| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 941 |
|
SURESH CHAND AGRAWAL (HUF)
(PAN:AAKHS8188R)
(Along with : HARISH AGRAWAL (HUF))
|
|
|
|
HARISH CHANDRA AGRAWAL
PAN:AAQPA0371A
|
|
|
MADHUR AGRAWAL
PAN:ALCPA9519K
|
|
|
RASHMI AGRAWAL
PAN:AAXPA7947D
|
|
|
SURESH CHAND AGRAWAL
PAN:AAHPA7386E
|
|
|
UDIT AGRAWAL
PAN:ANHPA3288N
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF CAPITAL TRADE LINKS LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
07-AUG-2014
|
PENALTY AMOUNT OF RS.10,00,000.00 PAID BY APPELLANTS BY DEMAND DRAFT NO.229866 FOR RS.5,00,00.00 AND 229867 FOR RS.5,00,00.00 DATED 23/01/2015 DRAWN ON ORIENTAL BANK OF COMMERCE
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 942 |
|
|
SURESHKUMAR PODDAR & CO.(HUF)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,91,581 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 943 |
|
|
SURPLUS FINVEST PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(3) READ WITH 3(2) AND 25(5) OF SAST REGULATIONS, 2011 IN MATTER OF PRAXIS HOME RETAIL LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2023
|
|
| 944 |
|
|
SURYA MEDI-TECH LTD.
(PAN:AALCS3282L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ASHUTOSH PAPER MILLS 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 ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.4,00,000
30-JUN-2017
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 945 |
|
|
SURYA MEDI-TECH LTD.
(PAN:AALCS3282L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.1,00,000
27-FEB-2018
|
|
| 946 |
|
|
SURYAVANSHI COMMOTRADE PVT.LTD.
(PAN:AADCS6807R)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF BETA DRUGS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,36,875 VIDE CONSENT ORDER)
18-FEB-2020
|
|
| 947 |
|
|
SURYAVANSHI COMMOTRADE PVT.LTD.
(PAN:AADCS6807R)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF MAXWELL INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JAN-2018
|
|
| 948 |
|
|
SUSHANKU ENTERPRISES LTD.
(PAN:AAECS4434R)
|
|
|
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 SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SVC RESOURCES LTD.
|
IMPOSED PENALTY RS.2,60,000
31-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 31/07/2020. DIRECTED APPELLANTS TO APPEAR BEFORE THE AO ON 30/06/2022 AND DIRECTED AO TO DECIDE THE MATTER AFRESH WITHIN FOUR MONTHS AFTER THE REPLY RECEIVED
SEBI VIDE ITS ORDER DATED 30/11/2022 RE-IMPOSED PENALTY TO RS.2.60 LAC U/S 15A(B) AND U/S 15H(II) OF SEBI ACT,1992 AND DIRECTED TO PAY WITHIN FORTY-FIVE-DAYS FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 10/05/2023 DIRECTED TO PAY RS.2,76,600.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 17/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6522 OF 2023 DATED 10/05/2023
|
| 949 |
|
|
SV SHAH CONSTRUCTION SERVICES PVT.LTD.
(PAN:AAACS5999M)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF PRADEEP METALS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,29,625 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-DEC-2015
|
|
| 950 |
|
|
SVARAJ TRADING & AGENCIES LTD.
(PAN:AAACS5412R)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011
|
IMPOSED PENALTY RS.10,00,000
03-JUN-2014
|
|
| 951 |
|
|
SVL LTD.
(PAN:AAACS7696D)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHRIRAM EPC LTD.
|
IMPOSED PENALTY RS.6,00,000
25-MAR-2019
|
|
| 952 |
|
|
SWAGRUHA INFRASTRUCTURE LTD.
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011
|
IMPOSED PENALTY RS.4,00,000
25-SEP-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 953 |
|
|
SWARAN FINANCIAL PVT.LTD.
(PAN:AAECS4024R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREE OM TRADES LTD. (NOW KNOWN AS EMERGENT GLOBAL EDU & SERVICES 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 SHREE OM TRADES LTD. (NOW KNOWN AS EMERGENT GLOBAL EDU & SERVICES LTD.)
|
IMPOSED PENALTY RS.2,50,000
28-DEC-2015
|
|
| 954 |
|
|
SYSTRAN MULTIVENTURES PVT.LTD.
(PAN:AAYCS1317H)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING FOR CHANGE OF MORE THAN 2% OF TOTAL SHAREHOLDING OF MS.URVI JINDAL ALONG WITH PERSONS ACTING IN CONCERT (PACS) VIOLATING REGULATION 29(2) OF SAST REGULATION, 2022 IN MATTER OF SHALIMAR PAINTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,04,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-MAR-2025
|
|
| 955 |
|
|
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
|
SEBI VIDE ITS ORDER DATED 17/11/2025 REVOKED AND WITHDRAWN SETTLEMENT ORDER DATED 12/09/2022 QUA ALL THE NOTICEES FOR NON COMPLIANCE WITH THE TERMS OF SETTLEMENT ORDER
|
| 956 |
|
|
TAMARIND CAPITAL PTE.LTD.
(PAN:AAACO9131D)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10(3) OF SAST REGULATIONS, 2011 IN MATTER OF INDIABULLS VENTURES LTD. (NOW KNOWN AS DHANI SERVICES LTD.)
|
IMPOSED PENALTY RS.10,00,000
21-JUN-2022
|
|
| 957 |
|
|
TANU TRADES PVT.LTD.
(PAN:AADCT2352C)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH REGULATION 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SURAJ LTD.
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-JUN-2014
|
|
| 958 |
|
|
TANVI FINCAP PVT.LTD.
(PAN:AAACT6871B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 959 |
|
|
TARA SETHI (HUF)
(PAN:ASAPS8013M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF BERYL SECURITIES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
24-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 06/11/2017 ALLOWED APPEAL TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 02/02/2018 ALLOWED APPEAL TO BE WITHDRAWN. NO COSTS
|
| 960 |
|
|
TARA SETHI (HUF)
(PAN:ASAPS8013M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF BERYL SECURITIES LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2018
|
SAT: APPEAL DISMISSED
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 48 of 55
|
