| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 781 |
|
OLGA TRADING PVT.LTD.
(PAN:AACCO8900C)
|
|
|
|
KAMLESH ARJUNDAS DHANRAJANI
PAN:AGZPD1657P
|
|
|
KRUNAL KHAMAR
PAN:BAQPK2530J
|
|
|
PRANAV PRAFULCHANDRA VORA
PAN:ACYPV7581R
|
|
|
PRIJESH ARUNKUMAR KURANI
PAN:AIQPK8093D
|
|
|
SUMIT DESAI
PAN:ADQPD3744F
|
|
|
VAIBHAV S.PANDYA
PAN:APPPP9112C
|
|
|
VIRESH GANGARAM JOSHI
PAN:AAEPJ2694R
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
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-JUL-2026 TO 23-JUL-2029
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO DISGORGE RS.3,01,08,854 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 27/03/2026 PARTLY ALLOWED THE APPEAL AND TIME EXTENDED FOR THREE MONTHS FROM DATE OF THIS ORDER TO PASS FINAL ORDER
SEBI VIDE ITS ORDER DATED 24/07/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR THREE YEARS FROM DATE OF INTERIM ORDER I.E.28/02/2023 B) MONEY IMPOUNDED IN COMPLIANCE WITH DIRECTIONS OF INTERIM ORDER CUM SCN DATED 28/02/2023, WHICH HAS BEEN ALREADY PAID AND/OR REALIZED TO BE TREATED AS DISGORGEMENT AMOUNT AND SAME TO TRANSFERRED TO IPEF WITH SIMPLE INTEREST @12% P.A. FROM THE END OF INVESTIGATION PERIOD UNTIL DEPOSIT OF UNLAWFUL GAINS PURSUANT TO INTERIM ORDER CUM SCN AND AMOUNT TO BE REMITTED TO IPEF
SAT: SAT VIDE ITS ORDER DATED 28/09/2026 STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% PENALTY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 782 |
|
|
OLGA TRADING PVT.LTD.
(PAN:AACCO8900C)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF AXIS MUTUAL FUND
|
IMPOSED PENALTY RS.10,00,000
24-JUL-2026
|
SAT: SAT VIDE ITS ORDER DATED 28/09/2026 STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% PENALTY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 783 |
|
|
OM ASSOCIATES
(PAN:APTPP6092D)
|
|
|
INDULGED IN FRAUDULENT/MANIPULATIVE TRADE PRACTICES IN COLLUSION AND CONNIVANCE WITH OTHERS RESULTING INTO FAILURE IN MEETING PAY-IN OBLIGATIONS VIOLATING SECTIONS 12A(B) AND 12A(C OF SEBI ACT. 1992 READ WITH REGULATIONS 3(C) AND 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RTS POWER CORP.LTD.
DID NOT CO-OPERATE WITH SEBI IN ITS PROCESS OF INVESTIGATION IN MATTER OF RTS POWER CORP.LTD.
|
IMPOSED PENALTY RS.20,00,000
18-JUN-2021
|
SEBI VIDE ITS NOTICE DATED 14/11/2022 DIRECTED TO PAY RS.23,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/04/2025 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
|
| 784 |
|
|
OM SRI SAI INVESTMENTS
(PAN:AADFO8242K)
|
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
PROMISED ASSURED RETURNS TO CLIENTS
DEFAULTED IN MAINTENANCE OF CLIENT LEDGER
INDULGED IN MANIPULATIVE, FRAUDULENT OR DECEPTIVE SCHEMES WHILE DEALING IN SECURITIES MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2030
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.1,20,00,000
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 24/10/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/11/2024 GRANTED EXTENSION OF FOUR WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 03/09/2026 DIRECTED TO PAY RS.1,71,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 785 |
|
|
OMAXE LTD.
(PAN:AAACO0171H)
|
|
|
|
JAI BHAGWAN GOEL
PAN:ACOPG6352K
|
|
|
ROHTAS GOEL
PAN:AAVPG9866B
|
|
|
SUNIL GOEL
PAN:AHGPG8020K
|
|
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.27,00,000
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-DEC-2026
24-SEP-2026
|
|
| 786 |
|
|
OMAXE LTD.
