| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1501 |
|
TANIKA RAVINDRA JALAN
(PAN:AEUPJ9610H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 1502 |
|
|
TANU AGRAWAL
|
|
|
|
TANU HEALTHCARE LTD.
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY IN TIME AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOCRUS BIO SCIENCES LTD.(FORMERLY KNOWN AS TANU HEALTHCARE LTD.)
|
IMPOSED PENALTY
17-JUN-2010
|
|
| 1503 |
|
|
TARA PRASAD HOTTA
(DIN:01788732
PAN:ABEPH7054G)
|
|
|
|
OSCAR MANAGEMENT SERVICES LTD.
CIN:U74140OR2006PLC008979
|
|
MOBILIZED RS.45.00 LACS THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 450 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36) AND 73 OF THE COMPANIES ACT, 1956 AND THE DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2009
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ING VYSYA BANK LTD.
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 06-JUN-2018 TO 05-JUN-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-JUN-2018 TO 05-JUN-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUN-2018 TO 05-JUN-2022
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 06-JUN-2018 TO 05-JUN-2022
30-SEP-2016
|
SEBI VIDE ITS ORDER DATED 06/06/2018 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF EQUITY SHARES WITH INTEREST @ 15% P.A. FROM EIGHTH DAY OF COLLECTION OF FUNDS, TILL DATE OF ACTUAL PAYMENT THROUGH BANKING CHANNEL SUCH AS DEMAND DRAFT OR ELECTRONIC MODE OF TRANSFER B) NOT TO ALIENATE OR DISPOSE OFF OR SELL ANY ASSETS OF COMPANY OR ANY OTHER ASSETS EXCEPT FOR THE PURPOSE OF MAKING REFUNDS TO ITS INVESTORS C) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS REFUND TO ALL THE EQUITY SHAREHOLDERS HAS ACTUALLY BEEN MADE D) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY FURTHER RESTRAINED FROM ASSOCIATING THEMSELVES, WITH ANY LISTED PUBLIC COMPANY OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SEBI VIDE ITS NOTICE DATED 17/02/2020 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 13/04/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.45,00,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 1504 |
|
|
TARABEN S.PARIKH
(PAN:ABNPP5386N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 1505 |
|
|
TARUNKUMAR GURUVACHAN BRAHMBHATT
(PAN:ADSPB2534M)
(Along with : JINESH DEVENDRA BHATT)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RAJRATAN GLOBAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF RAJRATAN GLOBAL LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
12-JUL-2017
|
SAT: APPEAL DISMISSED
SEBI VIDE ITS NOTICE DATED 15/10/2020 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 09/11/2023 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN THE ORDER C) DIRECTED TO FURNISH THE COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTER AND CHARGES, IF ANY, WITHIN ONE WEEK FROM DATE OF THIS ORDER AT SEBI HEAD OFFICE, MUMBAI D) DIRECTED INSPECTORS GENERAL OF REGISTRATION AND CONTROLLER OF STAMPS OF MAHARASHTRA STATE, SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
|
| 1506 |
|
|
TARUNKUMAR GURUVACHAN BRAHMBHATT
(PAN:ADSPB2534M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAMPADA CHEMICALS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SAMPADA CHEMICALS LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF SAMPADA CHEMICALS LTD.AND URJA GLOBAL LTD.
|
IMPOSED PENALTY RS.7,00,000
28-DEC-2021
|
SEBI VIDE ITS NOTICE DATED 02/08/2022 DIRECTED TO PAY RS.7,64,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 27/09/2022 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
SEBI VIDE ITS ORDER DATED 09/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.7,85,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.TARUNKUMAR GURUVACHAN BRAHMBHATT TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 1507 |
|
|
TEEJA DEVI
(PAN:AASPT2488B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 1508 |
|
|
TEJAL M.SHAH
(PAN:AOWPS5665M)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) READ WITH 2(C) AND 2(H) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MULTI COMMODITY EXCHANGE OF INDIA LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MULTI COMMODITY EXCHANGE OF INDIA LTD.
|
DIRECTED TO DISGORGE RS.45,39,512
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
02-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2017 DISPOSED OFF THE APPEAL AS THE COUNSEL FOR SEBI, ON INSTRUCTION STATES THAT THE SEBI WOULD IMMEDIATELY DE-FREEZE THE BANK ACCOUNTS, AS MENTIONED IN THE ORDER. FURTHER, DIRECTED SEBI TO PASS AN ORDER AFTER CONSIDERING THE OBJECTIONS, IF ANY, AS EXPEDITIOUSLY AS POSSIBLE AND IN ANY EVENT WITHIN A PERIOD OF THREE MONTHS FROM THE DATE OF RECEIVING THE OBJECTIONS FROM THE APPELLANT.NO COSTS
SAT: SAT VIDE ITS ORDER DATED 13/10/2017 DISPOSE OFF MISC. APPLICATION BY STAYING THE DIRECTIONS CONTAINED IN PARA 4.1 (B) TO (F) OF THE EX-PARTE ORDER DATED 10/08/2017, SUBJECT TO APPELLANT FURNISHING A BANK GURANTEE FOR THE AMOUNT SET OUT IN THE ORDER DATED 10/08/2017. NO COSTS
SEBI VIDE ITS ORDER DATED 05/01/2018 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/08/2017
|
| 1509 |
|
|
TEJINDER SINGH
|
|
|
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 ARCOTECH LTD.
