| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1041 |
|
SPARROW ASIA DIVERSIFIED OPPORTUNITIES FUND
(PAN:AANCS3131Q)
|
|
|
INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF RAINBOW PAPERS LTD. VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RAINBOW PAPERS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-OCT-2021 TO 25-OCT-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-OCT-2021 TO 25-OCT-2029
26-OCT-2021
|
SAT: SAT VIDE ITS ORDER DATED 15/07/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 26/08/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 10/11/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 26/10/2021. NO COSTS
|
| 1042 |
|
|
SPARROW ASIA DIVERSIFIED OPPORTUNITIES FUND
(PAN:AANCS3131Q)
|
|
|
ACTED AS CONDUIT OF MR.ARUN PANCHARIYA TO SELL THE ILLEGALLY ACQUIRED SHARES IN INDIAN SECURITIES MARKET 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 TEXMO PIPES & PRODUCTS 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 28-FEB-2023 TO 27-FEB-2028
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.14,82,12,803 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
|
|
| 1043 |
|
|
SPINSTAR FINVEST PVT.LTD.
(PAN:AAACV9576H)
|
|
|
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.30,00,000
31-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 19/01/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 16/03/2023 GRANTED RESPONDENT FURTHER TWO WEEKS TO FILE REPLIES AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 02/08/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 1044 |
|
|
SREI INFRASTRUCTURE FINANCE LTD.
(CIN:L29219WB1985PLC055352
PAN:AAACS1425L)
|
|
|
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.35,00,000
31-OCT-2022
|
|
| 1045 |
|
|
SRESTHA FINVEST LTD.
(Along with : LADDU GOPAL VENTURES PVT.LTD.,
SUNSTAR REALTY DEVELOPMENT LTD.)
|
|
|
|
ANSHU MISHRA
PAN:BMIPS3480H
|
|
|
MANISH MISHRA
PAN:AMPPM6823L
|
|
|
REKHA BHANDARI
PAN:ALHPB9175D
|
|
|
SUNIL BHANDARI
PAN:ALZPB5747M
|
|
INDUCED PUBLIC INVESTORS TO INVEST IN SCRIP BY UPLOADING FALSE & MISLEADING VIDEOS ON CERTAIN YOUTUBE CHANNELS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GG ENGINEERING LTD.
INDULGED IN CREATING MISLEADING APPEARANCE OF TRADING VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GG ENGINEERING LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2025
|
|
| 1046 |
|
|
SRIDHAM DISTRIBUTORS PVT.LTD.
(PAN:AAFCA0211M)
|
|
|
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.40,00,000
31-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 28/07/2023 DIRECTED TO PAY RS.44,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/10/2024 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
|
| 1047 |
|
|
STALLION TRADING CO.
(PAN:DRUPS8079D)
|
|
|
|
SAPNA
PAN:DRUPS8079D
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ACTED AS STOCK BROKER WITHOUT SEBI REGISTRATION
ISSUED FICTITIOUS CONTRACT NOTES
FALSIFIED/FABRICATED DOCUMENT TO GIVE IMPRESSION OF AUTHENTICITY ABOUT ITS TRANSACTIONS
DELAY IN TRANSFER OF SHARES TO TRANSFEREES SUBSEQUENT TO RECEIPT OF PAYMENT FROM TRANSFEREES VIOLATING SECTION 2(I)(A) OF SCRA, 1956 AND SECTIONS 13, 16 AND 18 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R 219(E) DATED 02/03/2000 AND SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF DELTA LEASING AND FINANCE LTD.
DID NOT FURNISH REQUIRED INFORMATION IN RESPONSE TO SUMMONS ISSUED BY INVESTIGATION AUTHORITY IN MATTER OF DELTA LEASING AND FINANCE LTD.
