| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
ARASURI ENTERPRISE
(PAN:AAZPP4676N)
|
|
|
INDULGED IN DIVERSION OF IPO PROCEEDS VIOLATING SECTIONS 12(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 ASTER SILICATES LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 28-APR-2022 TO 27-APR-2027
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-APR-2022 TO 27-APR-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-APR-2022 TO 27-APR-2027
28-APR-2022
|
|
| 102 |
|
|
ARCOTECH LTD.
(PAN:AAACS2437G)
|
|
|
|
ARVIND KUMAR SARAF
PAN:AJVPS2259K
|
|
|
RADHANATH PATTANAYAK
PAN:AFRPP7293L
|
|
|
RISHABH SARAF
PAN:BUDPS4226G
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS VIOLATING REGULATIONS 4(1)(D),4(1)(E),4(1)(G),4(1)(H) AND 4(1)(I) READ WITH CLAUSE 6 OF PARA B IN SCHEDULE III READ WITH REGULATION 30 OF SEBI (LODR) REGULATIONS, 2015
INDULGED IN DIVERSION OF FUNDS FOR BENEFIT OF PROMOTER GROUP COMPANY VIOLATING REGULATIONS 4(1)(C), 4(1)(E), 4(1)(G) AND 4(1)(H) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ARCOTECH LTD.
DID NOT MAKE DISCLOSURE SEIZURE OF REGISTERED OFFICE OF ARCOTECH LTD. WORKPLACE BY IFCI LTD. DUE TO NON-PAYMENT OF DUES
INDULGED IN DIVERSION OF FUNDS FOR BENEFIT OF PROMOTER GROUP COMPANY VIOLATING REGULATIONS 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ARCOTECH LTD.
|
DIRECTED TO UNDERTAKE STEPS TO RECOVER OF RS.9.38 CREORE (APPROX.) FROM SIDHANT ALONGWITH INTEREST @12% P.A. FROM 30/03/2019 TILL DATE OF ORDER FROM 27-FEB-2026 TO 26-AUG-2026
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 27-FEB-2026 TO 26-AUG-2026
IMPOSED PENALTY RS.10,00,000
DIRECTED TO SUBMIT COMPLIANCE REPORT ALONGWITH PROOF OF TRANSFER OF FUNDS WITHIN FIFTEEN DAYS FROM DATE OF EXPIRY OF PERIOD FROM 27-FEB-2026 TO 26-AUG-2026
27-FEB-2026
|
|
| 103 |
|
|
ARIES CAPITAL FUND LTD.
|
|
|
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 06/03/2025 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 26/10/2021
|
| 104 |
|
|
ARION MOVIE PRODUCTIONS PVT.LTD.
(PAN:AARCA6056E)
|
|
|
INDULGED IN SIPHONING OFF HUGE AMOUNT OF FUNDS THROUGH COLLUSIVE NEXUS TO TRANSLATE PRE-ORDAINED SCHEME INTO ACTION RESULTING IN SIPHONING OFF FUNDS FROM RHFL’S ACCOUNTS, A MAJOR PORTION OF WHICH TO BE DECLARED NPA VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO (D), 4(1), 4(2)(F) 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIANCE HOME FINANCE LTD.
|
SHOW CAUSE NOTICE ISSUED
11-FEB-2022
|
|
| 105 |
|
|
ARION MOVIE PRODUCTIONS PVT.LTD.
(PAN:AARCA6056E)
|
|
|
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.
|
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
|
|
| 106 |
|
|
ARNAV CORP.LTD.
(PAN:AAACP5978K)
|
|
|
|
DHIREN NEGANDHI
PAN:ACQPN1558C
|
|
|
JAYESH RAVINCHANDRA SHAH
PAN:AAFPS4173H
|
|
INDULGED IN FUNDING OF PREFERENTIAL ALLOTMENTS VIA ROUTING OF FUNDS THROUGH COMPANY’S SUPPLIERS/OTHER ENTITIES 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 ARNAV CORP.LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 05/07/2023 DIRECTED TO PAY RS.6,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/07/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6752 OF 2023 DATED 05/07/2023
|
| 107 |
|
|
ARSS INFRASTRUCTURE PROJECTS LTD.
(CIN:L14103OR2000PLC006230
PAN:AADCA4203D)
|
|
|
|
KRISHNA CHANDRA RAUT
PAN:AHPPR0441L
|
|
|
RIMA DHAWAN
PAN:AAMPD6994L
|
|
|
SWARUP CHANDRA PARIJA
PAN:AGAPP2620B
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF ARSS INFRASTRUCTURE PROJECTS LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ARSS INFRASTRUCTURE PROJECTS LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF ARSS INFRASTRUCTURE PROJECTS LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(6) & 7, 4(2)(F)(III)(1), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ARSS INFRASTRUCTURE PROJECTS LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF ARSS INFRASTRUCTURE PROJECTS 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 25-NOV-2021 TO 24-MAY-2022
IMPOSED PENALTY RS.3,00,000
25-NOV-2021
|
|
| 108 |
|
|
ARSS INFRASTRUCTURE PROJECTS LTD.