|
IMPOSED PENALTY RS.1,00,000
24-FEB-2011
|
|
| 1510 |
|
|
TEJMAL JAIN
(PAN:ACHPJ5196M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 1511 |
|
|
THOMAS P.JOY
(PAN:ACJPT1817B)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF CYBELE INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
27-SEP-2018
|
|
| 1512 |
|
|
TIKKAVARAPU VENKATRAM REDDY
(PAN:AAWPT6829M)
|
|
|
|
DECCAN CHRONICLE HOLDINGS LTD.
CIN:L22122TG2002PLC040110
PAN:AABCD6737D
|
|
MADE PUBLIC ANNOUNCEMENT FOR BUY BACK OF ITS EQUITY SHARES WITHOUT HAVING ADEQUATE FREE RESERVES MISLED INVESTORS/SHAREHOLDERS ABOUT PERCEIVED VALUATION/STRONG FINANCIAL POSITION OF COMPANY VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 AND SECTION 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
CARRIED OUT BUYBACK OF ITS EQUITY SHARES MORE THAN 25% OF ITS TOTAL PAID UP CAPITAL LIMIT DURING FY.2011-12 VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL PRICE SENSITIVE INFORMATION ON DATE OF ENTERING INTO AGREEMENT WITH DECCAN CHRONICLE MARKETERS VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
ISSUED MISLEADING FINANCIAL INFORMATION (I.E.UNDERSTATEMENT OF INTEREST AND FINANCE CHARGES ON OUTSTANDING LOANS AND THEREBY OVERSTATEMENT OF PROFITS) IN ITS ANNUAL REPORT FOR FY.2008-09 TO 2010-11 VIOLATING CLAUSE 41 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DELAY IN FILING OF SHAREHOLDING PATTERN TO STOCK EXCHANGES FOR QUARTERS ENDED SEPTEMBER-2012 AND DECEMBER-2012 VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT PROVIDE UPDATED INFORMATION ON SHAREHOLDING PATTERN FROM QUARTER ENDED MARCH-2013 ONWARDS ON ITS WEBSITE VIOLATING CLAUSE 54 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT APPOINT NEW COMPANY SECRETARY SUBSEQUENT TO RESIGNATION OF EXISTING COMPANY SECRETARY VIOLATING CLAUSE 47(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE RELATED PARTY TRANSACTIONS OF RS.99.45 CRORES ADVANCED TO FLYINGTON FREIGHTORS LTD. VIOLATING CLAUSE 32 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURES UPON INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT COMPLY WITH CLAUSES 36, 41, 35, 54, 47(A) AND 32 OF THE LISTING AGREEMENT VIOLATING SECTION 21 READ WITH SECTION 24(1) OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
|
IMPOSED PENALTY RS.95,00,000
22-MAR-2022
|
SAT: SAT VIDE ITS ORDER DATED 05/08/2022 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 16/12/2022 DIRECTED TO PAY RS.1,30,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 11/01/2023 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 ORDER DATED 13/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,45,61,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.TIKKAVARAPU VENKATRAM REDDY TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 14/03/2023 ALLOWED FURTHER TWO WEEKS TO FILE WRITTEN SUBMISSIONS
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.65 LAC FROM RS.1.30 CRORE TO BE PAID WITHIN FOUR WEEKS FROM THE DATE OF ORDER
SAT: SAT VIDE ITS ORDER DATED 10/01/2024 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 22/03/2024 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 11/01/2023
SEBI VIDE ITS ORDER DATED 22/03/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6117 OF 2022 DATED 16/12/2022
SAT: SAT VIDE ITS ORDER DATED 22/08/2024 DISMISSED THE APPEAL AS WITHDRAWN
|
| 1513 |
|
|
TIKKAVARAPU VINAYAK RAVI REDDY
(PAN:ABAPT1371Q)
|
|
|
|
DECCAN CHRONICLE HOLDINGS LTD.
