| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
B.P.JHUNJHUNWALA (HUF)
(PAN:AACHB0680D)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(3) READ WITH 3(1) AND 25(5) OF SAST REGULATIONS, 2011 IN MATTER OF ONESOURCE IDEAS VENTURE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(4) READ WITH 31(5) OF SAST REGULATIONS, 2011 IN MATTER OF ONESOURCE IDEAS VENTURE LTD.
|
IMPOSED PENALTY RS.24,00,000 ALONG WITH OTHER ENTITIES/PERSONS
15-DEC-2022
|
|
| 122 |
|
|
BAADER BANK AKTIENGESELLSCHAFT
(PAN:AACCB9355L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 29 OF SAST REGULATIONS, 2011 IN MATTER OF PARSOLI CORP. LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF PARSOLI CORP. LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 13(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 7 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PARSOLI CORP. LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,22,149 VIDE CONSENT ORDER)
11-MAR-2022
|
|
| 123 |
|
|
BABULAL SETHI (HUF)
(PAN:AAFHB1551A)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF BERYL SECURITIES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
24-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 06/11/2017 ALLOWED APPEAL TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 02/02/2018 ALLOWED APPEAL TO BE WITHDRAWN. NO COSTS
|
| 124 |
|
|
BABULAL SETHI (HUF)
(PAN:AAFHB1551A)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF BERYL SECURITIES LTD.
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2018
|
SAT: APPEAL DISMISSED
|
| 125 |
|
|
BAID GLOBAL VENTURES LTD.
(CIN:L18201MH1984PLC034070)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011
|
IMPOSED PENALTY RS.3,00,000
11-JUL-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 126 |
|
|
BALAJI INVESTMENT
(PAN:AABPD5165A)
(Along with : BIPIN PUSHPASEN DIVECHA (HUF),
SAGA FINANCIAL SERVICES PVT.LTD.)
|
|
|
|
BIPIN PUSHPASEN DIVECHA
PAN:AABPD5165A
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) AND 29(3)(A) OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/09/2022 CONDONED THE DELAY OF 689 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY TO THE DELAY APPLICATION AS WELL AS MEMORANDUM OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 21/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED TO FILE REJOINDER
|
| 127 |
|
|
BALAJI TEXFAB PVT.LTD.
(PAN:AACCB8369A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 128 |
|
|
BALAXI OVERSEAS PVT.LTD.
(PAN:AAECA0526G)
|
|
|
ALLEGED FAILURE TO MAKE DISCLOSURE THAT MR.ASHISH MAHESHWARI, PROMOTER AND DIRECTOR OF THE COMPANY WAS CATEGORIZED AS A WILFULL DEFAULTER VIOLATING REGULATION 6(A) OF SAST REGULATIONS, 2011 IN MATTER OF ANANDAM RUBBER CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 08-DEC-2023 TO 07-DEC-2024
08-DEC-2023
|
|
| 129 |
|
|
BALGOPAL HOLDING & TRADERS LTD.
(PAN:AAACB2492G)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,91,581 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 130 |
|
|
BALMUKHI TEXTILES PVT.LTD.
(PAN:AACCB7477K)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 13(2) (G) READ WITH 13(1) OF SAST REGULATIONS, 2011 IN MATTER OF HIMACHAL FIBRES LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-AUG-2015
|
|
| 131 |
|
|
BAMPSL SECURITIES LTD.
(PAN:AAACB3769Q
CIN:L74899DL1995PLC065028)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KAY POWER PAPER LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KAY POWER PAPER LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF KAY POWER PAPER LTD.
MADE WRONG DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF KAY POWER PAPER LTD.
|
IMPOSED PENALTY RS.5,00,000
06-DEC-2018
|
|
| 132 |
|
|
BANGALORE PHARMACEUTIALS LTD.
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF WINTECH LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
10-DEC-2019
|
|
| 133 |
|
|
BANHEM STOCK BROKING PVT.LTD.
(PAN:AACCB5251H)
|
|
|
|
KASHMIRA MANISHKUMAR MEHTA
PAN:AGSPM3714H
|
|
|
MANISHKUMAR SUMATILAL MEHTA
PAN:AAEPM2096G
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF CHOKSI IMAGING LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,08,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
24-JAN-2023
|
|
| 134 |
|
|
BARGATE COMMUNICATION PVT.LTD.
(PAN:AABCB6157B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF ISG TRADERS LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-JAN-2022
|
|
| 135 |
|
|
BARON EMERGING MARKETS COLLECTIVE INVESTMENT FUND
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-NOV-2018
|
|
| 136 |
|
|
BARON EMERGING MARKETS FUND
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-NOV-2018
|
|
| 137 |
|
|
BARON EMERGING MARKETS FUND LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-NOV-2018
|
|
| 138 |
|
|
BARON INTERNATIONAL GROWTH FUND
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-NOV-2018
|
|
| 139 |
|
|
BAYSWATER ENTERPRISES PVT.LTD.
(CIN:U45201DL2005PTC133928
PAN:AAACW5773B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF TRANSCHEM LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRANSCHEM LTD.
|
IMPOSED PENALTY RS.2,00,000
18-DEC-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 24/07/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 18/04/2023 STAYED RECOVERY PROCEEDINGS AND RELEASED THE BANK, DEMAT ACCOUNTS/LOCKERS AND MUTUAL FUND FOLIO ETC. AS PER HON’BLE SUPREME COURT OF INDIA ORDER DATED 24/07/2018
SEBI VIDE ITS ORDER DATED 18/04/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.1608 OF 2018 DATED 24/07/2018
|
| 140 |
|
|
BBN TRANSPORTATION PVT.LTD.
(PAN:AADCB0182E)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AND DIN NOT INCLUDE BNS TOUR & TRAVEL PVT.LTD. VIOLATING SECTION 12A(F) OF SEBI ACT, 1992 AND REGULATIONS 10 AND 14(1) READ WITH 35(2)(A) OF SAST REGULATIONS, 2011 IN MATTER OF ORISSA SPONGE IRON & STEEL LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 7 of 55
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