| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1081 |
|
TIAAN CONSUMER LTD.
(CIN:L85100GJ1992PLC017397
PAN:AAACR7447K)
|
|
|
|
SURENDRA KUMAR JAIN
PAN:AAHPJ8940K
|
|
|
VIRENDRA JAIN
PAN:AAGPJ3319P
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS AND FINANCIAL STATEMENTS
VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D),4(1), 4(2)(A) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DHENU BUILDCON INFRA LTD.
|
RESTRAINED FROM DISPOSING OFF SHARES OF DHENU BUILDCON INFRA LTD. DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 19-AUG-2026 UNTIL FURTHER ORDERS
19-AUG-2026
|
|
| 1082 |
|
|
TIGER DEVELOPERS PVT.LTD.
(PAN:AACCT7439H)
|
|
|
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
|
SEBI VIDE ITS NOTICE DATED 22/06/2023 DIRECTED TO PAY RS.1,14,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 04/09/2024 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
SEBI VIDE ITS NOTICE DATED 18/07/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,34,35,491.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 1083 |
|
|
TIL LTD.
(PAN:AABCT0704G)
|
|
|
|
RAMESH AGGARWAL
PAN:AGCPA0406A
|
|
|
SHIBADITYA GHOSH
PAN:AFDPG0116R
|
|
|
SUMIT MAZUMDAR
PAN:AEOPM4572K
|
|
MISREPRESENTED/MISSTATED FINANCIALS STATEMENTS VIOLATING REGULATION 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TIL LTD.
MISREPRESENTED/MISSTATED FINANCIALS STATEMENTS VIOLATING REGULATIONS 4(1), 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,00,000
30-MAY-2024
|
SAT: SAT VIDE ITS ORDER DATED 17/12/2025 CONDONED THE DELAY IN FILING OF APPEAL AND REJOINDER
|
| 1084 |
|
|
TILAK FINANCE LTD.
(PAN:AAACT2373C)
|
|
|
|
GIRIRAJ KISHORE AGARWAL
PAN:AABPA4928N
|
|
|
TANU GIRIRAJ KISHORE AGARWAL
PAN:AADPA7003J
|
|
MISLEAD & INDUCED GENUINE INVESTORS TO TRADE IN THE SCRIP THROUGH FALSE REPRESENTATION OF PREFERENTIAL ALLOTMENT OF EQUITY SHARES 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 ESSAR INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
27-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 20/04/2023 DIRECTED TO PAY RS.5,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/05/2023 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 14/07/2023 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 23/05/2023
SAT: SAT VIDE ITS ORDER DATED 31/10/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 27/07/2022
SEBI VIDE ITS NOTICE DATED 15/11/2023 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 31/10/2023
|
| 1085 |
|
|
TILAK FINANCE LTD.
(PAN:AAACT2373C)
|
|
|
|
GIRIRAJ KISHORE AGARWAL
PAN:AABPA4928N
|
|
|
TANU GIRIRAJ KISHORE AGARWAL
PAN:AADPA7003J
|
|
MISLED INVESTORS BY FUNDING ITS OWN PREFERENTIAL ISSUE TO THE EXTENT OF RS.34.5 LAC VIOLATING REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TILAK FINANCE LTD. (NOW TILAK VENTURES LTD.)
|
IMPOSED PENALTY RS.70,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 15/11/2021 DISMISSED THE APPEAL
|
| 1086 |
|
|
TILAK VENTURES LTD.
(PAN:AAACT2373C)
|
|
|
|
GIRIRAJ KISHORE AGARWAL
PAN:AABPA4928N
|
|
|
TANU GIRIRAJ KISHORE AGARWAL
PAN:AADPA7003J
|
|
MISUTILISED PROCEEDS OF THE PREFERENTIAL ISSUE
CARRIED OUT NBFC ACTIVITIES WITHOUT REGISTRATION/CLASSIFICATION FROM THE RBI
RECEIVED APPLICATION MONEY OF RS.1.44 CREORE AND LOANS GIVEN BEFORE SHAREHOLDERS APPROVAL OF PREFERENTIAL ISSUE
SIPHONED PROCEEDS OF PREFERENTIAL ISSUE OF EQUITY SHARES
DID NOT MAKE TRUE, FAIR AND TRANSPARENT DISCLOSURE TO SHAREHOLDERS DURING RATIFICATION ABOUT UTILIZATION/ MISUTILISATION/ DIVERSION OF PROCEEDS OF PREFERENTIAL ISSUE OF EQUITY SHARES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUL-2023 TO 26-JAN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUL-2023 TO 26-JAN-2024
DIRECTED TO BRING BACK RS.2,13,47,647.00 TO THE COMPANY WHICH WERE DIVERTED IN GUISE OF REPAYMENT OF LOANS TO HANDFUL INVESTRADE PVT.LTD., SHREE NATH COMMERCIAL & FINANCE LTD. AND ANMOL FINANCE CO.