(PAN:AAACO0171H)
|
|
|
|
ARUN KUMAR PANDEY
PAN:AAGPP8547D
|
|
|
MOHIT GOEL
PAN:ALYPG6203C
|
|
|
ROHTAS GOEL
PAN:AAVPG9866B
|
|
|
SUDHANGSHU SHEKHAR BISWAL
PAN:ADVPB3594L
|
|
|
VIMAL GUPTA
PAN:AAGPG1293D
|
|
INDULGED IN MISREPRESENTATION OF FINANCIAL STATEMENTS AND PRICE MANIPULATION VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING REGULATIONS 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
INDULGED IN MISREPRESENTATION OF FINANCIAL STATEMENTS AND PRICE MANIPULATION VIOLATING REGULATIONS 4(1), 4(2)(E), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015
DID NOT OBTAIN NECESSARY APPROVAL FOR MATERIAL RELATED PARTY TRANSACTIONS FROM ITS SHAREHOLDERS VIOLATING REGULATIONS 23(3) AND 23(4) READ WITH 23(1) OF SEBI (LODR) REGULATIONS, 2015
|
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
IMPOSED PENALTY RS.7,00,000
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
SAT: SAT VIDE ITS ORDER DATED 01/09/2026 DISMISSED THE APPEAL. NO COSTS
|
| 787 |
|
|
OMNI AX' S SOFTWARE LTD.
(CIN:L30006TN1992PLC022439)
|
|
|
INDULGED IN SIPHONING OFF IPO PROCEEDS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 15/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
|
| 788 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
|
|
|
|
PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
|
|
|
THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
PAN:ABIPN2653D
|
|
MISPRESENTED FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISPRESENTED FINANCIAL STATEMENTS AND OTHER DISCLOSURES VIOLATING REGULATIONS 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH REGULATIONS 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003
MISSTATED AND MISPRESENTED FINANCIAL RESULTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES AND DID NOT TAKE NECESSARY APPROVALS FROM AUDIT COMMITTEE/ SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(2), 23(4) AND 23(9) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT WITH DEALMONEY DISTRIBUTION & E-MARKETING PVT.LTD. (DDEPL) AND PROMOTER/ DIRECTOR OF COMPANY VIOLATING REGULATIONS 4(1)(A), 4(1)(B), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED FINANCIAL STATEMENTS AND OTHER DISCLOSURES VIOLATING REGULATIONS 4(1)(C), 4(1)(D), 4(1)(E), 4(1)(G) TO 4(1)(I) AND 4(1)(J) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN FILING OF DISCLOSURES TO STOCK EXCHANGES REGARDING APPOINTMENT/ RESIGNATION OF DIRECTOR AND CHIEF FINANCIAL OFFICER VIOLATING REGULATION 30(2) READ WITH PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DELAY IN APPOINTMENT OF COMPANY SECRETARY/KEY MANAGERIAL PERSONS WITHIN TIMELINES VIOLATING REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS 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-OCT-2024 TO 20-OCT-2025
21-OCT-2024
|
SAT: SAT VIDE ITS ORDER DATED 25/11/2024 GRANTED PERMISSION TO RECEIVED THE SHARES BY APPELLANT COMPANY FOR PAYMENTS MADE IN MARCH & SEPTEMBER AND ALSO REDEEM AND RECEIVE THE SHARES OF CONTINENTAL CONTROL LTD. PLEDGED BY THE APPELLANT MR.PRABHAKRA NAIG
SAT: SAT VIDE ITS ORDER DATED 10/12/2024 ADDED WORDS ‘CONTINENTAL CONTROL LTD.’ IN PARAGRAPH 8 AFTER WORD ‘SHARES’, IN THE SECOND BULLET POINT
SEBI VIDE ITS ORDER DATED 28/03/2025 RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR A PERIOD OF ONE YEAR FROM DATE OF INTERIM ORDER 21/10/2024
SAT: SAT VIDE ITS ORDER DATED 11/08/2025 PERMITTED APPELLANTS TO OBTAIN SHAREHOLDER? RESOLUTION BY CLEARLY MENTIONING IN THE AGENDA AND THE RESOLUTION THAT DEBARMENT IS IN FORCE TILL 22/10/2025
|
| 789 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
|
|
|
|
AMOL SHIVAJI AUTADE
PAN:ANCPA3607Q
|
|
|
DHANANJAY CHANDRAKANT PARIKH
PAN:ACTPP2402L
|
|
|
GURUNATH MUDLAPUR
PAN:AEGPM9121C
|
|
|
MANOJ RAMGOPAL MALPANI
PAN:AADPM9730A
|
|
|
PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
|
|
|
RAM NARAYAN GUPTA
PAN:AAKPG9052E
|
|
|
SONAM SATISH KUMAR JAIN
PAN:ANYPJ5733C
|
|
|
THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
PAN:ABIPN2653D
|
|
