| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
FAMILY CARE HOSPITALS LTD.
(PAN:AAACP2883M)
|
|
|
|
AMIT SATISHCHAND TYAGI
PAN:AGRPT0973A
|
|
|
DHANANJAY CHANDRAKANT PARIKH
PAN:ACTPP2402L
|
|
|
GAURAV GOYAL
PAN:AFJPG2468N
|
|
|
GAUTAM MOHAN DESHPANDE
DIN:00975368
PAN:AFVPD7782E
|
|
|
LUCY MAQBUL MASSEY
PAN:AMBPM4077E
|
|
|
PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
|
|
|
PRATIBHA WALINJKAR
PAN:AACPW0451B
|
|
|
RAHUL SATHE
PAN:ARSPS6001N
|
|
|
RAJNISH KUMAR PANDEY
PAN:AIHPP3515E
|
|
|
SOWMYA GAUTAM DESHPANDE
DIN:00705918
PAN:AHAPD5607K
|
|
|
VAISHALI SOOD SHARMA
PAN:BFYPS1209F
|
|
DID NOT MAKE DISCLOSURES TO STOCK EXCHANGES REGARDING RELATED PARTY TRANSACTIONS WITHOUT APPROVAL OF AUDIT COMMITTEE AND/OR SHAREHOLDERS VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED/MISSTATED IN FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A), 4(1)(B), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED/MISSTATED IN FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(C), 4(1)(D), 4(1)(E), 4(1)(H), 4(1)(I), 4(1)(G) AND 4(1)(J) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE PROVISION AND DID NOT MAKE DISCLOSURES OF ARREARS OF RENT AS CONTINGENT LIABILITY AFTER DIRECTION OF COURT VIOLATING REGULATIONS 4(1)(A), 4(1)(B), 4(2)(E)(I), 33(1)(C), 34(3) AND 4 OF SEBI (LODR) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURES TO STOCK EXCHANGE WITH RESPECT TO APPOINTMENT/REGULARISATION/RESIGNATION OF DIRECTOR AND/OR COMPANY SECRETARY VIOLATING REGULATION 30(2) READ WITH PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
FURNISHED FALSE CERTIFICATE WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015
DID NOT OBTAIN PRIOR APPROVAL FROM AUDIT COMMITTEE FOR LOAN TRANSACTIONS DONE WITH ONELIFE CAPITAL ADVISORS LTD. VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED/MISSTATED IN FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F), 4(2)(K), 4(2)(R) READ WITH 2(1)(B) AND (C)(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FAMILY CARE HOSPITALS LTD.
|
IMPOSED PENALTY RS.9,00,000
03-JUN-2025
|
SEBI VIDE ITS NOTICE DATED 07/08/2025 DIRECTED TO PAY RS.9,28,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/08/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8848 OF 2025 DATED 07/08/2025
SAT: SAT VIDE ITS ORDER DATED 14/10/2025 CONDONED THE DELAY OF 39 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY TO BE FILED WITHIN THREE WEEKS THEREAFTER
|
| 142 |
|
|
FANTASY BUILDWELL PVT.LTD.
(PAN:AAACF8350K)
|
|
|
DELAY IN SUBMISSION OF HALF YEARLY FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(1), 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
26-MAR-2021
|
|
| 143 |
|
|
FERN HEALTHCARE PVT.LTD.
(PAN:AACCR3509E)
|
|
|
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
|
| 144 |
|
|
FINO PAYMENTS BANK LTD.
(PAN:AABCF1125D)
|
|
|
ALLEGED FAILURE IN MAKING TIMELY AND COMPLETE DISCLOSURE OF A MATERIAL EVENT REGARDING FRAUDS PERPETRATED BY ITS EMPLOYEE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,88,921 VIDE CONSENT ORDER)
06-OCT-2025
|
|
| 145 |
|
|
FIVE CORE ELECTRONICS LTD.
(CIN:U32109DL2002PLC148250
PAN:AAACF6709Q)
|
|
|
|
AMARJIT SINGH KALRA
PAN:AKWPK0803H
|
|
|
JAGJIT KAUR KALRA
PAN:ANTPK4395G
|
|
|
SURINDER KAUR KALRA
PAN:AFMPK2461E
|
|
|
SURINDER SINGH KALRA
PAN:AFYPK7984E
|
|
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.
