| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
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.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.11,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
|
| 102 |
|
|
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
|
|
| 103 |
|
|
AMBALAL P.BAROT (HUF)
(Along with : ATLANTA LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
AD INTERIM ORDER DATED 22/02/2007 AMENDED TO THE EXTENT THAT CREDIT OF SHARES MAY BE EFFECTED, EXCHANGES AND DEPOSITORIES DIRECTED TO NOTE AND GIVE EFFECT TO THE SAME
SAT: DIRECTED APPLICANT TO APPROACH SEBI TO ALLOW THEM TO FILE THEIR OBJECTION, AS THEY CAN NOT AFFORD A PERSONAL HEARING
AS NO PRIMA FACIE CASE AGAINST APPLICANTS HENCE EARLIER ORDER DATED 22/02/2007 AS MODIFIED VIDE ORDER DATED 27/09/2007 CEASED TO EXIST NOW AND REVOKED
|
| 104 |
|
|
AMBIENCE BUSINESS SERVICES PVT.LTD.
(PAN:AAACA9528L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SITI CABLES NETWORK LTD. (FORMERLY KNOWN AS "WIRE & WIRELESS (INDIA) LTD.")
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-DEC-2014
|
|
| 105 |
|
|
AMBIKA FERRO ALLOYS PVT.LTD.
|
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
SANJAY GUPTA
|
|
|
V.K.AGARWAL
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 106 |
|
|
AMBITIOUS PLASTOMAC CO.LTD.
(PAN:AAACA3237A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.7,00,000
29-NOV-2017
|
PENALTY AMOUNT OF RS.7,00,000.00 PAID BY COMPANY ON 05/01/2018 VIDE DEMAND DRAFT NO.554693 DATED 02/01/2018 DRAWN ON STATE BANK OF INDIA
|
| 107 |
|
|
AMIT SHARE TRADING PVT.LTD.
|
|
|
|
GOPAL VIJAY
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
V.K.AGARWAL
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 108 |
|
|
AMLUCKIE INVESTMENT CO.LTD.
(PAN:AACCA6749H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS IN SCRIP OF SILICON VALLEY INFOTECH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SILICON VALLEY INFOTECH LTD.
DID NOT MAKE COMPLETE AND CORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SILICON VALLEY INFOTECH LTD.
|
IMPOSED PENALTY RS.7,00,000
31-MAY-2010
|
SAT: IMPUGNED ORDER DATED 31/05/2010 SET ASIDE AND CASE REMANDED TO SEBI WITH LIBERTY TO INITIATE FRESH PROCEEDINGS AGAINST APPELLANTS
SEBI VIDE ITS ORDER DATED 25/05/2021 IMPOSED PENALTY OF RS.1 LAC U/S 15HA AND RS.6 LAC U/S 15A(B) OF SEBI ACT.
|
| 109 |
|
|
AMUL SUMATICHANDRA MEHTA (HUF)
(PAN:AAAHA5202N)
|
|
|
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 SAFARI INDUSTRIES (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
29-JAN-2014
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2014 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 29/01/2014 AND DIRECTED SEBI TO PASS FRESH ORDER ON MERITS WITHIN FOUR MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 29/01/2015 GRANTED EXTENSION OF TWO MONTHS TO SEBI FOR PASSING FINAL ORDER
SEBI VIDE ITS ORDER DATED 27/03/2015 IMPOSED PENALTY OF RS.200000.00 UNDER SECTION 15A(B)
SAT: SAT VIDE ITS ORDER DATED 20/11/2015 SET ASIDED THE ORDER PASSED BY SEBI AND RESTORE THE APPEALS TO THE FILE OF SEBI FOR PASSING FRESH ORDER ON MERITS. NO COS
SEBI VIDE ITS ORDER DATED 28/07/2017 RE-IMPOSED PENALTY OF RS.2,00,000.00 U/S 15A(B) OF SEBI ACT ON THE NOTICEES MR.AMUL SUMATICHANDRA MEHTA, MR.YUGESH SUMATICHANDRA MEHTA, MR.AKUL YUGESH MEHTA, MR.JAYENDRA YUGESH MEHTA, MS.MRUDULA AMUL MEHTA, MS.MAITRI AMUL MEHTA, MS.RACHNA AMUL MEHTA, MS.SUNALI YUGESH MEHTA, SENATOR INVESTMENT PVT.LTD., TOURISTOR INVESTMENTS PVT.LTD., YUG INVESTMENT PVT.LTD. AND MR.AMUL SUMATICHANDRA MEHTA (HUF)
|
| 110 |
|
|
AMULYA LEASING & FINANCE LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,95,375 VIDE CONSENT ORDER)
10-FEB-2014
|
|
| 111 |
|
|
AMZEL AUTOMOTIVE LTD.
