| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1221 |
|
SURESH SHETTY
(PAN:ABBPS1631D)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING 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 27-APR-2021 TO 26-APR-2023
DIRECTED TO DISGORGE RS.68,265
27-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/05/2021ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT DISGORGED AMOUNT ALONG WITH INTEREST AND PENALTY WITHIN TWO WEEKS FROM DATE OF THIS ORDER. UPON DEPOSIT, RESTRAINT ORDER AS GIVEN IN DIRECTION NO 1&2 IN PARAGRAPH 52 OF THE IMPUGNED ORDER WILL REMAIN IN ABEYANCE DURING PENDENCY OF THE APPEL
SAT: SAT VIDE ITS ORDER DATED 13/05/2021 DISMISSED THE APPEAL AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 28/06/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 DISPOSED OFF THE APPEAL AS THE CASE HAS BEEN SETTLED BETWEEN THE PARTIES
|
| 1222 |
|
|
SURESHBHAI KANTILAL THAKKAR
(PAN:AGXPT2486N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF EXCEL CASTRONICS 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 01-OCT-2021 TO 31-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
IMPOSED PENALTY RS.10,00,000
01-OCT-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/01/2022 CONDONED THE DELAY IN FILING OF APPEAL. RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANTS TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 11/01/2022 CONDONED THE DELAY OF 14 DAYS IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER ON OR BEFORE THE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 25/02/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 22/07/2022 DIRECTED TO PAY RS.10,97,658.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 20/09/2022 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
SAT: SAT VIDE ITS ORDER DATED 14/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/10/2022 DIRECTED TO FILE THE REJOINDER, IF ANY, ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 06/06/2023 REJECTED THE APPLICATION
SEBI VIDE ITS NOTICE DATED 21/03/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.13,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 1223 |
|
|
SURINDER KAUR KALRA
(PAN:AFMPK2461E)
|
|
|
|
FIVE CORE ELECTRONICS LTD.
CIN:U32109DL2002PLC148250
PAN:AAACF6709Q
|
|
MISUTILIZED AND MIS-APPROPRIATED IPO PROCEEDS OF RS.46.66 CRORES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF FIVE CORE ELECTRONICES 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 31-MAY-2023 TO 30-MAY-2028
DIRECTED TO EXTEND NECESSARY CO–OPERATION TO INDEPENDENT AUDITOR/AUDIT FIRMS APPOINTED AND FURNISH ALL INFORMATION/DOCUMENTS
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY LISTED ENTITY OR ITS MATERIAL UNLISTED SUBSIDIARY FROM 31-MAY-2023 TO 30-MAY-2028
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED NSE TO APPOINT INDEPENDENT AUDITOR/AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF COMPANY TO CONFIRM MIS-UTILIZATION OF IPO PROCEEDS
23-JUL-2020
|
SEBI VIDE ITS ORDER DATED 08/07/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 23/07/2020
SEBI VIDE ITS ORDER DATED 31/05/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER
|
| 1224 |
|
|
SURINDER SINGH KALRA
(PAN:AFYPK7984E)
|
|
|
|
FIVE CORE ELECTRONICS LTD.
CIN:U32109DL2002PLC148250
PAN:AAACF6709Q
|
|
MISUTILIZED AND MIS-APPROPRIATED IPO PROCEEDS OF RS.46.66 CRORES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF FIVE CORE ELECTRONICES 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 31-MAY-2023 TO 30-MAY-2028
DIRECTED TO EXTEND NECESSARY CO–OPERATION TO INDEPENDENT AUDITOR/AUDIT FIRMS APPOINTED AND FURNISH ALL INFORMATION/DOCUMENTS
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY LISTED ENTITY OR ITS MATERIAL UNLISTED SUBSIDIARY FROM 31-MAY-2023 TO 30-MAY-2028
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS
DIRECTED NSE TO APPOINT INDEPENDENT AUDITOR/AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF COMPANY TO CONFIRM MIS-UTILIZATION OF IPO PROCEEDS
23-JUL-2020
|
SEBI VIDE ITS ORDER DATED 08/07/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 23/07/2020
SEBI VIDE ITS ORDER DATED 31/05/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER
|
| 1225 |
|
|
SURYARAJ KUMAR
(PAN:AAFPK9296D)
|
|
|
|
MEDIAONE GLOBAL ENTERTAINMENT LTD.
