| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
ALANKAR UDYOG PVT.LTD.
(PAN:AABCA9131F)
(Along with : TANDON INVESTMENTS PVT.LTD.,
SAHITYA BHAWAN PVT.LTD.)
|
|
|
|
AKSHAT TANDON
PAN:AAXPT4551A
|
|
|
ALANKAR TANDON
PAN:AAXPT4556H
|
|
|
CHAVI TANDON
PAN:AAXPT4558K
|
|
|
ELA TANDON
PAN:ADOPT8291P
|
|
|
GAURAV TANDON
PAN:AAXPT4552D
|
|
|
GIRISH TANDON
PAN:AAXPT4554F
|
|
|
MEENU TANDON
PAN:AAXPT4557G
|
|
|
NEERA TANDON
PAN:AAXPT4559J
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
SEBI VIDE ITS NOTICE DATED 17/05/2022 DIRECTED TO PAY RS.11,71,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 23/06/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 13/12/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4770 OF 2022 DATED 17/05/2022
|
| 82 |
|
|
ALANKAR UDYOG PVT.LTD.
(PAN:AABCA9131F)
(Along with : TANDON INVESTMENTS PVT.LTD.)
|
|
|
|
ALANKAR TANDON
PAN:AAXPT4556H
|
|
|
GIRISH TANDON
PAN:AAXPT4554F
|
|
|
MEENU TANDON
PAN:AAXPT4557G
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHREE BHAWANI PAPER MILLS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2014
|
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/02/2022 DISPOSED OF THE APPEAL BY DIRECTING APPELLANTS A) MAKE A FRESH APPLICATION BEFORE SEBI FOR SEGREGATION OF PENALTY AMOUNT AND UPON RECEIPT OF THE APPLICATION SEBI WILL CONSIDER AND DECIDE THE MATTER WITHIN SIX WEEKS THEREAFTER B) IN THE MEANWHILE, APPELLANTS TO DEPOSIT RS.15 LAC WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT ALONG WITH INTEREST TO BE PAID IN FIVE EMI OF RS.15 LAC EACH ON OR BEFORE 25TH DAY OF THE MONTH AND D) BANK ACCOUNTS, DEMAT ACCOUNTS INCLUDING TRADING ACCOUNTS, LOCKERS ETC. TO BE DEFREEZED AFTER THE PAYMENT OF THE SECOND INSTALLMENT
|
| 83 |
|
|
ALBERS DIAMONDS PVT.LTD.
(PAN:AAICA4525F)
|
|
|
INDULGED IN MANIPULATIVE TRANSACTIONS IN DERIVATIVE SEGMENT THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF GITANJALI GEMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8A(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GITANJALI GEMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF GITANJALI GEMS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF TAKEOVER REGULATIONS, 1997 AND REGULATIONS 3(2) OF TAKEOVER REGULATIONS, 2011 IN MATTER OF GITANJALI GEMS LTD.
|
ORDERED FOR INVESTIGATION
10-MAR-2017
|
|
| 84 |
|
|
ALCHEMIST CAPITAL LTD.
(PAN:AABCT5925F)
|
|
|
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 IN MATTER OF ZENITH BIRLA (INDIA) 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 ZENITH BIRLA (INDIA) LTD.
|
IMPOSED PENALTY RS.50,000
14-NOV-2011
|
|
| 85 |
|
|
ALK HOLDINGS PVT.LTD.
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KHATAU EXIM LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KHATAU EXIM LTD.
|
IMPOSED PENALTY RS.7,50,000
22-SEP-2015
|
SEBI VIDE ITS ORDER DATED 29/08/2017 RE-IMPOSED PENALTY OF RS.7.50 LACS U/S 15A(B) OF SEBI ACT FOR VIOLATION OF REGULATION 8(1) OF TAKEOVER REGULATIONS, 1997
|
| 86 |
|
|
ALK HOLDINGS PVT.LTD.
(Along with : JAYALAXMI HOLDINGS PVT.LTD.,
BRINAN INVESTMENTS PVT.LTD.)
|
|
|
|
H.A.KHATAU
PAN:AABPK4771D
|
|
|
M.H.KHATAU
PAN:AIOPK5261R
|
|
|
P.H.KHATAU
PAN:AGVPK5316J
|
|
|
ROHAN KHATAU
PAN:AOKPK6871R
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KHATAU EXIM LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KHATAU EXIM LTD.
|
IMPOSED PENALTY RS.7,50,000 ALONG WITH OTHER ENTITIES/PERSONS
22-SEP-2015
|
SEBI VIDE ITS ORDER DATED 29/08/2017 IMPOSED PENALTY OF RS.7.50 LACS (PAYABLE JOINTLY OR SEVERALLY) U/S 15A(B) OF THE SEBI ACT ON THE NOTICEES JAYALAKSHMI INVESTMENTS LTD., ALK HOLDING PVT.LTD., MR.ROHAN KHATAU, MR.H.A.KHATAU, MR.P.H.KHATAU AND MR.M.H.KHATAU FOR VIOLATION OF REGULATION 8(2) OF TAKEOVER REGULATIONS, 1997
|
| 87 |
|
|
ALKA INDIA LTD.