IMPOSED PENALTY RS.14,00,000
27-JUL-2023
|
SAT: SAT VIDE ITS ORDER DATED 28/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED SUBJECT TO THE PENALTY AMOUNT DEPOSITED
SAT: SAT VIDE ITS ORDER DATED 17/10/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/01/2024 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/02/2024 ALLOWED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 19/04/2024 ALLOWED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/07/2024 GRANTED APPELLANTS TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/08/2024 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/11/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 13/03/2025 APPELLANTS SOUGHT THREE WEEKS TO FILE REJOINDER
|
| 1087 |
|
|
TIMBOR HOME LTD.
(PAN:AABCI2531A)
|
|
|
|
ANANT SURESHCHANDRA MALOO
PAN:ACSPM2958D
|
|
|
MANAN VIDHYAPATI PATEL
PAN:AFJPP0452P
|
|
DID NOT USE IPO PROCEEDS AS PER PROSPECTUS DATED 08/06/2011 VIOLATING SECTION 12A(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF TIMBOR HOME LTD.
DID NOT MAKE DISCLOSURE OF PRE-EXISTING LIABILITIES OF RS.7 CRORE (APPROX.) RELATED TO WORKING CAPITAL EXPENSES, LOAN OF RS.7 CRORE FROM ALIN AND INFLATED THE SALES FIGURES FOR THE YEARS 2010-11 AND 2011-12 VIOLATING REGULATIONS 57(1) AND 57(2)(A) READ WITH CLAUSE (2)(VII)(G) PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN IPO OF TIMBOR HOME 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-2020 TO 14-DEC-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ACTING AS DIRECTOR IN ANY LISTED COMPANY FROM 15-DEC-2020 TO 14-DEC-2022
15-DEC-2020
|
|
| 1088 |
|
|
TIRTHANKAR SHARES & SERVICES PVT.LTD.
(PAN:AADCT2274R)
|
|
|
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
|
|
| 1089 |
|
|
TIRUPATI FINCORP LTD.
(CIN:L67120RJ1982PLC002438
PAN:AADCS4520R)
|
|
|
MISUTILISED PREFERENTIAL ISSUE PROCEEDS FOR PURPOSE OF TRADING IN FABRICS VIOLATING REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES OUTCOME OF RATIFICATION VIOLATING CLAUSE 43 OF LISTING AGREEMENT READ WITH REGULATIONS 30 AND 32 OF SEBI
(LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.10,00,000
27-MAY-2022
|
|
| 1090 |
|
|
TORUS BUILDCON PVT.LTD.
(PAN:AACCT8158M)
|
|
|
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
|
SEBI VIDE ITS NOTICE DATED 22/06/2023 DIRECTED TO PAY RS.1,14,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 04/12/2024 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
SEBI VIDE ITS NOTICE DATED 16/01/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,33,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 1091 |
|
|
TORUS BUILDCON PVT.LTD.