PAN:AAACR0405M
|
|
DELAY IN SUBMISSION OF INFORMATION IN RESPONSE TO SUMMONS ISSUED IN MATTER OF MEDIAONE GLOBAL ENTERTAINMENT LTD.
NON-COOPERATION WITH SEBI IN INVESTIGATIONS
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON
SUBMITTED WRONG INFORMATION TO SEBI
DID NOT PAY/DECLARED DIVIDEND VIOLATING SECTIONS 205(1A), 205A(1) AND
207 OF THE COMPANIES ACT, 1956 READ WITH SECTIONS 124 AND 465 OF THE COMPANIES ACT, 2013 IN MATTER OF MEDIAONE GLOBAL ENTERTAINMENT LTD.
INDULGED IN DIVERSION OF FUNDS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 27 OF SEBI ACT, 1992 AND CLAUSE 41(I)(A) OF ERSTWHILE LISTING AGREEMENT AND CLAUSE 49(I)(D)(2)(F),(G) AND 49(I)(D)(3) (A), (C) AND (F) OF SEBI LISTING AGREEMENT (POST AMENDMENT DATED 17/04/2014) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTIONS 21 AND 24 OF SCRA 1956 IN MATTER OF MEDIAONE GLOBAL ENTERTAINMENT LTD.
INDULGED IN DIVERSION OF FUNDS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G), 4(1)(H), 4(1)(J), 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH ERSTWHILE ACCOUNTING STANDARD-1, 9, & IND-AS-115 AND CLAUSE 41(I)(A) OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF MEDIAONE GLOBAL ENTERTAINMENT LTD.
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH CLAUSES 1, 4, 5 AND 11 TO 14 OF PARA A AND CLAUSE 1 OF PARA B OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MEDIAONE GLOBAL ENTERTAINMENT 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 27-FEB-2026 TO 26-FEB-2029
RESTRAINED FROM BEING ASSOCIATED WITH THE SECURITIES MARKET, IN ANY MANNER, INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN A LISTING COMPANY OR INTERMEDIARY REGISTERED WITH SEBI OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC IN THE SECURITIES MARKET FROM 27-FEB-2026 TO 26-FEB-2029
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 27-FEB-2026 TO 26-FEB-2029
IMPOSED PENALTY RS.28,00,000
27-FEB-2026
|
|
| 1226 |
|
|
SUSHANT MOHAN LAL
(PAN:AKXPM8796N)
|
|
|
|
DECIPHER LABS LTD.
PAN:AAACC8372L
|
|
DID NOT OBTAIN PRE-CLEARANCE FOR TRADES VIOLATING CLAUSE 6 OF SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DECIPHER LABS LTD.
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(E),4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DECIPHER LABS 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 31-JUL-2025 TO 30-JUL-2028
DIRECTED TO DISGORGE RS.2,30,82,800
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-JUL-2025 TO 30-JUL-2028
DIRECTED BANKS TO ALLOW DEBIT TO MAKE THE PAYMENT OF DISGORGEMENT TO IPEF
IMPOSED PENALTY RS.35,00,000
31-JUL-2025
|
SAT: SAT VIDE ITS ORDER DATED 16/09/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER. NO COERCIVE ACTION TO RECOVER THE DISGORGEMENT AND PENALTY AMOUNT SUBJECT TO DEPOSIT OF 50% AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND STAYED THE DIRECTION AT PARAGRAPH NO105(A) OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 09/10/2025 GRANTED FURTHER FOUR WEEKS TO DEPOSIT 50% PENALTY AND DISGORGEMENT AMOUNT
|
| 1227 |
|
|
SUSHILA SARDA
(PAN:BXZPS6096K)
|
|
|
INDULGED IN FRONT RUNNING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PARSHVANATH FINVEST PVT.LTD., THAR SHARE BROKERS PVT.LTD. AND GANGWAL COMMODITIES PVT.LTD.