MISSTATED AND MISPRESENTED FINANCIAL STATEMENTS 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) READ WITH 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED/ MISPRESENTED FINANCIAL STATEMENTS AND DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT VIOLATING SECTION 27 OF SEBI ACT, 1992 AND REGULATIONS 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH REGULATIONS 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED AND MISPRESENTED FINANCIAL RESULTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES AND DID NOT TAKE NECESSARY APPROVALS FROM AUDIT COMMITTEE/ SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(2), 23(4) AND 23(9) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED/ MISPRESENTED FINANCIAL RESULTS AND DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DELAY IN FILING OF DISCLOSURES TO STOCK EXCHANGES REGARDING APPOINTMENT/ RESIGNATION OF DIRECTOR AND CHIEF FINANCIAL OFFICER VIOLATING REGULATION 30(2) READ WITH PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DELAY IN APPOINTMENT OF COMPANY SECRETARY/KEY MANAGERIAL PERSONS WITHIN TIMELINES VIOLATING REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
|
IMPOSED PENALTY RS.25,00,000
28-MAR-2025
|
SAT: SAT VIDE ITS ORDER DATED 02/05/2025 A) DIRECTED THAT STOCK EXCHANGES AND DEPOSITORIES NOT TO ALTER “FIT AND PROPER” STATUS BASED ON IMPUGNED ORDER UNTIL FURTHER ORDERS B) REJECTED GRANT OF STAY DIRECTIONS IN PARAGRAPH NO.90.1 AND 90.2 OF IMPUGNED ORDER RESTRAINING APPELLANTS FROM ACCESSING SECURITIES MARKET AND APPOINTMENT OF SECOND APPLICANT AS DIRECTOR/KMPC) STAYED RECOVERY OF PENALTY SUBJECT TO DEPOSIT OF 50% OF PENALTY I.E. RS.25 LAC
SAT: SAT VIDE ITS ORDER DATED 13/06/2025 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 01/08/2025 DIRECTED TO PAY RS.26,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 21/07/2025 GRANTED RESPONDENT TWO WEEKS TO FILE REPLY
|
| 790 |
|
|
OPG SECURITIES PVT.LTD.
(PAN:AAACO1081C)
|
|
|
|
SANJAY GUPTA
PAN:AAHPG3047Q
|
|
GAINED ADVANTAGE BY CONSISTENTLY LOGGED IN FIRST ACROSS POP SERVERS ON ACCOUNT OF BEING AWARE OF THE WEAKNESS OF THE TCP/IP TBT SYSTEM ARCHITECTURE
TRIED TO CROWD OUT OTHER TRADING MEMBERS FROM TCP/IP TBT SYSTEM PLATFORM
GAINED UNFAIR ACCESS AND ADVANTAGE BY CONSISTENTLY LOGGING INTO SECONDARY POP SERVER FOR LARGE NUMBER OF DAYS VIOLATING CLAUSES A(1), A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF OPG SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2024 TO 29-OCT-2024
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS STOCK BROKER FROM 30-APR-2024 TO 29-OCT-2024
DIRECTED TO DISGORGE RS.77,75,46,000
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-APR-2019
|
|
| 791 |
|
|
ORANGE MIST PRODUCTIONS PVT.LTD.
(PAN:AABCO0927C)
|
|
|
INDULGED IN FUNDING OF PREFERENTIAL ALLOTMENTS VIA ROUTING OF FUNDS THROUGH COMPANY’S SUPPLIERS/OTHER ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ARNAV CORP.LTD.
|
IMPOSED PENALTY RS.2,00,000
28-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 05/07/2023 DIRECTED TO PAY RS.2,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/07/2023 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 01/09/2023 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 25/07/2023
SEBI VIDE ITS ORDER DATED 01/09/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6755 OF 2023 DATED 05/07/2023
|
| 792 |
|
|
ORBIT CORP.
(PAN:AQZPP1920D)
|
|
|
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ASTER SILICATES LTD.. (NOW KNOWN AS SHRI ASTER SILICATES LTD.)
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 19/10/2022 DIRECTED TO PAY RS.1,06,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 18/12/2023 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 11/10/2023
SEBI VIDE ITS ORDER DATED 18/12/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5795 OF 2022 DATED 19/10/2022
|
| 793 |
|
|
ORBIT CORP.
(PAN:AQZPP1920D)
|
|
|
INDULGED IN DIVERSION OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ASTER SILICATES LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 28-APR-2022 TO 27-APR-2027
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-APR-2022 TO 27-APR-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-APR-2022 TO 27-APR-2027
28-APR-2022
|
|
| 794 |
|
|
ORIENTAL TRIMEX LTD.