(PAN:AACCT8158M)
|
|
|
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.85,00,000
31-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 10/07/2023 DIRECTED TO PAY RS.93,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/10/2024 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
SEBI VIDE ITS NOTICE DATED 18/07/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.19,93,848.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 1092 |
|
|
TOSHEE TRADE
(PAN:AARFT2714M)
|
|
|
INDULGED IN MISAPPROPRIATION OF NON-PUBLIC INFORMATION FROM EMPLOYER AND TRADED VIOLATING REGULATIONS 3 AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ
|
IMPOSED PENALTY RS.10,00,000
11-JUN-2024
|
SEBI VIDE ITS NOTICE DATED 07/02/2025 DIRECTED TO PAY RS.10,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 04/03/2026 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
|
| 1093 |
|
|
TOSHEE TRADE
(PAN:AARFT2714M)
|
|
|
INDULGED IN MISAPPROPRIATION OF NON-PUBLIC INFORMATION FROM EMPLOYER AND TRADED VIOLATING REGULATIONS 3 AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ
|
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 11-JUN-2024 TO 10-MAY-2029
DIRECTED TO DISGORGE RS.2,33,86,615 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
11-JUN-2024
|
SAT: SAT VIDE ITS ORDER DATED 29/01/2026 PARTLY ALLOWED THE APPEAL. MATTER REMITTED TO SEBI TO RE-COMPUTE CALCULATE LIABILITY OF RS.3,16,98,245.50
SAT: SAT VIDE ITS ORDER DATED 08/05/2026 PARTLY ALLOWED REVIEW APPLICATION AND MODIFIED IMPUGNED ORDER DATED 29/01/2026 AND WAIVED THE COSTS IMPOSED. NO COSTS
|
| 1094 |
|
|
TRADEBIZZ RESEARCH
(PAN:BEKPP6860A)
|
|
|
|
SANTOSH SINGH PARIHAR
PAN:BEKPP6860A
|
|
PROMISED ASSURED PROFIT/UNREALISTIC RETURN TO ITS CLIENTS VIOLATING REGULATIONS 4(1) AND 4(2) (K) READ WITH REGULATIONS 2(1)(C)(1)(2) AND (8) OF PFUTP REGULATIONS, 2003
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO ITS CLIENTS VIOLATING REGULATIONS 15(1) AND CLAUSES 1 & 2 OF CODE OF CONDUCT FOR INVESTMENT ADVISER READ WITH REGULATION 15(9) OF (INVESTMENT ADVISORS) REGULATIONS, 2013
DID NOT TRANSPARENT TO CLIENTS REGARDING ADVISORY FEES AND CHARGED UNREASONABLE FEES
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
FORCED CLIENTS TO SIGN DOCUMENTS TO WITHDRAW COMPLAINTS
DID NOT ADHERE TO INSTRUCTION OF SEBI ISSUED PURSUANT TO THE INSPECTION TEAM
DID NOT CO-OPERATE IN PROVIDING INFORMATION TO SEBI FOR THE PURPOSE OF EXAMINATION OF ITS AFFAIRS
|
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 22-AUG-2019 TO 21-AUG-2022
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 22-AUG-2019 TO 21-AUG-2022
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 NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-AUG-2019
|
SEBI VIDE ITS ORDER DATED 27/01/2021 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 03 YEARS FROM THE DATE OF THIS ORDER. PERIOD OF DEBARMENT OF RESTRAINT ALREADY UNDERGONE ON ACCOUNT OF INTERIM ORDER B) RESOLVE THE COMPLAINTS PENDING AGAINST HIM IN THE SCORES AND OTHERWISE, WITHIN THE PERIOD OF 30 DAYS FROM THE DATE OF THIS ORDER C) FURNISH A REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT CERTIFYING THAT ALL THE COMPLAINTS HAVE BEEN RESOLVED D) DURING THE PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS SHALL REMAIN FROZEN
|
| 1095 |
|
|
TRAFIKSOL ITS TECHNOLOGIES PVT.LTD.
(PAN:AAGCT6473R)
|
|
|
MADE FALSE AND MISLEADING DISCLOSURES IN RHP WITH RESPECT TO SALES TO ITS TOP CUSTOMERS AND PURCHASES FROM ITS TOP TEN SUPPLIERS 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), 4(2)(R) AND 4(2)(S) OF SEBI (PFUTP) REGULATIONS, 2003
MADE FALSE AND MISLEADING DISCLOSURES IN RHP WITH RESPECT TO SALES TO ITS TOP CUSTOMERS AND PURCHASES FROM ITS TOP TEN SUPPLIERS VIOLATING REGULATIONS 245(1) AND 245(2) OF SEBI (ICDR) REGULATIONS, 2018
|
IMPOSED PENALTY RS.30,00,000
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 28-AUG-2026 TO 27-AUG-2027
28-AUG-2026
|
|
| 1096 |
|
|
TRANSGENE BIOTEK LTD.
(PAN:AABCT3840P)
|
|
|
|
DEEPAK MISHRA
PAN:AIIPM4093P
|
|
|
KOLLIPARA KOTESWARA RAO
PAN:AHOPK5487E
|
|
|
NARAYANA MURTHY PENTYALA
PAN:ANBPP4186A
|
|
|
SAMPATH KUMAR MEESALA
PAN:AIIPM9512D
|
|
|
SOMA SEKHAR MARTHI
PAN:ACAPM9616N
|
|
INDULGED IN DIVERSION OF GDR ISSUES PROCEEDS BY LEGITIMIZING/FACILITATING SAME THROUGH BACK-DATED AGREEMENT/INVOICES, CONCEALING/MAKING FALSE STATEMENTS IN REGARD TO UTILIZATION OF GDR PROCEEDS/NON-RECEIPT OF TECHNOLOGY AND SERVICES IN ANNUAL REPORTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TRANSGENE BIOTEK LTD.