DEFAULTED IN APPOINTMENT OF COMPANY SECRETARY AS COMPLIANCE OFFICER VIOLATING REGULATION 6 OF SEBI (LODR) REGULATIONS, 2015
DEFAULTED ON APPOINTMENT OF REGISTRAR & SHARE TRANSFER AGENT VIOLATING REGULATION 7 OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO INVESTOR GRIEVANCE REPORT VIOLATING REGULATION 13(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO SUBMISSION OF SHAREHOLDING PATTERN VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO SUBMISSION OF FINANCIAL RESULTS VIOLATING REGULATION 33 OF SEBI (LODR) REGULATIONS
|
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
|
| 146 |
|
|
FORTIS HEALTHCARE HOLDINGS PVT.LTD.
(CIN:U65993DL2001PTC152641
PAN:AAACF6715A)
|
|
|
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
DID NOT SUBMIT COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATION 7(3) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DID NOT PRIOR INTIMATE STOCK EXCHANGES THE DUE DATE OF INTEREST ON DEBENTURES & BONDS AND REDEMPTION AMOUNT OF REDEEMABLE SHARES OR DEBENTURES AND BONDS VIOLATING REGULATION 50(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT INFORM STOCK EXCHANGES INTENTION TO RAISE FUNDS THROUGH NEW NON-CONVERTIBLE DEBT SECURITIES OR NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES IT PROPOSES TO LIST EITHER THROUGH PUBLIC ISSUE OR ON PRIVATE PLACEMENT BASIS VIOLATING REGULATION 50(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT INTIMATE IN ADVANCE TO STOCK EXCHANGES REGARDING THE MEETING OF BOARD OF DIRECTORS AT WHICH RECOMMENDATION OR DECLARATION OF ISSUE OF NCDS OR MATTER AFFECTING THE RIGHTS OR INTEREST OF HOLDERS VIOLATING REGULATION 50(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(1), 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO PREPARATION, APPROVAL, AUTHENTICATION AND PUBLICATION OF ANNUAL AND HALF-YEARLY FINANCIAL RESULTS VIOLATING REGULATION 52(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT STATEMENT INDICATING MATERIAL DEVIATIONS IF ANY USE OF PROCEEDS ALONG WITH HALF YEARLY FINANCIALS RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(7) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF SECURITY CREATED AND MAINTAINED WITH RESPECT TO ITS LISTED NCDS TO STOCK EXCHANGES VIOLATING REGULATION 54(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT GET ITS SECURITIES REVIEWED BY CREDIT RATING AGENCY AT LEAST ONCE A YEAR VIOLATING REGULATION 55 OF SEBI LODR) REGULATIONS, 2015
DID NOT SUBMIT CERTAIN DOCUMENT SUCH AS ANNUAL REPORT, CERTIFICATION ON UTILIZATION OF FUNDS, CHANGE IN CREDIT RATING, HALF YEARLY ASSETS COVER CERTIFICATE, COPY OF NOTICES, RESOLUTIONS ETC. TO DEBENTURE TRUSTEE VIOLATING REGULATION 56(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT INFORM ABOUT CHANGE IN EXISTING ISINS TO STOCK EXCHANGES VIOLATING REGULATION 56(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT CERTIFICATE TO STOCK EXCHANGES WITHIN TWO DAYS OF INTEREST/PRINCIPAL OF BECOMING DUE IN RESPECT OF NCDS VIOLATING REGULATION 57(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PROVIDE UNDERTAKING TO STOCK EXCHANGES ON ANNUAL BASIS STATING THAT ALL THE DOCUMENTS AND INTIMATIONS REQUIRED TO BE SUBMITTED TO DEBENTURE TRUSTEE IN TERMS OF TRUST DEED AND SEBI (ILDS) REGULATIONS, 2008 HAVE BEEN COMPLIED WITH VIOLATING REGULATION 57(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT INTIMATE IN ADVANCE RECORD DATE TO STOCK EXCHANGES IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATION 60(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAINTAIN FUNCTIONAL WEBSITE CONTAINING DETAILS OF FINANCIAL INFORMATION, HANDLING OF INVESTOR GRIEVANCES, DEBENTURE TRUSTEE, REPORTS, NOTICES AND CALL LETTERS ETC.VIOLATING REGULATION 62 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,50,000
25-OCT-2021
|
|
| 147 |
|
|
FORTIS HEALTHCARE LTD.