|
DIRECTED TO DISGORGE RS.15,60,820 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-NOV-2024 TO 27-NOV-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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-NOV-2024 TO 27-NOV-2025
28-NOV-2024
|
|
| 1228 |
|
|
SUSHMA NAGENDRA DUBEY
(PAN:AVUPD3218N)
(Along with : ASHISH S.PAREKH,
NAGENDRA S.DUBEY,
CHIRAG ATUL PITHADIA)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
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 26-DEC-2022 TO 25-DEC-2027
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
DIRECTED TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 26-DEC-2022 TO 25-DEC-2027
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
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 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 BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 26-DEC-2022 TO 25-DEC-2027
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 26-DEC-2022 TO 25-DEC-2027
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.17,41,000 ALONG WITH OTHER ENTITIES/PERSONS
26-DEC-2022
|
CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 26/12/2022 B) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER TO CONTINUE UNTIL FURTHER ORDERS C) FUNDS DEPOSITED IN INTEREST BEARING ESCROW ACCOUNTS AS DIRECTED IN THE INTERIM ORDER TO REMAIN IN THE SAID ACCOUNTS WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDER
SEBI VIDE ITS ORDER DATED 16/01/2026 VACATED INTERIM ORDER DATED 26/12/2022 AS SHE HAS PASSED AWAY EXCEPT DISGORGEMENT THROUGH LEGAL HEIR
|
| 1229 |
|
|
SUSMITA PATHAK
(PAN:APBPP7550G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF DHANLEELA INVESTMENT & TRADING CO.LTD. (FORMERLY KNOWN AS RATNI INVESTMENTS CO.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 18-MAR-2020 TO 17-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-MAR-2020
|
|
| 1230 |
|
|
SWAPNA BAIDYA
(DIN:01671773)
|
|
|
|
R B HORTICULTURE & ANIMAL PROJECT LTD.
CIN:U01122WB2007PLC112359
PAN:AADCR5459C
|
|
|
RAKHAL BHAROTI FISH & FOOD PROCESSING LTD.
CIN:U15139JH2011PLC015092
|
|
MOBILIZED RS.11.41 LACS FROM PUBLIC THROUGH ISSUANCE OF SECURED REDEEMABLE DEBENTURES (SRDS) BY WAY OF PRIVATE PLACEMENT TO 83 INVESTORS VIOLATING SECTIONS 56, 60, 62, 67, 73 AND 117C OF THE COMPANIES ACT, 1956 AND SEBI (ISSUE AND LISTING OF DEBT SECURITIES) REGULATIONS, 2008
|
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 31-DEC-2020 TILL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
DIRECTED TO FURNISH ALL INFORMATION/DOCUMENTS IN CONNECTION WITH OFFER AND ALLOTMENT OF SECURED REDEEMABLE DEBENTURES
31-DEC-2020
|
|
| 1231 |
|
|
SWAROOPA PASUPULA
(PAN:BFHPP9206G)
|
|
|
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 ABHISHEK INFRAVENTURES LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) OF SAST REGULATIONS, 2011 IN MATTER OF ABHISHEK INFRAVENTURES 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 31-MAY-2023 TO 30-MAY-2028
IMPOSED PENALTY RS.1,25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2023
|
SAT: SAT VIDE ITS ORDER DATED 29/08/2023 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 11/10/2023 DIRECTED TO PAY RS.1,31,26,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 30/10/2023 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 02/11/2023 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 30/10/2023
SEBI VIDE ITS ORDER DATED 02/11/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7224 OF 2023 DATED 11/10/2023
|
| 1232 |
|
|
SWARUP CHANDRA PARIJA
(PAN:AGAPP2620B)
|
|
|
|
ARSS INFRASTRUCTURE PROJECTS LTD.
