| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
GAUTAM LABDHI COMMODITIES PVT.LTD.
(PAN:AACCG1531D)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-OCT-2026
09-SEP-2026
|
|
| 62 |
|
|
GLOBAL INFRASTRUCTURE PARTNERS INDIA PVT.LTD.
(PAN:AAJCG4994R)
|
|
|
DID NOT ENSURE THAT DECISIONS ARE TAKEN IN INTEREST OF INVESTORS VIOLATING CLAUSE 2(D) OF CODE OF CONDUCT READ WITH REGULATIONS 20(1) AND 20(2) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF INDIA INFRASTRUCTURE FUND II
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECTED TO MODIFY TERMS OF ITS TRUST DEED WHICH ARE INCONSISTENT WITH PROVISIONS OF ALTERNATE INVESTMENT FUNDS REGULATIONS AND CIRCULARS ISSUED THEREUNDER AND SUBMIT DULY MODIFIED TRUST DEED TO SEBI, ALTERNATIVE INVESTMENT FUND AND FOREIGN PORTFOLIO INVESTORS DEPARTMENT
31-MAY-2023
|
|
| 63 |
|
|
GOPI KRISHNA MANEPALLY (HUF)
(PAN:AAGHM2012J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 STAYED IMPUGNED ORDER IN SO FAR AS THE APPELLANT IS CONCERNED
SAT: SAT VIDE ITS ORDER DATED 28/04/2021 LISTED ALL APPEALS ON 18/06/2021 AND DIRECTED ALL THE PARTIES TO FILE THEIR WRITTEN SUBMISSIONS IN THE MEANTIME
SAT: SAT VIDE ITS ORDER DATED 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 03/01/2023 DISMISSED THE APPEAL. NO COSTS
|
| 64 |
|
|
GRD COMMODITIES LTD.
(PAN:AACCG1217C)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 65 |
|
|
GRESHMA COMMODITIES PVT.LTD.
(PAN:AADCG5219M)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 66 |
|
|
GUJARAT ENTERPRISE
(PAN:AVZPK0475F)
|
|
|
INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-SEP-2014
|
|
| 67 |
|
|
HARDIK MULTI-COM BROKING PVT.LTD.
(PAN:AABCV8876F)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 68 |
|
|
HARISH KUMAR (HUF)
|
|
|
|
HARISH KUMAR
|
|
INDULGED IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SHARES OF ELECTROLUX KELVINATOR LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-AUG-2008
|
|
| 69 |
|
|
HEEMA INFOCOM LTD.
(PAN:AADCH2621N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 70 |
|
|
HSBC ASSET MANAGEMENT (INDIA) PVT.LTD.
(PAN:AABCH0007N)
|
|
|
|
VIKRAMADITYA
|
|
DID NOT PROVIDE TIMELY INFORMATION TO INVESTORS/UNITHOLDERS ABOUT CHANGES IN INVESTMENT POLICIES, OBJECTIVES AND DURATION OF SCHEME ETC AS REQUIRED UNDER CLAUSES 2,6 AND 9 OF CODE OF CONDUCT AND REGULATION 25(1) OF MUTUAL FUNDS REGULATIONS, 1996
DID NOT ADHERE TO PROVISIONS OF MUTUAL FUNDS REGULATIONS, DIRECTIVES/INSTRUCTIONS/GUIDELINES AND CIRCULARS ISSUED FROM TIME TO TIME AS REQUIRED UNDER 25(6A) OF MUTUAL FUNDS REGULATIONS, 1996
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
23-APR-2010
|
SAT: SAT VIDE ITS ORDER DATED 03/05/2011 DIRECTED TO COMPLY WITH REGULATION 18(15A) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 QUA THE APPELLANTS AND PROVIDE THEM WITH AN EXIT ROUTE
|
| 71 |
|
|
ICICI BANK LTD.
(PAN:AAACI1195H)
|
|
|
|
SANDEEP BATRA
PAN:ACRPB7391N
|
|
DELAY IN MAKING DISCLOSURE OF BINDING IMPLEMENTATION AGREEMENT SIGNED BETWEEN DOMINANT SHAREHOLDERS OF ICICI BANK LTD. AND BANK OF RAJASTHAN LTD. AS REQUIRED UNDER REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BANK OF RAJASTHAN LTD. (NOW MERGED WITH ICICI BANK LTD.)
