| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 981 |
|
TRISHLA COMTRADE PVT.LTD.
(PAN:AACCT9862A)
|
|
|
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
|
|
| 982 |
|
|
TRIYAMB SECURITIES PVT.LTD.
(PAN:AACCT7484L)
|
|
|
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 PRO FIN CAPITAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PRO FIN CAPITAL SERVICES LTD.
|
IMPOSED PENALTY RS.8,00,000
19-SEP-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 18/09/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 ORDER DATED 28/09/2018 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 18/09/2018
|
| 983 |
|
|
TUNIS RETAIL PVT.LTD.
(PAN:AADCT2384C)
|
|
|
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
|
|
| 984 |
|
|
TUSCON TOWERS LLP
(PAN:AAQFT0542C)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) AND 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF IKAB SECURITIES & INVESTMENT LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF IKAB SECURITIES & INVESTMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-NOV-2022
|
|
| 985 |
|
|
TVR ESTATES & RESORTS PVT.LTD.
(PAN:AAACK9381P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF COASTAL CORP.LTD.
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 COASTAL CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.13,12,188 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-MAR-2019
|
|
| 986 |
|
|
TWIN BEST TRADING & MARKETING PVT.LTD.
(PAN:AACCT2533L)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRICOM FRUIT PRODUCTS 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 TRICOM FRUIT PRODUCTS LTD.
|
IMPOSED PENALTY RS.2,00,000
21-MAR-2018
|
SEBI VIDE ITS NOTICE DATED 21/01/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 18/05/2022 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 21/01/2019
|
| 987 |
|
|
TWIST BARTER PVT.LTD.
(PAN:AADCT9829Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF INTERFACE FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF INTERFACE FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2020
|
|
| 988 |
|
|
UDDHAV KEJRIWAL (HUF)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SAST REGULATIONS, 2011 IN MATTER OF ELECTROSTEEL CASTING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
26-SEP-2019
|
|
| 989 |
|
|
UMRIGAR INVESTMENTS PVT.LTD.
|
|
|
DELAYED DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF FORTUNE FINANCIAL SERVICES (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2021
|
|
| 990 |
|
|
UNICKON FINCAP PVT.LTD.
(CIN:U74899DL1994PTC061342
PAN:AAACU8424F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 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 REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.1,00,000
27-FEB-2018
|
SEBI VIDE ITS NOTICE DATED 18/06/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
|
| 991 |
|
|
UNICON MERCHANTS PVT.LTD.
(PAN:AAACU6553H)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHIVA CEMENT LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-JAN-2018
|
|
| 992 |
|
|
UNICON TIE UP PVT.LTD.
(CIN:U51909WB2009PTC137340)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) OF SAST REGULATIONS, 2011 IN MATTER OF WORTH INVESTMENT & TRADING CO.LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 24/09/2024 DIRECTED TO PAY RS.12,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/12/2024 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
|
| 993 |
|
|
UNILEVER OVERSEAS HOLDINGS AG
|
|
|
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 HINDUSTAN UNILEVER LTD.
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 HINDUSTAN UNILEVER LTD.
|
IMPOSED PENALTY RS.7,00,000
31-JAN-2014
|
|
| 994 |
|
|
UNILEVER OVERSEAS HOLDINGS BV
|
|
|
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 HINDUSTAN UNILEVER LTD.
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 HINDUSTAN UNILEVER LTD.
|
IMPOSED PENALTY RS.7,00,000
31-JAN-2014
|
|
| 995 |
|
|
UNILEVER PLC
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HINDUSTAN UNILEVER LTD.
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 HINDUSTAN UNILEVER LTD.
|
IMPOSED PENALTY RS.8,00,000
31-JAN-2014
|
|
| 996 |
|
|
UNILEVER UK & CN HOLDINGS LTD.
|
|
|
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 HINDUSTAN UNILEVER LTD.
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 HINDUSTAN UNILEVER LTD.
|
IMPOSED PENALTY RS.7,00,000
31-JAN-2014
|
|
| 997 |
|
|
UNITED BREWERIES (HOLDINGS) LTD.
(PAN:AAACU2307D)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1),31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF UNITED SPIRITS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1),31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF UNITED SPIRITS LTD.
|
IMPOSED PENALTY RS.15,00,000
27-NOV-2015
|
SAT: SAT VIDE ITS ORDER DATED 29/03/2016 QUASHED AND SET ASIDED WITH LIBERTY TO SEBI PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 25/09/2017 DISMISSED THE APPEAL AND DIRECTED APPELLANT TO PAY PENALTY WITHIN 30 DAYS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS NOTICE DATED 13/11/2017 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 23/02/2021 CANCELLED RECOVERY CERTIFICATE DRAWN UP IN R.C.NO.1246 DATED 13/11/2017
|
| 998 |
|
|
UNITED MACHINE CO.LTD.
(PAN:AAACU3228P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(2) AND 8(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WILLIAMSON FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 09/09/2022 DIRECTED TO PAY RS.1,05,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 999 |
|
|
UNITED SPIRITS LTD.
(PAN:AACCM8043J)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF PIONEER DISTILLERIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,18,800 VIDE CONSENT ORDER)
22-SEP-2017
|
|
| 1000 |
|
|
UNITY COMMOTRADE PVT.LTD.
(PAN:AABCU1629D)
(Along with : GENUINE TRADECOM PVT.LTD.)
|
|
|
|
SANJAY KUMAR AGARWAL
PAN:ACHPA1285G
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GOKUL SOLUTIONS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
12-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 22/05/2023 DIRECTED TO PAY RS.2,19,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/01/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6584 OF 2023 DATED 22/05/2023
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 50 of 55
|
