| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
PUNJAB MERCANTILE & TRADERS LTD.
(PAN:AAACP0228J)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO EXTEND EXIT OFFER FOR THREE MONTHS FROM DATE OF SETTLEMENT ORDER BY ISSUANCE OF INDIVIDUAL NOTICES,
UNDER SPEED POST, DIRECTLY TO THE REMAINING PUBLIC SHAREHOLDERS OF COMBINE HOLDING LTD. AT THE SAME EXIT PRICE AS WAS OFFERED IN 2019 IN RESPECT OF PUNJAB MERCANTILE & TRADERS LTD.)
07-SEP-2022
|
|
| 62 |
|
|
PUNJAB MERCANTILE & TRADERS LTD.
(PAN:AAACP0228J)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,67,500 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 63 |
|
|
SANMATI PROPERTIES LTD.
(PAN:AAACS2745K)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 64 |
|
|
SANMATI PROPERTIES LTD.
(PAN:AAACS2745K)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 65 |
|
|
SBI-SG GLOBAL SECURITIES SERVICES PVT.LTD.
(PAN:AAMCS4727R)
|
|
|
ALLEGED INDULGENCE IN GRANTING REGISTRATION TO FOREIGN PORTFOLIO INVESTORS TO FOREIGN PORTFOLIO INVESTORS WITHOUT ASCERTAINING WHETHER SUCH APPLICANT WAS UNDER COMMON OWNERSHIP OR CONTROL TO FORM INVESTOR GROUP WITH ANY OTHER REGISTERED FOREIGN PORTFOLIO INVESTOR
ALLEGED OPERATION MANUAL DID NOT CONTAIN ANY PROCEDURES TO BE FOLLOWED BY NOTICE TO ASCERTAIN IF THE APPLICANT/FPI WAS IN COMMON CONTROL OR OWNERSHIP WITH ANY OTHER FPI REGISTERED WITH IT OR FORMS PART OF ANY INVESTOR GROUP
ALLEGED FAILURE TO MAINTAIN TRUE AND FAIR RECORDS (ELECTRONIC) FOR FOREIGN PORTFOLIO INVESTORS IN THE NSDL PORTAL
ALLEGED FAILURE TO PROCESS SURRENDER APPLICATIONS OF FOREIGN PORTFOLIO INVESTORS WITHIN STIPULATED TIMELINES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,25,000 VIDE CONSENT ORDER)
27-DEC-2024
|
|
| 66 |
|
|
SHIVUM HOLDINGS PVT.LTD.
(Along with : BRADY & MORRIS ENGINEERING CO.LTD.)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 67 |
|
|
SPANDANA SPHOORTY FINANCIAL LTD.
(PAN:AAICS6213N)
|
|
|
ALLEGED THAT STATUTORY AUDITOR S.R.BATLIBOI & CO.LLP HAD RESIGNED WITHOUT ISSUING LIMITED REVIEW/AUDIT REPORTS AS THEY WERE INELIGIBLE TO CONTINUE AS STATUTORY AUDITORS VIOLATING PARA 6(A) OF SEBI CIRCULAR NO.CIR/CFD/CMD1/114/29 DATED 18/10/2019
ALLEGED THAT STATUTORY AUDITOR S.R.BATLIBOI & CO.LLP HAD RESIGNED WITHOUT ISSUING LIMITED REVIEW/AUDIT REPORTS AS THEY WERE INELIGIBLE TO CONTINUE AS STATUTORY AUDITORS VIOLATING REGULATIONS 18(3), 30(2) AND 36(5) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)
25-OCT-2022
|
|
| 68 |
|
|
T.M.INVESTMENTS LTD.
(PAN:AABCT0548G)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 69 |
|
|
T.M.INVESTMENTS LTD.
(PAN:AABCT0548G)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 70 |
|
|
W H BRADY & CO.LTD.
(Along with : BRADY & MORRIS ENGINEERING CO.LTD.)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 71 |
|
|
ZEN SECURITIES LTD.
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI CIRCULAR NO.MIRSD/SE/CIR-19/2009 DATED 03/12/2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 VIDE CONSENT ORDER)
22-MAY-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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