| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
DECCAN PETROLEUMS LTD.
|
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2001 TO 27-FEB-2006
28-FEB-2001
|
|
| 122 |
|
|
DECCAN PETROLEUMS LTD.
|
|
|
|
GOPALAN SAMPATH
|
|
|
K.S.SHETTY
|
|
|
SRIPRIYA VARADHARAJAN
|
|
|
SUBADRA SAMPATH
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 123 |
|
|
DELTA LEASING & FINANCE LTD.
(PAN:AAACD0594K)
|
|
|
SUBMITTED WRONG SHAREHOLDING DETAILS PATTERN TO STOCK EXCHANGES REGARDING PROMOTER GROUP VIOLATING CLAUSE 35 OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
|
IMPOSED PENALTY RS.2,00,000
11-AUG-2021
|
SEBI VIDE ITS NOTICE DATED 17/11/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 ORDER DATED 30/11/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNT OF DELTA LEASING & FINANCE LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 124 |
|
|
DEVERA DEVELOPERS PVT.LTD.
(PAN:AADCB1809L)
|
|
|
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
|
| 125 |
|
|
DHAVANIL CHEMICALS LTD.
|
|
|
|
SEJAL S.ZAVERI
|
|
|
SMITESH V.ZAVERI
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-JAN-2001 TO 17-JAN-2006
18-JAN-2001
|
|
| 126 |
|
|
DHRUV MAKHAN (INDIA) LTD.
|
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUL-1999 TO 18-APR-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUL-1999 TO 18-APR-2004
19-JUL-1999
|
|
| 127 |
|
|
DIGITAL LEASING & FINANCE LTD.
|
|
|
|
NAVAL AGARWAL
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 128 |
|
|
DIVINE LEASING & FINANCE LTD.
(Along with : GHCL LTD.)
|
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 129 |
|
|
DLF LTD.
(PAN:AAACD3494N)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE OF UTILIZATION OF FUNDS TO STOCK EXCHANGES VIOLATING CLAUSE 43 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,00,000
31-MAY-2018
|
|
| 130 |
|
|
DMC EDUCATION LTD.
(CIN:L80211DL1984PLC018554
PAN:AACCD5023B)
|
|
|
|
SAROJ GUPTA
PAN:AAPPG3976N
|
|
|
SHAM SUNDER GUPTA
PAN:AISPG6871B
|
|
MADE WRONG DISCLOSURE OF SHAREHOLDING OF PROMOTER GROUP TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DMC EDUCATION LTD.
|
IMPOSED PENALTY RS.4,00,000
31-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 13/09/2018 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
|
| 131 |
|
|
EASTERN SILK INDUSTRIES LTD.
|
|
|
|
K.T.SHETH
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
IMPOSED PENALTY RS.40,000
29-NOV-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.40,000
|
| 132 |
|
|
ECO FRIENDLY FOOD PROCESSING PARK LTD.
(CIN:L45209DL2008PLC181131
PAN:AACCE0416B)
|
|
|
|
AMAR SINGH BISHT
PAN:AKOPB4144J
|
|
|
BRIJ KISHORE SABHARWAL
PAN:AAXPS6830P
|
|
|
VINOD KUMAR GARG
PAN:AAAPG4116B
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS 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 IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND MADE WRONG DISCLOSURE TO STOCK EXCHANGES WITH RESPECT TO IPO PROCEEDS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND GAVE WRONG DISCLOSURES WITH RESPECT TO IPO PROCEED TO STOCK EXCHANGES VIOLATING CLAUSES 45 AND 46 OF THE LISTING AGREEMENT FOR SMES READ WITH SECTION 21 OF SCRA ACT, 1956
|
IMPOSED PENALTY RS.13,00,000
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 01/05/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 17/09/2024 DIRECTED TO PAY RS.13,98,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/01/2025 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.14,86,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 133 |
|
|
EDUCOMP SOLUTIONS LTD.
(PAN:AAACE2983M)
|
|
|
|
SHANTANU PRAKASH
PAN:AAJPP1605K
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS STATEMENTS AND DID NOT PUBLISH & REPORT A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION TO STOCK EXCHANGES VIOLATING SECTIONS 12A(B) 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 EDUCOMP SOLUTIONS TD.