(CIN:L14103OR2000PLC006230
PAN:AADCA4203D)
|
|
|
|
RAJESH AGRAWAL
PAN:ACEPA5209R
|
|
|
SOUMENDRA KESHARI PATTANAIK
PAN:AFNPP7713B
|
|
|
SUBASH AGARWAL
PAN:AATPA3716A
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF ARSS INFRASTRUCTURE PROJECTS LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ARSS INFRASTRUCTURE PROJECTS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS
DID NOT MAKE DISCLOSURE OF RELATIONSHIP BETWEEN DIRECTORS
DID NOT PLACE INFORMATION OF ANNUAL OPERATING PLANS AND CAPITAL BUDGETS BEFORE BOARD OF DIRECTORS
DID NOT LAY DOWN PROCEDURES TO INFORM BOARD OF DIRECTORS ABOUT RISK ASSESSMENT AND MINIMIZATION PROCEDURES
OVERSTATED REVENUE AND SUB-CONTRACTING EXPENSES
DISCREPANCIES AND INCONSISTENCIES IN ACCOUNTING AND FINANCIAL DATA AND WITHIN TALLY DATA
DID NOT PROVIDE INTEREST ON OUTSTANDING BANK BORROWINGS AND INCOMPLETE DISCLOSURE OF FIRE INCIDENT
MADE MISREPRESENTATION IN FINANCIAL STATEMENTS AND ANNUAL REPORT VIOLATING REGULATION 4(1)(C) OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED ACCOUNTING STANDARD AND FINANCIAL DISCLOSURE VIOLATING REGULATION 33(2) (A) OF SEBI (LODR) REGULATIONS, 2015
DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR
|
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 25-NOV-2021 TO 24-NOV-2022
IMPOSED PENALTY RS.25,00,000
25-NOV-2021
|
SAT: SAT VIDE ITS ORDER DATED 02/05/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/06/2022 ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/08/2022 GRANTED TWO WEEKS TO FILE REJOINDER
|
| 109 |
|
|
ARTEE VINIYOGA LTD.
(PAN:AABCA1549C)
|
|
|
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING SECTIONS 12(A)(A) TO 12A(B) OF SEBI ACT, 1992 READ WITH REGULATION 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PNB FINANCE & INDUSTRIES 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 PNB FINANCE & INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE
DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR
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-MAR-2023 TILL COMPLYING WITH THE MPS REQUIREMENT
IMPOSED PENALTY RS.1,41,00,000
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 26/04/2023 ALLOWED THE APPLICATIONS AND DIRECTED RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS. REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. DIRECTED THAT THE EFFECT AND OPERATION OF IMPUGNED ORDERS TO REMAIN STAYED DURING PENDENCY OF APPEAL AND APPELLANTS TO DEPOSITS 25% OF PENALTY AMOUNT BY WAY OF CASH OR BANK GUARANTEE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 07/11/2024 DIRECTED APPELLANTS TO SUBMIT LETTER TO CGM, CORPORATE FINANCE DEPARTMENT, SEBI WITHIN TEN DAYS FROM DATE OF THIS ORDER AND SEBI TO REPLY/RESPOND WITHIN THIRTY DAYS FROM DATE OF SUBMISSION OF THEIR REQUEST BY THE APPELLANTS
|
| 110 |
|
|
ARTH UDYOG LTD.
(PAN:AAACA1256B)
|
|
|
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 ASHOKA MARKETING 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 ASHOKA MARKETING 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)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
12-SEP-2022
|
|
| 111 |
|
|
ARTH UDYOG LTD.
(PAN:AAACA1256B)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH 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
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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,71,15,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO PROVIDE ANOTHER EXIT OFFER TO ITS PUBLIC SHAREHOLDERS AFTER SETTLEMENT ORDER AT SAME EXIT PRICE AS WAS OFFERED IN THE OFFER GIVEN BY IT IN 2019)
12-SEP-2022
|
|
| 112 |
|
|
ARTH UDYOG LTD.
(PAN:AAACA1256B)
|
|
|
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)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
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
|
| 113 |
|
|
ARTIFICE PROPERTIES PVT.LTD.
(PAN:AAGCA5140E)
|
|
|
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.65,00,000
31-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 10/07/2023 DIRECTED TO PAY RS.71,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 06/12/2024 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 22/05/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.83,86,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 114 |
|
|
ARTIFICE PROPERTIES PVT.LTD.
