6)(7)(8) AND 4(2)(F)(III)(1),(3),(6),(7)(12) OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956 IN MATTER OF RAJASTHAN TUBE MANUFACTURING CO.LTD.
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IMPOSED PENALTY RS.2,00,000
04-SEP-2025
|
SAT: SAT VIDE ITS ORDER DATED 05/12/2025 CONDONED THE DELAY OF 29 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. NO COERCIVE ACTION TO RECOVER PENALTY AMOUNT SUBJECT TO DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 738 |
|
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SUNIL KUMAR MITTAL
(PAN:AXSPM4529P)
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URJA GLOBAL LTD.
PAN:AAACC0367M
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DID NOT MAINTAIN HIGH ETHICAL STANDARDS AND TO TAKE INTO ACCOUNT INTEREST OF STAKEHOLDERS VIOLATING REGULATIONS 4(2)(F)III(3), 4(2)(F) III(6), 4(2)(F) III(7), 4(2)(F) III(12) AND 4(2)(F)III(13) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF URJA GLOBAL LTD.
DID NOT MAINTAIN OPERATIONAL TRANSPARENCY AND ETHICAL STANDARDS IN COMPANY VIOLATING REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSES A, C & H AND CLAUSES 1 TO 3 OF DUTIES OF DIRECTORS SECTION IN COMPANY’S CODE OF CONDUCT IN MATTER OF URJA GLOBAL LTD.
DISCREPANCIES IN ANNUAL REPORT/ DIRECTORS’ REPORT SIGNED BY WHOLE TIME DIRECTORS VIOLATING REGULATIONS 4(2)(F)I(2), 4(2)(F)II(8) AND 4(2)(F)III(6) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF URJA GLOBAL LTD.
|
IMPOSED PENALTY RS.3,00,000
29-JAN-2025
|
SEBI VIDE ITS NOTICE DATED 01/05/2025 DIRECTED TO PAY RS.3,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 05/05/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 739 |
|
|
SUNIL KUMAR SHARMA
(PAN:ABKPS1549R)
|
|
|
|
JAIPRAKASH POWER VENTURES LTD.
PAN:AAACJ6297K
|
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MISREPRESENTED BOOKS OF ACCOUNTS AND/OR FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(R) READ WITH 2(1)(B) AND 2(1)(C)(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JAIPRAKASH POWER VENTURES LTD.
MISREPRESENTED BOOKS OF ACCOUNTS AND/OR FINANCIAL STATEMENTS VIOLATING CLAUSE 41(I)(A) AND PARA V OF CLAUSE 49 OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF JAIPRAKASH POWER VENTURES LTD.
MISREPRESENTED BOOKS OF ACCOUNTS AND/OR FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E) AND 4(1)(G) TO 4(1)(J) READ WITH 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6), (7), 4(2)(F)(III) (1)(3), (6), (12), 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF JAIPRAKASH POWER VENTURES LTD.
FURNISHED FALSE CERTIFICATE WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF JAIPRAKASH POWER VENTURES LTD.
|
IMPOSED PENALTY RS.7,00,000
27-DEC-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/03/2025 STAYED THE RECOVERY SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 08/07/2025 GRANTED APPELLANT SIX WEEKS TO FILE REJOINDER
|
| 740 |
|
|
SUNIL SETHY
(PAN:ABTPS5430L)
|
|
|
|
ZUARI AGRO CHEMICALS LTD.
CIN:L65910GA2009PLC006177
PAN:AAACZ3924H
|
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ALLEGED INDULGENCE IN PUBLISHING MISREPRESENTED/ MISSTATED FINANCIAL STATEMENT IN MATTER OF ZUARI AGRO CHEMICALS LTD.
ALLEGED INDULGENCE IN FURNISHING UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS IN MATTER OF ZUARI AGRO CHEMICALS LTD.
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REACHED SETTLEMENT (SETTLEMENT CHARGES RS.73,12,500 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 05-MAR-2026 TO 04-JUL-2026
05-MAR-2026
|
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| 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 43
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