STATED FALSE REASONS IN DELIVERY INSTRUCTION SLIP (DIS) FOR TRANSACTIONS AS LOAN OF SHARES, RETURN OF LOAN, BAD DELIVERY, RECTIFICATION OF BAD DELIVERY AND GIFT VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DELTA LEASING AND FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2023 TO 30-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2023 TO 30-APR-2023
IMPOSED PENALTY RS.10,50,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2023
|
SEBI VIDE ITS NOTICE DATED 15/06/2026 DIRECTED TO PAY RS.14,92,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/08/2026 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
SEBI VIDE ITS NOTICE DATED 21/09/2026 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.15,13,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 1048 |
|
|
STANDARD CHARTERED BANK
(PAN:AABCS4681D)
|
|
|
ALLEGED TO HAVE BENEFITTED PRIVATE LIMITED COMPANY CONTROLLED BY PROMOTER GROUP COMPANIES AT THE EXPENSE OF LISTED COMPANY (CG POWER) VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) &4(1)OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,97,25,000 VIDE CONSENT ORDER)
24-MAY-2022
|
|
| 1049 |
|
|
STAR ARTWORKS PVT.LTD.
(PAN:AAVCS7590R)
|
|
|
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.50,00,000
31-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 11/07/2023 DIRECTED TO PAY RS.55,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/10/2023 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 28/11/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.57,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 1050 |
|
|
STAR ARTWORKS PVT.LTD.
(PAN:AAVCS7590R)
|
|
|
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 11/09/2019 DIRECTED NOT TO DISPOSED OFF OR ALIENATE ANY OF THEIR ASSETS OR DIVERT ANY FUNDS, EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI TILL COMPLETION OF INVESTIGATION AND FURTHER ORDERS
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
|
| 1051 |
|
|
STARLOG ENTERPRISES LTD.
(PAN:AAACA3293L)
|
|
|
|
SAKET AGARWAL
PAN:AANPA2136J
|
|
DELAY IN IMPAIRMENT RELATING TO INVESTMENT IN ALBA ASIA PVT.LTD. VIOLATING REGULATIONS 4(1)(A), 4(2)(E)(I), 33(3), 34 AND 48 OF SEBI (LODR) REGULATIONS, 2015IN MATTER OF STARLOG ENTERPRISES LTD.
MISPRESENTED FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003IN MATTER OF STARLOG ENTERPRISES LTD.
DID NOT MAINTAIN STRUCTURED DIGITAL DATABASE DURING SECRETARIAL AUDIT VIOLATING REGULATION 3(6) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF STARLOG ENTERPRISES LTD.
DID NOT ATTACH SECRETARIAL AUDIT REPORT OF ITS MATERIAL SUBSIDIARY STARLIFT SERVICES PVT.LTD. WITH ANNUAL REPORT VIOLATING REGULATION 24A OF SEBI (LODR) REGULATIONS, 2015
DID NOT APPOINT INDEPENDENT DIRECTORS IN ITS MATERIAL SUBSIDIARIES VIOLATING REGULATION 24 OF SEBI (LODR) REGULATIONS, 2015
DEFAULTED IN APPOINTMENT OF COMPANY SECRETARY AND/OR COMPLIANCE OFFICER VIOLATING REGULATION 6(1) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2025
|
|
| 1052 |
|
|
STHITHI INSURANCE SERVICES PVT.LTD.
(CIN:U66030TN2003PTC051201
PAN:AAKCS6316E)
|
|
|
|
RAMANUJAM SESHARATHNAM
PAN:AERPR6301N
|
|
|
SUDARSHAN VENKATRAMAN
PAN:AWJPS4793B
|
|
MISLED PUBLIC REGARDING THE ACTUAL SHARES BY THE PROMOTERS VIOLATING SECTIONS 12(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(D), 4(2)(F) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF ZYLOG SYSTEMS LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-NOV-2020
|
SEBI VIDE ITS ORDER DATED 24/02/2022 DIRECTED ALL THE BANKS TO REMIT RS. 1,15,03,466.00 TO THE EXTENT LYING IN THE ACCOUNT OF STHITHI INSURANCE SERVICES PVT.LTD., MR.SUDARSHAN VENKATRAMAN & MR.RAMANUJAM SESHARATHNAM TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 05/07/2024 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF CHENNAI AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTY IS LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTERS, INCLUDING THE SAID PROPERTY, IF PRESENTED FOR REGISTRATION
|
| 1053 |
|
|
STOCKK SEVA MARKETING PVT.LTD.