CIN:L14103OR2000PLC006230
PAN:AADCA4203D
|
|
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.1,50,000
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
SAT: SAT VIDE ITS ORDER DATED 11/04/2023 SET ASIDE IMPUGNED ORDER DATED 25/11/2021
|
| 1233 |
|
|
SWATI AGARWAL
(PAN:AHSPA6945R)
(Along with : MANISH MISHRA)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SADHNA BROADCAST LTD. USING MISLEADING YOUTUBE VIDEOS WITH FALSE CONTENT BACKED BY PAID MARKETING CAMPAIGN
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DIRECTED TO DISGORGE RS.22,96,732 ALONG WITH OTHER ENTITIES/PERSONS
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-2025 TO 28-MAY-2030
29-MAY-2025
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SAT: SAT VIDE ITS ORDER DATED 11/07/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AND/OR DISGORGEMENT AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 02/09/2025 CONDONED THE DELAY OF FIVE DAYS IN FILING OF APPEAL. GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% PENALTY AND DISGORGEMENT AMOUNT WITH RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 18/09/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT 50% PENALTY AND DISGORGEMENT AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
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| 1234 |
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SWETAMBAR DHARI SINHA
(PAN:AAAPS2966F)
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LANDMARC LEISURE CORP.LTD.
CIN:L65990MH1991PLC060535
PAN:AAACL5117A
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INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS 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 LANDMARC LEISURE CORP.LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF LANDMARC LEISURE CORP.LTD. VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LANDMARC LEISURE CORP.LTD.
DID NOT ADHERE TO REGULATION 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF LANDMARC LEISURE CORP.LTD.
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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 20-JAN-2022 TO 19-JUL-2022
IMPOSED PENALTY RS.2,25,000
20-JAN-2022
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| 1235 |
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T.TAKANO
(PAN:ANTPT5139K
DIN:03491442)
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VARIOUS INSTANCES OF FALSIFICATION AND MISSTATEMENTS IN THE BOOKS OF ACCOUNTS OF RICOH FOR THE YEAR ENDED 31/03/2016 VIOLATING SECTION 12A(A), 12A(B) & 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF RICOH INDIA LTD.
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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 30-JAN-2023 TO 29-JAN-2026
DIRECTED SEBI TO APPOINT INDEPENDENT AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF RICOH FOR F.Y.2012-13 ONWARDS
IMPOSED PENALTY RS.60,00,000
12-FEB-2018
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SEBI VIDE ITS ORDER DATED 16/08/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 12/02/2018 READ WITH ORDER DATED 06/03/2018. FURTHER, SEBI EXTENDED THE TIME FOR SUBMISSION OF FORENSIC AUDIT REPORT TO SEBI THROUGH BSE TO 30/09/2018
SAT: SAT VIDE ITS ORDER DATED 29/01/2020 QUASHED IMPUGNED ORDER DATED 12/02/2018. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 DIRECTED RESPONDENT TO FILE OPINION OF THE RESPONDENT DATED 19/10/2020 IN THE SEALED COVER DURING COURSE OF THE DAY
SAT: SAT VIDE ITS ORDER DATED 30/08/2021 DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) IMPOSED PENALTY RS.50 LAC U/S 15HA OF SEBI ACT. AND RS.50 LAC U/S 15HA OF SEBI ACT. AND RS.10 U/S 23H OF SCRA
SAT: SAT VIDE ITS ORDER DATED 19/04/2023 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS. DIRECTED APPELLANT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF THE AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 26/06/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 10/08/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/10/2023 CONDONED THE DELAY IN FILING OF REPLY
SAT: SAT VIDE ITS ORDER DATED 28/11/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER WERE TAKEN ON RECORD
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| 1236 |
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TALAT WAHADATALI MOHAMAD
(PAN:AAHPM1979K)
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FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
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DEVISED A SCHEME TO DEFRAUD ORIGINAL PUBLIC SHAREHOLDERS BY ISSUING FORGED CONSOLIDATED SHARE CERTIFICATES AND THEREAFTER FRAUDULENTLY SOLD THESE CONSOLIDATED SHARE CERTIFICATES TO PURCHASERS BROUGHT BY BIPIN DIVECHA VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) & 4(2)(H) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINALYSIS CREDIT & GURANTEE CO.LTD.
