| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 7721 |
|
WALCHAND CHIRANIKA TRADING PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BOMBAY CYCLE & MOTOR AGENCY LTD.
|
IMPOSED PENALTY RS.21,25,000 ALONG WITH OTHER ENTITIES/PERSONS
22-DEC-2015
|
SAT: SAT VIDE ITS ORDER DATED 28/05/2018 ALLOWED APPEAL BY QUASHING THE DECISIONS OF IMPUGNED ORDER DATED 22/12/2015. NO COSTS
|
| 7722 |
|
|
WALCHAND GREAT ACHIEVERS PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BOMBAY CYCLE & MOTOR AGENCY LTD.
|
IMPOSED PENALTY RS.21,25,000 ALONG WITH OTHER ENTITIES/PERSONS
22-DEC-2015
|
SAT: SAT VIDE ITS ORDER DATED 28/05/2018 ALLOWED APPEAL BY QUASHING THE DECISIONS OF IMPUGNED ORDER DATED 22/12/2015. NO COSTS
|
| 7723 |
|
|
WALCHAND KAMDHENU COMMERCIALS PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BOMBAY CYCLE & MOTOR AGENCY LTD.
|
IMPOSED PENALTY RS.21,25,000 ALONG WITH OTHER ENTITIES/PERSONS
22-DEC-2015
|
SAT: SAT VIDE ITS ORDER DATED 28/05/2018 ALLOWED APPEAL BY QUASHING THE DECISIONS OF IMPUGNED ORDER DATED 22/12/2015. NO COSTS
|
| 7724 |
|
|
WALCHANDNAGAR INDUSTRIES LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BOMBAY CYCLE & MOTOR AGENCY LTD.
|
IMPOSED PENALTY RS.21,25,000 ALONG WITH OTHER ENTITIES/PERSONS
22-DEC-2015
|
SAT: SAT VIDE ITS ORDER DATED 28/05/2018 ALLOWED APPEAL BY QUASHING THE DECISIONS OF IMPUGNED ORDER DATED 22/12/2015. NO COSTS
|
| 7725 |
|
|
WALDORF INDIA LTD.
(PAN:AAACW2376E)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.3,50,000
19-JAN-2018
|
|
| 7726 |
|
|
WALL STREET SECURITIES & INVESTMENTS LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.2,50,000
28-JAN-2003
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.25,000 FROM RS.2,50,000
|
| 7727 |
|
|
WARNER MULTIMEDIA LTD.
(CIN:L92100WB1983PLC036338
PAN:AABCC0225H)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF BLUE CIRCLE SERVICES LTD.
|
IMPOSED PENALTY RS.8,00,000
01-JAN-2018
|
SEBI VIDE ITS ORDER DATED 09/08/2018 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 19/12/2023 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 09/08/2018
SEBI VIDE ITS ORDER DATED 19/12/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.1610 OF 2018 DATED 24/07/2018
|
| 7728 |
|
|
WARNER MULTIMEDIA LTD.
(CIN:L92100WB1983PLC036338
PAN:AABCC0225H)
|
|
|
FACILITATED FUNDING THROUGH ITS RELATED/CONNECTED ENTITIES TO PREFERENTIAL ALLOTMENT BY PREFERENTIAL ALLOTTEES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JMD TELEFILMS INDUSTRIES LTD. (NOW JMD VENTURES LTD.)
|
IMPOSED PENALTY RS.6,00,000
28-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 15/03/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED EXEMPTION APPLICATIONS
SAT: SAT VIDE ITS ORDER DATED 29/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 15/05/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 06/07/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/08/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/09/2023 ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/11/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 16/02/2024 DIRECTED TO PAY RS.7,03,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 12/03/2024 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 22/03/2024 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 12/03/2024
SEBI VIDE ITS ORDER DATED 22/03/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7650 OF 2024 DATED 16/02/2024
SAT: SAT VIDE ITS ORDER DATED 05/03/2024 ALLOWED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/05/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 21/08/2024 INFORMED THAT THE APPELLANT SEEKS ONE WEEK TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 21/10/2024 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
|
| 7729 |
|
|
WASANKAR WEALTH MANAGEMENT LTD.
(PAN:AAACW8073C)
|
|
|
|
ABHIJEET JAYANT CHAUDHARI
PAN:AIUPC8611M
|
|
|
BHAGYASHREE PRASHANT WASANKAR
PAN:AALPW3274H
|
|
|
MITHILA VINAY WASANKAR
DIN:02772484
PAN:ANFPM0123J
|
|
|
PRASHANT JAIDEV WASANKAR
DIN:02222183
PAN:AAIPW1864A
|
|
|
VINAY JAIDEV WASANKAR
PAN:AALPW3215A
|
|
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES FOR REFUND AND REFUND RELATED DIRECTIVES/INSTRUCTIONS/GUIDELINES AND DID NOT SUBMIT INFORMATION AS PER DIRECTIVES/INSTRUCTIONS/GUIDELINES VIDE SEBI ORDER DATED 18/05/2015
|
IMPOSED PENALTY RS.1,00,00,000
19-MAR-2018
|
|
| 7730 |
|
|
WASHINGTON SOFTWARES LTD.
|
|
|
ALLEGED NOT RESPONDING TO LETTERS/SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.1,00,000
31-MAR-2008
|
|
| 7731 |
|
|
WATERBASE MERCANTILE CO.PVT.LTD.