(PAN:ABGCS6152D)
|
|
|
|
BHAVYA DHIMAN
PAN:GKPPD9799L
|
|
|
MEGHKUMAR MAHENDRAKUMAR SHAH
PAN:DYLPS2534H
|
|
PUBLISHED MISLEADING INFORMATION IN RELATION TO SME IPO AND INDUCED INVESTORS TO SALE AND PURCHASE SECURITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VEERKRUPA JEWELERS 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 29-MAY-2026 TO 28-MAY-2031
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 29-MAY-2026 TO 28-MAY-2031
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
IMPOSED PENALTY RS.20,00,000
29-MAY-2026
|
SAT: SAT VIDE ITS ORDER DATED 24/06/2026 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAYED DEBARMENT AND RECOVERY PROCEEDINGS, SUBJECT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 24/09/2026 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF FULL PENALTY AND DISGORGEMENT AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 1054 |
|
|
STREAM VALUE FUND
|
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS AMOUNTING TO USD 9.99 MN.BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (WINSOME) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF WINSOME TEXTILE INDUSTRIES 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 15-DEC-2021 TO 14-DEC-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
15-DEC-2021
|
SAT: SAT VIDE ITS ORDER DATED 27/06/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE APPLICATION. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER AND EFFECT AND OPERATION OF THE IMPUGNED ORDER STAY TILL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 23/09/2022 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/11/2022 DIRECTED TO FILE REJOINDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 1055 |
|
|
SUBHASHREE HIRIS PVT.LTD.
(PAN:AAMCS5112J)
|
|
|
INDULGED IN DIVERSION OF RS.2 CRORE OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
|
IMPOSED PENALTY RS.5,00,000
01-JUN-2021
|
SEBI VIDE ITS NOTICE DATED 19/01/2024 DIRECTED TO PAY RS.6,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 01/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7527 OF 2024 DATED 19/01/2024
|
| 1056 |
|
|
SUKUSAMA TRADING & INVESTMENTS PVT.LTD.
(PAN:AAACS5142E)
|
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF RS.33.83 CRORES IN IPO PROCEEDS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF RAVI KUMAR DISTILLERIES LTD.
|
IMPOSED PENALTY RS.5,00,000
21-AUG-2020
|
|
| 1057 |
|
|
SUMTINATH SHARES & SERVICES PVT.LTD.
(CIN:U67120GJ2009PTC057617
PAN:AANCS2340B)
|
|
|
INDULGED IN SIPHONING OFF IPO PROCEEDS IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF MIDVALLEY ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.7,00,000
31-MAY-2022
|
|
| 1058 |
|
|
SUN & SHINE WORLDWIDE LTD.
(PAN:AABCR6814P)
|
|
|
|
ANIL MISTRY
PAN:AFFPM7009D
|
|
|
BINIT JOSHI
PAN:ACKPJ7454M
|
|
|
RAMANLAL NAGJIBHAI TRIVEDI
PAN:ACXPT8490J
|
|
INDULGED IN PUBLICATION OF FALSE AND MANIPULATED FINANCIAL RESULTS, ANNUAL REPORTS AND MISLEADING CORPORATE ANNOUNCEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(2)(F), AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
SUBMITTED QUARTERLY FINANCIAL STATEMENTS TO STOCK EXCHANGES, WHICH WERE NOT AUDITED NOR LIMITED REVIEWED AND WERE NOT ACCOMPANIED WITH AUDIT/REVIEW REPORT VIOLATING CLAUSE 41(I) (C) OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT INFORM STOCK EXCHANGES ABOUT MATERIAL PRICE SENSITIVE INFORMATION REGARDING CHANGE IN GENERAL CHARACTER OR NATURE OF BUSINESS VIOLATING CLAUSE 36 OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT INFORM STOCK EXCHANGES ABOUT CHANGE IN ITS DIRECTORATE VIOLATING CLAUSE 30(A) OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
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 14-SEP-2021 TO 13-SEP-2022
IMPOSED PENALTY RS.30,00,000
14-SEP-2021
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SEBI VIDE ITS NOTICE DATED 05/01/2023 DIRECTED TO PAY RS.35,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 21/02/2023 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
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| 1059 |
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SUNEDISON INFRASTRUCTURE LTD.