(PAN:AAACF0987E)
|
|
|
INDULGED IN DIVERSION OF RS.403 CRORES (APPROX.) FROM FORTIS HEALTHCARE LTD. TO PARENT COMPANY RHC HOLDING PVT.LTD. VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT.1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
MISREPRESENTED FINANCIAL POSITION AND ARTIFICIALLY INFLATED BANK BALANCE OF FHSL AND DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION IN BOOKS OF ACCOUNTS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT.1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(F) & 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FORTIS HEALTHCARE LTD.
VIOLATED REGULATIONS 4(1)(B) & (C), 30(1) AND 51(1) OF SEBI (LODR) REGULATIONS, 2015
ROUTED FUNDS THROUGH UNRELATED ENTITIES FOR THE BENEFIT OF PARENT COMPANY VIOLATING CLAUSE 32 OF LISTING AGREEMENT AND REGULATION 53(F) OF SEBI (LODR) REGULATIONS, 2015
|
DIRECTED TO TAKE NECESSARY STEPS TO RECOVER THE AMOUNT OF RS.403 CRORES (APPROX.) ALONGWITH INTEREST
17-OCT-2018
|
SEBI VIDE ITS ORDER DATED 21/12/2018 DIRECTED TO TAKE ALL NECESSARY STEPS TO RECOVER RS.403 CRORES (APPROX.) ALONGWITH INTEREST FROM RHC HOLDING PVT.LTD., SHIVI HOLDINGS PVT.LTD., MALAV HOLDINGS PVT.LTD., MR.MALVINDER MOHAN SINGH, MR.SHIVINDER MOHAN SINGH, RELIGARE FINVEST LTD., BEST HEALTHCARE PVT.LTD., FERN HEALTHCARE PVT.LTD.AND MODLAND WEARS PVT.LTD. WITHIN THREE MONTHS FROM DATE OF INTERIM ORDER DATED 17/10/2018
SEBI VIDE ITS ORDER DATED 19/03/2019 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 17/10/2018 READ WITH ORDER DATED 21/12/2018 TILL FURTHER ORDERS AND DIRECTED TO CONTINUE TO PURSUE THE MEASURES TO RECALL OUTSTANDING AMOUNT OF RS.403.00 CRORES (APPROX.) ALONG WITH DUE INTEREST FROM NOTICEES NO.3 TO 11 (VIZ. RHC, SHIV HOLDINGS PVT.LTD., MALAV HOLDINGS PVT.LTD., MR.MALVINDER MOHAN SINGH, MR.SHIVINDER MOHAN SINGH, RELIGARE FINVEST LTD. BEST HEALTHCARE PVT.LTD., FERN HEALTHCARE PVT.LTD. AND MODLAND WEARS PVT.LTD.)
|
| 148 |
|
|
FORTIS HEALTHCARE LTD.
(PAN:AAACF0987E)
|
|
|
|
BHAVDEEP SINGH
PAN:BHHPS8103F
|
|
|
GAGANDEEP SINGH BEDI
PAN:AOJPB8749L
|
|
AIDED IN MISUSE AND DIVERSION OF PUBLIC SHAREHOLDERS FUNDS THROUGH BORROWER COMPANIES (BEST, FERN AND MODLAND) FOR BENEFIT OF RHC HOLDING PVT.LTD. VIOLATING SECTION 12(C) OF SEBI ACT, 1992 AND REGULATIONS 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FORTIS HEALTHCARE LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FORTIS HEALTHCARE LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF FORTIS HEALTHCARE 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 19-APR-2022 TO 18-APR-2024
IMPOSED PENALTY RS.5,00,00,000
19-APR-2022
|
|
| 149 |
|
|
FRASER & CO.LTD.
(PAN:AAACF3592R)
|
|
|
|
OMKAR SHIVHARE
PAN:FYEPS5219E
|
|
|
YOGEETA SHIVHARE
PAN:AMGPS8497K
|
|
MADE INCORRECT DISCLOSURE REGARDING RECEIPT OF WORK ORDERS VIOLATING REGULATIONS 4(1)(C) AND 4(1)(E) READ WITH 30(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT UPDATE DEVELOPMENT W.R.T. WORK ORDER FROM SHRADDHA GROUP (RS.5.45 CRORE INSTEAD OF RS.15 CRORE) VIOLATING REGULATIONS 4(1)(D) AND 4(1)(E) READ WITH 30(6) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
14-MAY-2025
|
SEBI VIDE ITS NOTICE DATED 09/07/2025 DIRECTED TO PAY RS.1,04,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 21/07/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8814 OF 2025 DATED 09/07/2025
|
| 150 |
|
|
FRONTIER CAPITAL LTD.