(Along with : AMZEL PVT.LTD.)
|
|
|
|
SALEEM FAZELBHOY
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF ADDITIONAL 0.52% SHARES/VOTING RIGHTS OF AMZEL AUTOMOTIVE LTD.
|
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
30-MAY-2003
|
|
| 112 |
|
|
AMZEL PVT.LTD.
(Along with : AMZEL AUTOMOTIVE LTD.)
|
|
|
|
SALEEM FAZELBHOY
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF ADDITIONAL 0.52% SHARES/VOTING RIGHTS OF AMZEL AUTOMOTIVE LTD.
|
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
30-MAY-2003
|
|
| 113 |
|
|
ANAND ELECTRIC SUPPLY CO.LTD.,THE
|
|
|
|
HIMADRI KATHARANI
|
|
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.50,000
17-NOV-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.50,000,APPEAL DISPOSED OFF
|
| 114 |
|
|
ANAND LEASE & FINANCE LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) AND 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
29-JUL-2009
|
|
| 115 |
|
|
ANAND PRAKASH SANGHI (HUF)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 22.35% SHARES OF SANGHI INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
12-NOV-2008
|
|
| 116 |
|
|
ANARCON RESOURCES PVT.LTD.
(PAN:AADCA7352D)
(Along with : SHRI HANUMAN INVESTMENTS PVT.LTD.)
|
|
|
|
LALITA AGARWAL
PAN:ACLPA2107R
|
|
|
RATANLAL BRIJLAL TAMAKHUWALA
PAN:ACUPT7280P
|
|
|
RISHIRAJ AGARWAL
PAN:AEQPA0755E
|
|
|
SANGEETA RISHIRAJ AGARWAL
PAN:ADAPA1962G
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUSTRAL COKE & PROJECTS LTD.
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-MAY-2015
|
SAT: SAT VIDE ITS ORDER DATED 16/11/2016 PARTLY ALLOWED THE APPEAL BY QUASHING THE IMPUGNED ORDER DATED 05/05/2015 TO THE EXTENT IT IMPOSED PENALTY OF RS.30 LACS FOR APPELLANT NOS.1 TO 6 FOR VIOLATING REGULATION 7(1A) OF THE SAST REGULATION, 1997 AND UPHELD IMPUGNED ORDER TO THE EXTENT IT IMPOSED PENALTY OF RS.5 LACS ON APPELLANT NO.6 FOR VIOLATING REGULATION 13(3) OF PIT REGULATIONS
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 117 |
|
|
ANARCON RESOURCES PVT.LTD.
(PAN:AADCA7352D)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GREMACH INFRASTRUCTURE EQUIPMENTS & PROJECTS LTD. (PRESENTLY KNOWN AS SANCIA GLOBAL INFRAPROJECTS LTD.)
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-FEB-2019 UNTIL DISCHARGE LIABILITY BY MAKING PUBLIC ANNOUNCEMENT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-FEB-2019 UNTIL DISCHARGE LIABILITY BY MAKING PUBLIC ANNOUNCEMENT
06-FEB-2019
|
|
| 118 |
|
|
ANARCON RESOURCES PVT.LTD.
(PAN:AADCA7352D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GREENEARTH RESOURCES & PROJECTS LTD.
|
IMPOSED PENALTY RS.7,00,000
30-MAY-2014
|
SAT: SAT VIDE ITS ORDER DATED 01/07/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 30/05/2014. NO COSTS
|
| 119 |
|
|
ANDAVAR INVESTMENTS PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
31-AUG-2004
|
|
| 120 |
|
|
ANIK HOLDINGS PVT.LTD.
(CIN:U65910GJ1992PTC018610
PAN:AADCA0047R)
|
|
|
|
RUPAL GUPTA
DIN:00012611
PAN:AAXPG1150C
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BLOOM DEKOR LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 114
|