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INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS INCLUDING AUTHENTICITY OF ITEM WISE DETAILS OF GROUPING/RE-GROUPING OF ASSETS (SEGMENT WISE AND DIVISION WISE) ASCERTAINING DETAILS OF VALUES AND CORRESPONDING LIABILITIES ETC.
MISREPRESENTED FINANCIALS AND/OR BUSINESS OPERATIONS
INDULGED IN WRONGFUL DIVERSION/SIPHONING OF FUNDS
INDULGED IN RELATED PARTY TRANSACTIONS CARRIED OUT DURING AUDIT PERIOD
INDULGED IN VALUATION OF ASSETS PROPOSED TO BE TRANSFERRED VIA SLUMP SALE AND UNDER FRAMEWORK AGREEMENT DATED 23/06/2020
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RESTRAINED FROM DISPOSING, SELLING OR ALIENATING ITS ASSETS INCLUDING EFFECTING TRANSACTIONS AGREED UPON UNDER FRAMEWORK AGREEMENT FROM 15-FEB-2021
DIRECTED BSE TO APPOINT FORENSIC AUDITOR TO EXAMINE BOOKS OF ACCOUNTS OF THE COMPANY
DIRECTED FORENSIC AUDITOR/AUDIT FIRM TO SUBMIT REPORT TO BSE WITHIN THREE MONTHS FROM DATE OF ORDER
DIRECTED TO EXTEND NECESSARY CO–OPERATION TO FORENSIC AUDITOR/AUDIT FIRM APPOINTED AND FURNISH ALL INFORMATION/DOCUMENTS SOUGHT
DIRECTED NOT TO UNDERTAKE ANY ACT IN FURTHERANCE OF FRAMEWORK AGREEMENT
DIRECTED BSE TO SUBMIT FORENSIC AUDIT REPORT (INCLUDING ALL ANNEXURES) ALONG WITH ITS RECOMMENDATION WITHIN 15 DAYS FROM DATE OF RECEIPT OF FORENSIC AUDIT REPORT
15-FEB-2021
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SEBI VIDE ITS ORDER DATED 15/07/2021 PERMITTTED FENICE AND SOUTH LAKE TO CONVERT THEIR CCPS HELD IN SILRES ENERGY INTO EQUITY SHARES AND EXERCISE FOLLOWING RIGHTS ASSOCIATED WITH IT A) INFORMATION RIGHTS – CLAUSE 5.1 OF THE FRAMEWORK AGREEMENT AND CLAUSE 10 OF THE AMENDED SSHA B) CONSENT RIGHTS – CLAUSE 5.3 AND 5.4 OF THE FRAMEWORK AGREEMENT AND C) BOARD REPRESENTATION – CLAUSE 6 OF THE AMENDED SSHA
SEBI VIDE ITS ORDER DATED 28/07/2022 REVOKED ITS INTERIM ORDER DATED 15/02/2021 AND CONFIRMATORY ORDER DATED 15/07/2021
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| 1060 |
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SUNSTAR REALTY DEVELOPMENT LTD.
(CIN:L70102MH2008PLC184142)
(Along with : LADDU GOPAL VENTURES PVT.LTD.,
SRESTHA FINVEST LTD.)
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ANSHU MISHRA
PAN:BMIPS3480H
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MANISH MISHRA
PAN:AMPPM6823L
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REKHA BHANDARI
PAN:ALHPB9175D
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SUNIL BHANDARI
PAN:ALZPB5747M
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INDUCED PUBLIC INVESTORS TO INVEST IN SCRIP BY UPLOADING FALSE & MISLEADING VIDEOS ON CERTAIN YOUTUBE CHANNELS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GG ENGINEERING LTD.
INDULGED IN CREATING MISLEADING APPEARANCE OF TRADING VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GG ENGINEERING LTD.
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IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2025
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| 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 53 of 61
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