(CIN:L65990MH1984PLC033128)
|
|
|
DELAY IN IMPLEMENTATION OF BONUS ISSUE VIOLATING REGULATION 95(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
|
IMPOSED PENALTY RS.1,50,000
29-MAY-2018
|
|
| 151 |
|
|
FUTURE ENTERPRISES LTD.
(CIN:L52399MH1987PLC044954
PAN:AAACP6317L)
|
|
|
DELAY IN MAKING DISCLOSURE OF INITIATION OF ARBITRATION PROCEEDINGS AND PASSING OF ORDER BY SINGAPORE INTERNATIONAL ARBITRATION CENTRE (SIAC) VIOLATING REGULATIONS 4(1)(D), 4(1)(E), 30(3), 30(4)(I)(A), 30(4)(I)(B), 30(6), 30(7) AND 30(11) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE OF INITIATION OF ARBITRATION PROCEEDINGS AND PASSING OF ORDER BY SINGPORE INTERNATIONAL ARBITRATION CENTRE (SIAC) VIOLATING CLAUSE 4 OF SCHEDULE A OF SEBI (PIT) REGULATIONSA, 2015
|
IMPOSED PENALTY RS.5,00,000
14-MAR-2022
|
SEBI VIDE ITS NOTICE DATED 22/06/2022 DIRECTED TO PAY RS.5,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 11/07/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 02/11/2022 DISMISSED THE APPEAL AS WITHDRAWN. NO COSTS
SEBI VIDE ITS ORDER DATED 16/11/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4958 OF 2022 DATED 22/06/2022
|
| 152 |
|
|
FUTURE RETAIL LTD.
(PAN:AADCB1093N)
|
|
|
DELAY IN MAKING DISCLOSURE OF INITIATION OF ARBITRATION PROCEEDINGS VIOLATING REGULATIONS 30(3) AND 30(6) OF SEBI (LODR) REGULATIONS, 2015
INADEQUATE AND DELAYED DISCLOSURE OF INTERIM ORDER OF SINGAPORE INTERNATIONAL ARBITRATION CENTRE (SIAC) VIOLATING REGULATIONS 4(1)(D), 4(1)(E), 30(3), 30(6) 30(4)(I)(A), 30(4)(I)(B), 30(7) AND 30(11) OF SEBI (LODR) REGULATIONS, 2015 READ WITH CIRCULAR DATED 09/09/2015
DELAY IN MAKING DISCLOSURE OF INITIATION OF ARBITRATION PROCEEDINGS AND PASSING OF ORDER BY SINGPORE INTERNATIONAL ARBITRATION CENTRE (SIAC) VIOLATING CLAUSE 4 OF SCHEDULE A OF SEBI (PIT) REGULATIONSA, 2015
|
IMPOSED PENALTY RS.10,00,000
24-APR-2025
|
|
| 153 |
|
|
FUTURE RETAIL LTD.
(PAN:AADCB1093N)
|
|
|
|
C.P.TOSHNIWAL
PAN:ABZPT0231G
|
|
|
KISHORE BIYANI
PAN:AACPB0199B
|
|
|
RAKESH BIYANI
PAN:AAEPB3651L
|
|
DID NOT SEEK APPROVAL FROM AUDIT COMMITTEE OF FUTURE RETAIL LTD. FOR THE RECEIPT OF RS.1,347 CRORE FROM FUTURE ENTERPRISES LTD. AND RS.521 CRORE FROM BASUTI SALES & SERVICES PVT.LTD. VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FUTURE RETIAL LTD.