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES REGARDING SETTING UP OF WHOLLY OWNED SUBSIDIARY I.E. TBL HK LTD. VIOLATING REGULATION 12(2) READ WWITH SCHEDULE II OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES REGARDING SETTING UP OF WHOLLY OWNED SUBSIDIARY I.E. TBL HK LTD. VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT ADHERE TO ACCOUNTING STANDARD (AS-1) VIOLATING CLAUSE 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.38,00,000
27-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 30/08/2022 DIRECTED TO PAY RS.39,15,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 30/09/2022 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 ORDER DATED 25/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.40,29,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF TRANSGENE BIOTEK LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 15/12/2022 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY TO MEMORANDUM OF APPEAL AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 17/04/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/06/2023 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 14/07/2023 ALLOWED THE APPEAL AND RECALL ORDER DATED 16/06/2023
SAT: SAT VIDE ITS ORDER DATED 05/10/2023 ALLOWED AMENDMENT APPLICATION TO BE TREATED AS PART OF MEMORANDUM OF APPEALS
SAT: SAT VIDE ITS ORDER DATED 09/09/2024 GRANTED APPELLANT FURTHER TIME TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 19/01/2026 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) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF TELANGANA 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 PROPERTIES, IF PRESENTED FOR REGISTRATION
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| 1097 |
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TRIPOLI INVESTMENT & TRADING CO.
(PAN:AAACT2207P)
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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.
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IMPOSED PENALTY RS.60,00,000
31-OCT-2022
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SEBI VIDE ITS NOTICE DATED 07/07/2023 DIRECTED TO PAY RS.66,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 04/12/2024 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
SEBI VIDE ITS NOTICE DATED 18/12/2024 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 04/12/2024
SEBI VIDE ITS NOTICE DATED 18/12/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6788 OF 2023 DATED 07/07/2023
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| 1098 |
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TRIPOLI INVESTMENT & TRADING CO.
(PAN:AAACT2207P)
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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.
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DIRECTED NOT TO DIVERT ANY FUNDS EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI
14-MAR-2019
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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
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| 1099 |
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TRIVENI ENTERPRISES LTD.
(PAN:AAACT3669F)
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DIVERTED AND MISUTILISED PREFERENTIAL ISSUE PROCEEDS VIOLATING SECTIONS 12(A) TO 12(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT EXPLAIN VARIATION IN PROPOSED AND ACTUAL UTILIZATION OF FUNDS IN THE DIRECTORS’S REPORT IN ANNUAL REPORT FOR FY 2013-14 AND 2014-15 VIOLATING CLAUSE 43 OF ERSTWHILE LISTING AGREEMENT (WHICH NOW REGULATION 32) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 21 OF SCRA, 1956
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IMPOSED PENALTY RS.3,40,16,822
29-AUG-2022
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SAT: SAT VIDE ITS ORDER DATED 13/12/2022 DIRECTED TO CARRY OUT NECESSARY AMENDMENT IN MEMO OF APPEAL WITHIN A WEEK AND/OR FILE AMENDED MEMO OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 05/01/2023 CONDONED THE DELAY IN FILING OF APPEAL. EFFECT AND OPERATION OF THE IMPUGNED ORDER AGAINST THE APPELLANT TO REMAIN STAYED DURING PENDENCY OF THE APPEAL. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 01/03/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/04/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/06/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/07/2023 REJOINDER TO BE FILED WITHIN A WEEK FROM DATE OF THIS ORDER
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| 1100 |
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TULIP ADVISORS PVT.LTD.
(PAN:AADCT0485A)
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MISREPORTED FINANCIALS OF RELIANCE HOME FINANCE LTD. AND ITS BOOKS OF ACCOUNTS FOR FY. 2018-19 VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIANCE HOME FINANCE LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-AUG-2024 TO 21-AUG-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-AUG-2024 TO 21-AUG-2029
IMPOSED PENALTY RS.25,00,00,000
22-AUG-2024
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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 55 of 61
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