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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 05-MAY-2020 TO 04-MAY-2023
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 05-MAY-2020 TO 04-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
05-MAY-2020
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| 1237 |
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TANUMAY LAHA
(PAN:AIVPL5095K)
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JAISUKH DEALERS LTD.
CIN:L65100WB2005PLC101510
PAN:AABCJ7808H
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MISREPRESENTED FINANCIALS AND/OR BUSINESS AND MISUSED FUNDS/BOOKS OF ACCOUNTS OF JDL AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF JAISUKH DEALERS LTD.
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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 06-AUG-2021 TO 05-AUG-2022
06-AUG-2021
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SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/11/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/12/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN TWO WEEKS
SAT: SAT VIDE ITS ORDER DATED 07/02/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/03/2023 ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/04/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/07/2023 PARTLY ALLOWED THE APPEAL BY SETTING ASIDE IMPUGNED ORDER DATED 06/08/2021 AND REDUCED DEBARMENT PERIOD TO PERIOD UNDERWENT BY APPELLANTS
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| 1238 |
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TAPAN KUMAR DEY
(PAN:AJDPD4775H)
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INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF DHANLEELA INVESTMENT & TRADING CO.LTD. (FORMERLY KNOWN AS RATNI INVESTMENTS CO.LTD.)
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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 18-MAR-2020 TO 17-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
18-MAR-2020
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|
| 1239 |
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TARUN JAIN
(PAN:AACPJ9089J)
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VEDANTA LTD.
PAN:AACCS7101B
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DELAY IN PAYMENT OF DIVIDEND TO CAIRN UK HOLDINGS LTD.
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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 12-MAR-2024 TO 11-MAY-2024
12-MAR-2024
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SAT: SAT VIDE ITS ORDER DATED 20/03/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER AND DIRECTED APPELLANT TO DEPOSIT 50% OF INTEREST AMOUNT TO CAIRN UK HOLDINGS LTD. IN INTEREST BEARING ACCOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 18/06/2024 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK THEREAFTER TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/10/2024 CONDONED THE DELAY IN FILING OF APPEAL
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| 1240 |
|
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TATIA JAIN PANNALAL SAMPATHLAL
(PAN:AGMPP1055C)
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TATIA GLOBAL VENNTURE LTD.
CIN:L18101TN1994PLC026546
PAN:AAACT1724B
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INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF TGVL AND CONSOLIDATING SUBSIDIARIES VIOLATING REGULATIONS 4(1)(A) 4(1)(C), (E) & (G), 4(2)(F)(II)(6) & (7), 4(2)(F)(III)(3),(6) & (12), 16(1)(B)(IV), 17(1)(B), 18(1)(B), 19(1), 23(3), 24(3), 25(3), 33, CLAUSE B(2) OF SCHEDULE III READ WITH REGULATIONS 30 AND 48 OF SEBI (LODR) REGULATION, 2015 IN MATTER OF TATIA GLOBAL VENNTURE LTD.
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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-MAY-2021 TO 27-MAY-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-MAY-2021
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SAT: SAT VIDE ITS ORDER DATED 18/11/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/02/2022 CONDONED THE DELAY IN FILING OF REJOINDER AFFIDAVIT
SAT: SAT VIDE ITS ORDER DATED 24/08/2022 PARTLY ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 28/05/2021
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| Page 62 of 68
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