(PAN:AAACW5073A)
|
|
|
|
NIRANJANI SATYENDRAKUMAR PANDEY
DIN:00667321
|
|
|
SATYENDRAKUMAR RAMSHANKAR PANDEY
DIN:00118134
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES IN SCRIP OF STERLING INTERNATIONAL ENTERPRISES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2022
|
SAT: SAT VIDE ITS ORDER DATED 31/05/2022 ALLOWED THE APPEALS AND SET ASIDE IMPUGNED ORDER ON ACCOUNT OF INORDINATE DELAY. NO COSTS
|
| 7732 |
|
|
WATERGATE MERCANTILE CO.PVT.LTD.
(CIN:U51909MH2005PTC156077)
|
|
|
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
|
| 7733 |
|
|
WATTA FINANCE & INVESTMENT CO.PVT.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 A.V.COTTEX LTD.
|
IMPOSED PENALTY RS.50,000
30-JAN-2012
|
|
| 7734 |
|
|
WATTKINS COMMERCE PVT.LTD.
(PAN:AAACW2298K)
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF PG ELECTROPLAST LTD.
|
IMPOSED PENALTY RS.1,00,000
02-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 7735 |
|
|
WAVE INTER TRADES PVT.LTD.
(PAN:AAACW0576A)
(Along with : EMBASSY FINANCE & CONSULTANTS PVT.LTD.,
TOHEE TRADING & AGENCIES PVT.LTD.,
SULABH IMPEX LTD.)
|
|
|
|
ANKIT JAIN
PAN:AAGPJ3942C
|
|
|
RASHMI JAIN
PAN:AAGPJ3943D
|
|
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 MISHKA FINANCE & TRADING LTD.
DELAY IN MAKING 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 MISHKA FINANCE & TRADING LTD.
MADE WRONG 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 MISHKA FINANCE & TRADING LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-JUL-2022
|
|
| 7736 |
|
|
WAVE INTER TRADES PVT.LTD.
(PAN:AAACW0576A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MISHKA FINANCE & TRADING LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MISHKA FINANCE & TRADING LTD.
MADE WRONG DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MISHKA FINANCE & TRADING LTD.
|
IMPOSED PENALTY RS.1,00,000
14-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 15/05/2023 DIRECTED TO PAY RS.1,12,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 07/06/2023 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
|
| 7737 |
|
|
WAVE INTER TRADES PVT.LTD.
(PAN:AAACW0576A)
(Along with : EMBASSY FINANCE & CONSULTANTS PVT.LTD.,
TOHEE TRADING & AGENCIES PVT.LTD.,
PEARL ARCADE TRADING PVT.LTD.)
|
|
|
|
ANKIT JAIN
PAN:AAGPJ3942C
|
|
|
RASHMI JAIN
PAN:AAGPJ3943D
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF MISHKA FINANCE & TRADING LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 18/07/2023 DIRECTED TO PAY RS.2,27,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 09/08/2023 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 24/08/2023 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 09/08/2023
SEBI VIDE ITS ORDER DATED 24/08/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6899 OF 2023 DATED 18/07/2023
|
| 7738 |
|
|
WAVE INTER TRADES PVT.LTD.
(PAN:AAACW0576A)
(Along with : EMBASSY FINANCE & CONSULTANTS PVT.LTD.,
TOHEE TRADING & AGENCIES PVT.LTD.)
|
|
|
|
ANKIT JAIN
PAN:AAGPJ3942C
|
|
|
RASHMI JAIN
PAN:AAGPJ3943D
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(1) OF SAST REGULATIONS, 2011 IN MATTER OF MISHKA FINANCE & TRADING LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 18/07/2023 DIRECTED TO PAY RS.2,27,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 09/08/2023 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 24/08/2023 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 09/08/2023
SEBI VIDE ITS ORDER DATED 24/08/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6898 OF 2023 DATED 18/07/2023
|
| 7739 |
|
|
WAVE MERCANTILE PVT.LTD.
(PAN:AAACW7536L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND MATCHED TRADES IN SCRIP OF FUNNY SOFTWARE LTD.
|
IMPOSED PENALTY RS.5,00,000
28-APR-2023
|
SEBI VIDE ITS NOTICE DATED 17/07/2023 DIRECTED TO PAY RS.5,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 15/09/2023 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 25/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.5,36,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 18/01/2024 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED THREE WEEKS TO FILE REJOINDER
|
| 7740 |
|
|
WAVERLEY INVESTMENTS LTD.
(PAN:AAACW4794N)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.14,00,000
30-MAR-2015
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2015 CONFIRMED PENALTY OF RS.14 LACS IMPOSED VIDE SEBI’S ORDER DATED 30/03/2015. NO COSTS
SEBI VIDE ITS NOTICE DATED 29/05/2017 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 28/06/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.1184 OF 2017 DATED 29/05/2017
|
| 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 387 of 396
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