(PAN:AAGCA5140E)
|
|
|
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
|
| 115 |
|
|
ARTIFICE PROPERTIES PVT.LTD.
(PAN:AAGCA5140E)
|
|
|
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 16/07/2024 DIRECTED TO PAY RS.1,27,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 29/01/2025 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 22/05/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.25,81,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 116 |
|
|
ARVIND HEALTH CARE PVT.LTD.
(CIN:U24232TN2000PTC044585
PAN:AADCA9269M)
|
|
|
AIDED AND ABETTED PROMOTERS AND PROMOTER CONNECTED ENTITIES IN OFF-LOADING OF SHARES IN FRAUDULENT MANNER 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 ARVIND REMEDIES LTD.
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 IN MATTER OF ARVIND REMEDIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) TO 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARVIND REMEDIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARVIND REMEDIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-AUG-2022 TO 23-AUG-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-AUG-2022 TO 23-AUG-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
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 TO DISGORGE RS.57,58,790
24-AUG-2022
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SAT: SAT VIDE ITS ORDER DATED 14/01/2025 GRANTED TWO DAYS TO FILE IMPUGNED ORDER
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| 117 |
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ARVIND HEALTH CARE PVT.LTD.
(CIN:U24232TN2000PTC044585
PAN:AADCA9269M)
|
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AIDED AND ABETTED PROMOTERS AND PROMOTER CONNECTED ENTITIES IN OFF-LOADING OF SHARES IN FRAUDULENT MANNER 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 ARVIND REMEDIES LTD.
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 IN MATTER OF ARVIND REMEDIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) TO 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARVIND REMEDIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARVIND REMEDIES LTD.
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IMPOSED PENALTY RS.17,00,000
24-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 14/01/2025 GRANTED TWO DAYS TO FILE IMPUGNED ORDER
|
| 118 |
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ARVIND KUMAR & SONS (HUF)
(PAN:AAIHA6102R)
|
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AIDED AND ABETTED PROMOTERS AND PROMOTER CONNECTED ENTITIES IN OFF-LOADING OF SHARES IN FRAUDULENT MANNER 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 ARVIND REMEDIES LTD.
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 IN MATTER OF ARVIND REMEDIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) TO 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARVIND REMEDIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARVIND REMEDIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-AUG-2022 TO 23-AUG-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-AUG-2022 TO 23-AUG-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
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 TO DISGORGE RS.2,05,26,730
24-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 14/01/2025 GRANTED TWO DAYS TO FILE IMPUGNED ORDER
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| 119 |
|
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ARVIND KUMAR & SONS (HUF)
(PAN:AAIHA6102R)
|
|
|
AIDED AND ABETTED PROMOTERS AND PROMOTER CONNECTED ENTITIES IN OFF-LOADING OF SHARES IN FRAUDULENT MANNER 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 ARVIND REMEDIES LTD.
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 IN MATTER OF ARVIND REMEDIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) TO 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARVIND REMEDIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARVIND REMEDIES LTD.
|
IMPOSED PENALTY RS.17,00,000
24-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 14/01/2025 GRANTED TWO DAYS TO FILE IMPUGNED ORDER
|
| 120 |
|
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ARVIND REMEDIES LTD.
(CIN:L24231TN1988PLC015882
PAN:AACCA7407Q)
|
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ARVIND KUMAR BABHUTMALJI SHAH
DIN:01063744
PAN:AAVPS8498K
|
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POSTED INFLATED FIGURES OF SALES AND PURCHASES OF GOODS
ADOPTED DUBIOUS AND INCONSISTENT PRACTICES IN DRAWING UP ACCOUNTS
EMPLOYED DEVICES TO DEFRAUD THE INVESTORS
PUBLISHED FALSE & MANIPULATED FINANCIAL STATEMENTS 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) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ARVIND REMEDIES LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-FEB-2017 TO 15-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-FEB-2017 TO 15-FEB-2025
PERMITTED BSE AND NSE TO ALLOW SQUARE OFF EXISTING OPEN POSITIONS IN FUTURES & OPTIONS SEGMENT, IF ANY, IMMEDIATELY AND DIRECTED CONCERNED STOCK EXCHANGES TO ENSURE THAT NO FRESH POSITIONS ARE CREATED
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.10,00,000
16-FEB-2017
|
SEBI VIDE ITS ORFER DATED 24/08/2022 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET, AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES DIRECTLY OR INDIRECTLY, AND ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER FOR THE PERIOD OF EIGHT YEARS B) DURING PERIOD OF RESTRAINT, EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN
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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 6 of 58
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