CIN:L22122TG2002PLC040110
PAN:AABCD6737D
|
|
MADE PUBLIC ANNOUNCEMENT FOR BUY BACK OF ITS EQUITY SHARES WITHOUT HAVING ADEQUATE FREE RESERVES MISLED INVESTORS/SHAREHOLDERS ABOUT PERCEIVED VALUATION/STRONG FINANCIAL POSITION OF COMPANY VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 AND SECTION 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
CARRIED OUT BUYBACK OF ITS EQUITY SHARES MORE THAN 25% OF ITS TOTAL PAID UP CAPITAL LIMIT DURING FY.2011-12 VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL PRICE SENSITIVE INFORMATION ON DATE OF ENTERING INTO AGREEMENT WITH DECCAN CHRONICLE MARKETERS VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
ISSUED MISLEADING FINANCIAL INFORMATION (I.E.UNDERSTATEMENT OF INTEREST AND FINANCE CHARGES ON OUTSTANDING LOANS AND THEREBY OVERSTATEMENT OF PROFITS) IN ITS ANNUAL REPORT FOR FY.2008-09 TO 2010-11 VIOLATING CLAUSE 41 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DELAY IN FILING OF SHAREHOLDING PATTERN TO STOCK EXCHANGES FOR QUARTERS ENDED SEPTEMBER-2012 AND DECEMBER-2012 VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT PROVIDE UPDATED INFORMATION ON SHAREHOLDING PATTERN FROM QUARTER ENDED MARCH-2013 ONWARDS ON ITS WEBSITE VIOLATING CLAUSE 54 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT APPOINT NEW COMPANY SECRETARY SUBSEQUENT TO RESIGNATION OF EXISTING COMPANY SECRETARY VIOLATING CLAUSE 47(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE RELATED PARTY TRANSACTIONS OF RS.99.45 CRORES ADVANCED TO FLYINGTON FREIGHTORS LTD. VIOLATING CLAUSE 32 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURES UPON INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT COMPLY WITH CLAUSES 36, 41, 35, 54, 47(A) AND 32 OF THE LISTING AGREEMENT VIOLATING SECTION 21 READ WITH SECTION 24(1) OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
|
IMPOSED PENALTY RS.95,00,000
22-MAR-2022
|
SAT: SAT VIDE ITS ORDER DATED 05/08/2022 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 16/12/2022 DIRECTED TO PAY RS.1,30,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 01/02/2023 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
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.65 LAC FROM RS.1.30 CRORE TO BE PAID WITHIN FOUR WEEKS FROM THE DATE OF ORDER
SAT: SAT VIDE ITS ORDER DATED 10/01/2024 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 22/03/2024 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 01/02/2023
SEBI VIDE ITS ORDER DATED 22/03/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6121 OF 2022 DATED 16/12/2022
SAT: SAT VIDE ITS ORDER DATED 22/08/2024 DISMISSED THE APPEAL AS WITHDRAWN
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| 1514 |
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TRILOCHAN SINGH SUCHDEV
(PAN:AJGPS9694B)
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
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EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
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| 1515 |
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TSUTOMU UNE
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ALLEGED VIOLATION OF INTERNAL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FRAMED BY COMPANY IN TERMS OF REGULATION 12(2) READ WITH 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-AUG-2017
|
|
| 1516 |
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TULSI R.TANTI
(PAN:AARPT6363J)
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ALLEGED DELAY IN AMENDMENT IN CODE OF CONDUCT AND DID NOT INCORPORATE PROVISIONS RELATED TO PRE-CLEARANCE OF TRADES VIOLATING REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND CLAUSE 1.2 OF MODEL CODE OF CONDUCT IN MATTER OF SUZLON ENERGY LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
29-JAN-2013
|
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| 1517 |
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TUNTUN SINGH
|
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ALLEGED FAILURE IN ADOPTION OF CODE OF CONDUCT VIOLATING CLAUSE 1.2 OF MODEL CODE OF CONDUCT AS SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATIONS 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF COROMANDEL INTERNATIONAL LTD. (EARLIER KNOWN AS LIBERTY PHOSPHATE LTD.)
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-OCT-2017
|
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| 1518 |
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TUSHAR G.SHAH
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 MATTER OF INNOVISION E-COMMERCE LTD.
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IMPOSED PENALTY RS.5,00,000
16-NOV-2009
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INCLUDED IN SEBI LIST DATED 30/09/2011, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
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| 1519 |
|
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TUSHAR RAMCHANDRA RANE
(PAN:AJCPR9314H)
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TILAK FINANCE LTD.
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IMPOSED PENALTY RS.2,00,000
23-MAR-2018
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SAT: REJECTED THE MISC. APPLICATION. NO COSTS
SEBI VIDE ITS NOTICE DATED 02/11/2018 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 28/09/2021 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 02/11/2018
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| 1520 |
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ULLASH JAYANTILAL PARIKH
(PAN:AASPP5758L)
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF GOLDEN LEGAND LEASING & FINANCE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GOLDEN LEGAND LEASING & FINANCE LTD.
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IMPOSED PENALTY RS.1,00,000
14-JUL-2022
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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 76 of 82
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