(PAN:AABCA6702F)
|
|
|
|
ARUN RAMSWAROOP PANCHARIYA
PAN:AEVPP6125N
|
|
|
ASHOK RAMSWAROOP BHANWARLAL PANCHARIYA
PAN:AEVPP6124P
|
|
|
MADHUDEVI PANCHARIYA
PAN:AHWPP8962H
|
|
|
RADHADEVI SATISH PANCHARIYA
PAN:AHWPP6235D
|
|
|
SARITADEVI PANCHARIYA
PAN:AHWPP6223H
|
|
|
SATISH RAMSWAROOP PANCHARIYA
PAN:ADRPP1806H
|
|
FILED INCORRECT SHAREHOLDING PATTERN AND DID NOT ENSURE 100% OF ITS PROMOTERS’ SHAREHOLDING IN DEMAT FORM VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 IN MATTER OF ALKA INDIA LTD.
DELAY IN MAKING PUBLIC ANNOUNCEMENT VIOLATING REGULATION 10 READ WITH REGULATION 14(1) OF SAST REGULATIONS, 2011 IN MATTER OF ALKA INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-SEP-2024
|
|
| 88 |
|
|
ALLCON ESTATE PVT.LTD.
(PAN:AAGCA2387R)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 89 |
|
|
ALLIANCE CAPITAL ASSET MANAGEMENT (I) PVT.LTD.
|
|
|
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
12-MAY-2004
|
SAT: IMPUGNED ORDER DATED 12/05/2004 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 90 |
|
|
ALLIANCE CAPITAL MANAGEMENT L.P.
|
|
|
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
12-MAY-2004
|
SAT: IMPUGNED ORDER DATED 12/05/2004 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 91 |
|
|
ALLIANCE CAPITAL MUTUAL FUND
|
|
|
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
12-MAY-2004
|
SAT: IMPUGNED ORDER DATED 12/05/2004 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 92 |
|
|
ALLIANCE VICTORY INTERNATIONAL 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
|
| 93 |
|
|
ALOK ELECTRICALS PVT.LTD.
(PAN:AADCA2701J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 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.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-AUG-2013
|
SAT: SAT VIDE ITS ORDER DATED 20/04/2017 SET ASIDED IMPUGNED ORDER DATED 30/12/2015 AND RESTORED THE MATTER TO FILE OF AO OF SEBI TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 94 |
|
|
ALOK LEASING PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 34,00,000 SHARES IN PREFERENTIAL ALLOTMENT OF GANESH POLYTEX LTD. MAKING IT IN ALL 43.47% OF THE SHARE CAPITAL
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
05-FEB-2007
|
|
| 95 |
|
|
ALPHA (INDIA) PROPERTIES LTD.
(PAN:AAFCA8789C)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 96 |
|
|
ALPHA GRAPHIC INDIA LTD.
(PAN:AABCA8299H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-JUL-2009
|
PROCEEDINGS ARE KEPT IN ABEYANCE IN VIEW OF RECEIPT OF APPLICATION IN TERMS OF SEBI CIRCULAR DATED 20/04/2007, DIRECTIONS ISSUED VIDE EX-PARTE INTERIM ORDER DATED 28/07/2009 WOULD CONTINUE TO REMAIN IN FORCE
SEBI VIDE ITS ORDER DATED 11/05/2012 RESTRAINED THE NOTICEE FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES FOR A PERIOD OF TWO YEARS I.E. FROM 11/05/2012 TO 10/05/2014
|
| 97 |
|
|
ALPINE BUILDERS PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ALPINE HOUSING DEVELOPMENT CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-SEP-2009
|
|
| 98 |
|
|
ALTAR INVESTMENT PVT.LTD.
(PAN:AAACA6687J)
|
|
|
REPORTED INFLATED SHAREHOLDING OF PROMOTERS IN MATTER OF GHCL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GHCL LTD.
|
IMPOSED PENALTY RS.56,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-OCT-2013
|
SAT: SAT VIDE ITS ORDER DATED 31/07/2014 QUASHED AND SET ASIDED PENALTY OF RS.2 LACS IMPOSED ON EACH OF THE APPELLANTS FOR VIOLATION OF REGULATION 7(1A) OF SAST REGULATIONS
|
| 99 |
|
|
AMARNATH SECURITIES LTD.
(CIN:L67120GJ1994PLC023254)
|
|
|
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.2,00,000
25-NOV-2019
|
COMPANY VIDE PAYMENT TRANSACTION NO. VICO9667405384 HAS PAID PENALTY OF RS.2 LACS TO SEBI
|
| 100 |
|
|
AMBAJI PAPERS PVT.LTD.
(PAN:AAFCA2276C)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MURLI INDUSTRIES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
31-JUL-2015
|
|
| 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 5 of 114
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