GAVE CORPORATE GUARANTEE FOR LOANS AVAILED BY EDU SMART SERVICES PVT.LTD. (ESSPL) TO TUNE OF RS.1550 CRORE WITHOUT APPROVAL OF AUDIT COMMITTEE VIOLATING PROVISION (IV) (A) OF CLAUSE 49 OF LISTING AGREEMENT READ WITH REGULATION 103(2) OF SEBI (LODR) REGULATIONS, 2015 AND SCRA ACT, 1956
DID NOT MAKE DISCLOSURE OF TRANSACTIONS WITH EDU SMART SERVICES PVT.LTD. (ESSPL) AS RELATED PARTY TRANSACTIONS VIOLATING CLAUSE 32 OF LISTNG AGREEMENT READ WITH SECTION 21 OF SCRA ACT, 1956
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-MAY-2023 TO 29-MAY-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAY-2023 TO 29-MAY-2028
IMPOSED PENALTY RS.1,00,00,000
30-MAY-2023
|
SAT: SAT VIDE ITS ORDER DATED 22/08/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED EFFECT AND OPERATION OF IMPUGNED ORDER TILL DISPOSAL OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 31/10/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/12/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 25/01/2024 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/03/2024 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 134 |
|
|
EDUCOMP SOLUTIONS LTD.
(PAN:AAACE2983M)
|
|
|
ALLEGED DELAY IN MAKING CORPORATE ANNOUNCEMENT TO BSE VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
ALLEGED DEALY IN MAKING CORPORATE ANNOUNCEMENT TO BSE VIOLATING CLAUSE 1.1 READ WITH 2.1 OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING UNDER SCHEDULE II OF REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
16-MAY-2012
|
|
| 135 |
|
|
EFCON SECURITIES LTD.
|
|
|
|
BERJIS DESAI
|
|
|
U.ROY
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 136 |
|
|
ELCID INVESTMENTS LTD.
(PAN:AAACE1611Q)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING REGULATION 2(1)(PP) OF SEBI (ICDR) REGULATIONS, 2018 READ WITH REGULATION 2(1)(ZB) OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING CLAUSE 2 OF LISTING AGREEMENT DATED 28/12/2015 SIGNED BETWEEN EIL AND BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,11,775 VIDE CONSENT ORDER)
01-SEP-2021
|
|
| 137 |
|
|
ELECTROSTEEL CASTINGS LTD.
(PAN:AAACE4975B)
|
|
|
DID NOT MAKE DISCLOSURE TO THE STOCK EXCHANGE REGARDING REJECTION OF PROPOSAL OF FOREST DIVERSION OF ITS IRON ORE MINE BY MINISTRY OF ENVIRONMENT AND FOREST (MOEF) VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.1,00,00,000
31-MAR-2016
|
SAT: SAT VIDE ITS ORDER DATED 14/11/2019 DISMISSED THE APPEAL AND DIRECTED TO PAY PENALTY AMOUNT WITHIN 30 DAYS FROM DATE OF THIS ORDER
|
| 138 |
|
|
ELECTROTHERM (INDIA) LTD.
(PAN:AAACE2669L)
|
|
|
|
AVINASH BHANDARI
PAN:ABRPB0303P
|
|
|
MUKESH BHANDARI
PAN:AALPB1974B
|
|
|
PAWAN GAUR
PAN:BITPG8518F
|
|
|
SHAILESH BHANDARI
PAN:AALPB1973G
|
|
|
SIDDHARTH BHANDARI
PAN:ARTPB0632P
|
|
DID NOT PREPARE TRUE AND FAIR FINANCIAL STATEMENTS BY REVERSAL/NON-PROVISIONING OF INTEREST AND MADE WRONGFUL CERTIFICATION OF FINANCIAL RESULTS VIOLATING CLAUSES 41(I) AND 50 OF ERSTWHILE EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT PREPARE TRUE AND FAIR FINANCIAL STATEMENTS BY REVERSAL/NON-PROVISIONING OF INTEREST AND MADE WRONGFUL CERTIFICATION OF FINANCIAL RESULTS VIOLATING REGULATIONS 4(1)(A), 4(1)(B), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.10,00,000
28-AUG-2020
|
|
| 139 |
|
|
ELEGANT MARBLES & GRANI INDUSTRIES LTD.
|
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
IMPOSED PENALTY RS.10,000
28-DEC-2004
|
|
| 140 |
|
|
ELEKTRO FLAME LTD.
|
|
|
|
SHYAM SUNDER GUPTA
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 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 7 of 28
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