(PAN:AAACO1556G)
|
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS OR FINANCIAL STATEMENTS BY BOOKING FICTIOUS SALES AND PURCHASES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ORIENTAL TRIMEX LTD.
PUBLISHED MISREPRESENTED/ MISSTATED AND MISLEADING FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1) TO 4(1)(E), 4(1)(G), 4(1)(H), 4(1)(I), 4(1)(J), 4(2)E, 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ORIENTAL TRIMEX LTD.
|
IMPOSED PENALTY RS.50,00,000
18-FEB-2026
|
SEBI VIDE ITS NOTICE DATED 15/07/2026 DIRECTED TO PAY RS.53,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 24/07/2026 DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 10/08/2026 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
|
| 795 |
|
|
OSCAR INVESTMENTS LTD.
(PAN:AAACO1722C)
|
|
|
AIDED AND ABETTED ROUTING OF FUNDS FROM FHL TO RHC HOLDINGS VIOLATING SECTION 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 FORTIS HEALTHCARE LTD.
|
IMPOSED PENALTY RS.1,00,00,000
18-MAY-2022
|
|
| 796 |
|
|
OSCAR INVESTMENTS LTD.
(PAN:AAACO1722C)
|
|
|
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.
|
IMPOSED PENALTY RS.60,00,000
31-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 10/07/2023 DIRECTED TO PAY RS.66,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 04/08/2023 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 06/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.67,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 797 |
|
|
OSIAJEE TEXFAB LTD.
|
|
|
|
AKASHDEEP JAIN
PAN:AYRPJ1892J
|
|
|
REEMA SAROYA
PAN:BWKPS4650P
|
|
|
VIKAS JAIN
PAN:ABOPJ0184D
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF OSIAJEE TEXFAB LTD.
MADE MISLEADING CORPORATE ANNOUNCEMENTS VIOLATING SECTION 12A (A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), 4(2)(D), 4(2)(E) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF OSIAJEE TEXFAB LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JUL-2026 UNTIL FURTHER ORDER
09-JUL-2026
|
|
| 798 |
|
|
OSPL INFRADEAL PVT.LTD.
(PAN:AABCO8558K)
|
|
|
INDULGED IN DIVERSION OF FUNDS OF RS.2315.09 CRORES (APPROX.) FROM RELIGARE FINVEST LTD. TO PROMOTERS AND THEIR RELATED ENTITIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1), 4(2)(F) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
DID NOT MAKE DISCLOSURE OF FUNDS ROUTED BY RELIGARE FINVEST LTD. THROUGH UNRELATED ENTITIES TO PROMOTERS AND PROMOTERS GROUP ENTITIES VIOLATING CLAUSE 32 OF LISTING AGREEMENT IN MATTER OF RELIGARE ENTERPRISES LTD.
MISREPRESENTATED FINANCIAL POSITION BY ROLLING OVER THE LOANS VIOLATING REGULATIONS 4(1)(B), (C), 30(1) AND 51(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
DIRECTED NOT TO DIVERT ANY FUNDS EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI
14-MAR-2019
|
SEBI VIDE ITS ORDER DATED 12/11/2020 DISPOSED OFF THE ONGOING PROCEEDINGS
SEBI VIDE ITS ORDER DATED 12/11/2020 REVOKED ITS DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 14/03/2019 READ WITH CORRIGENDUM ORDER DATED 18/04/2019
|
| 799 |
|
|
OSPL INFRADEAL PVT.LTD.
(PAN:AABCO8558K)
|
|
|
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.
|
IMPOSED PENALTY RS.60,00,000
31-OCT-2022
|
|
| 800 |
|
|
OSWAL SHARES & SECURITIES LTD.
(PAN:AAACO2273J)
|
|
|
PARTICIPATED IN FRAUDULENT DEVICE, SCHEME OR ARTIFICIAL AT VARIOUS STAGES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1) AND 4(2)(A) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
FRAUDULENTLY TRADED TO MAKE DELISTING OFFER SUCCESSFUL VIOLATING REGULATIONS 4(5)(A) TO 4(5)(C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER RIDDHI SIDDHI GLUCO BIOLS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAR-2026 TO 08-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAR-2026 TO 08-JUN-2026
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 09-MAR-2026 TO 08-JUN-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
11-AUG-2021
|
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. EFFECT AND OPERATION OF THE IMPUGNED ORDER STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 GRANTED APPELLANT THREE WEEKS & NO MORE TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/03/2026 PARTLY ALLOWED THE APPEAL BY REDUCING DEBARMENT PERIOD TO THREE MONTHS FROM TWO YEAR
|
| 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 40 of 61
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