DELAY IN MAKING DISCLOSURE OF BINDING IMPLEMENTATION AGREEMENT SIGNED BETWEEN DOMINANT SHAREHOLDERS OF ICICI BANK LTD. AND BANK OF RAJASTHAN LTD. AS REQUIRED UNDER CLAUSE 36 OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BANK OF RAJASTHAN LTD. (NOW MERGED WITH ICICI BANK LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 08/07/2020 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO WARNING. NO COSTS
|
| 72 |
|
|
IDBI TRUSTEESHIP SERVICES LTD.
(PAN:AAACI8912J)
|
|
|
DID NOT ENSURE PROPER CARE AND EXERCISE DUE DILIGENCE AND INDEPENDENT PROFESSIONAL JUDGMENT IN CARRYING OUT ITS ROLES VIOLATING CLAUSE 3(D) OF CODE OF CONDUCT READ WITH REGULATIONS 20(1) AND 20(2) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF INDIA INFRASTRUCTURE FUND II
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECTED TO MODIFY TERMS OF ITS TRUST DEED WHICH ARE INCONSISTENT WITH PROVISIONS OF ALTERNATE INVESTMENT FUNDS REGULATIONS AND CIRCULARS ISSUED THEREUNDER AND SUBMIT DULY MODIFIED TRUST DEED TO SEBI, ALTERNATIVE INVESTMENT FUND AND FOREIGN PORTFOLIO INVESTORS DEPARTMENT
31-MAY-2023
|
|
| 73 |
|
|
INDIA INFRASTRUCTURE FUND II
(PAN:AABTI0624H)
|
|
|
PLEDGED SECURITIES OF PORTFOLIO COMPANIES FOR LOANS AVAILED OF BY PORTFOLIO COMPANIES ENGAGED IN LEVERAGE VIOLATING REGULATIONS 16(1)(C) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF INDIA INFRASTRUCTURE FUND II
DID NOT OPERATE AND MANAGE IN THE INTEREST OF INVESTORS VIOLATING CLAUSE 1(B) OF CODE OF CONDUCT READ WITH REGULATION 20(1) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF INDIA INFRASTRUCTURE FUND II
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECTED TO MODIFY TERMS OF ITS TRUST DEED WHICH ARE INCONSISTENT WITH PROVISIONS OF ALTERNATE INVESTMENT FUNDS REGULATIONS AND CIRCULARS ISSUED THEREUNDER AND SUBMIT DULY MODIFIED TRUST DEED TO SEBI, ALTERNATIVE INVESTMENT FUND AND FOREIGN PORTFOLIO INVESTORS DEPARTMENT
31-MAY-2023
|
|
| 74 |
|
|
INSPIRISYS SOLUTIONS LTD.
(PAN:AAACA5622M)
|
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A(A) TO 12A)C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(C) TO 3(D), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF INSPIRISYS SOLUTIONS LTD. (FORMERLY KNOWN AS ACCEL FRONTLINE LTD.)
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING CLAUSE 41 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF INSPIRISYS SOLUTIONS LTD. (FORMERLY KNOWN AS ACCEL FRONTLINE LTD.)
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING REGULATION 30 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF INSPIRISYS SOLUTIONS LTD. (FORMERLY KNOWN AS ACCEL FRONTLINE LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
IMPOSED PENALTY RS.10,00,000
20-SEP-2023
|
|
| 75 |
|
|
IQMS SOFTWARE LTD.
|
|
|
GOT PUBLIC ISSUE SUBSCRIBED BY TWO GROUPS BY 22.71% USING FUNDS VIOLATING SECTION 69 OF COMPANIES ACT, 1956 AND CLAUSE 6.3.8.1 OF DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
15-JAN-2016
|
|
| 76 |
|
|
JBS BUILDERS & TRADERS PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 77 |
|
|
JOINDRE COMMODITIES LTD.
(PAN:AABCJ1765B)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 78 |
|
|
KAKARIA INVESTMENT
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 79 |
|
|
KAMALKISHORE KARWA (HUF)
(PAN:AACHK9840E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 80 |
|
|
KARISHMA FLORICULTURE LTD.
(CIN:U74899DL1994PLC057511)
|
|
|
|
S.N.BANSAL
|
|
ADVANCED FUNDS FOR PURCHASE OF ITS OWN SHARES VIOLATING SECTION 77(2) OF COMPANIES ACT, 1956
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT TRANSFER SHARE CERTIFICATES WITHIN STIPULATED TIME
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 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 4 of 8
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