DID NOT OBTAIN APPROVAL FROM SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FUTURE RETIAL LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT OF FUTURE RETAIL LTD. VIOLATING REGULATION 34(3) READ WITH CLAUSE 1 OF PART A OF SCHEDULE V AND REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 AND PARA 19 OF IND AS 24 IN MATTER OF FUTURE RETIAL LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTIES AND RELATED PARTY TRANSACTIONS IN ANNUAL REPORTS VIOLATION REGULATION 34(3) READ WITH CLAUSE 1 OF PART A OF SCHEDULE V AND REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH PARA 9 OF IND AS 24 IN MATTER OF FUTURE RETIAL LTD.
|
IMPOSED PENALTY RS.50,00,000
12-MAY-2026
|
|
| 154 |
|
|
FUTUREFONE LTD.
(PAN:AACCF9307N)
|
|
|
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
DID NOT SUBMIT COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATION 7(3) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DID NOT SUBMIT STATEMENT OF INVESTOR'S COMPLAINTS TO STOCK EXCHANGES VIOLATING REGULATION 13(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PRIOR INTIMATE STOCK EXCHANGES THE DUE DATE OF INTEREST ON DEBENTURES & BONDS AND REDEMPTION AMOUNT OF REDEEMABLE SHARES OR DEBENTURES AND BONDS VIOLATING REGULATION 50(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT INTIMATE STOCK EXCHANGE ALL THE INFORMATION HAVING BEARING ON THE PERFORMANCE/OPERATION OF THE COMPANY VIOLATING REGULATION 51(1) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF LINE ITEMS WHILE SUBMITTING FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT CERTIFICATE SIGNED BY DEBENTURE TRUSTEE TO STOCK EXCHANGES NCDS VIOLATING REGULATION 52(5) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PUBLISH FINANCIAL RESULTS AND STATEMENT IN AT LEAST ONE ENGLISH NATIONAL DAILY NEWSPAPER WITHIN TWO CALENDAR DAYS OF CONCLUSION OF MEETING OF BOARD OF DIRECTORS VIOLATING REGULATION 52(8) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAINTAIN HUNDRED PERCENT ASSET COVER OR ASSET COVER AS PER TERMS OF OFFER DOCUMENT/INFORMATION MEMORANDUM AND/OR DEBENTURE TRUST DEED, SUFFICIENT TO DISCHARGE PRINCIPAL AMOUNT AT ALL TIMES FOR THE NON-CONVERTIBLE DEBT SECURITIES ISSUE VIOLATING REGULATION 54(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT HALF YEARLY CERTIFICATE FROM STATUTORY AUDITOR TO DEBENTURE TRUSTEE VIOLATING REGULATION 56(1)(D) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT CERTIFICATE TO STOCK EXCHANGES WITHIN TWO DAYS OF INTEREST/PRINCIPAL OF BECOMING DUE IN RESPECT OF NCDS VIOLATING REGULATION 57(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PROVIDE UNDERTAKING BY DEBENTURE TRUSTEE TO STOCK EXCHANGES VIOLATING REGULATION 57(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAINTAIN FUNCTIONAL WEBSITE WITH REQUISITE INFORMATION VIOLATING REGULATION 62 OF SEBI (LODR) REGULATIONS, 2015
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IMPOSED PENALTY RS.4,00,000
30-AUG-2022
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| 155 |
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G.V.FILMS LTD.
(CIN:L92490MH1989PLC238780
PAN:AAACG2118C)
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BALAKUMAR VETHAGIRI GIRI
PAN:AADPG2683A
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DINESH MOHAN NAIK
PAN:ACAPN2393M
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NAVALPAKKAM KUPPAN RAJENDIRAN
PAN:AAFPR1465F
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SAIDAPET PACHAI DHANARAJ
PAN:AACPD6781H
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SHIVKUMAR BHANUPRATAP SINGH
PAN:AKIPS3532R
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SUDHAKAR MALLAPPA SHETTY
PAN:ALPPS0603R
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SURESH BOMMAYYA AMIN
PAN:ADGPA3896H
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THANGAVELU PITCHANDI
PAN:AAEPP5258M
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INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF G.V.FILMS LTD. & SUBSIDIARIES VIOLATING REGULATIONS 4(1)(A), (B), (C), (E) AND (G) OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF G.V.FILMS LTD.
DID NOT FURNISH INFORMATION SOUGHT BY FORENSIC AUDITOR
DID NOT ADHERE TO LISTING AGREEMENT VIOLATING SECTION 21 OF SCRA, 1956
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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 26-AUG-2022 TO 06-JAN-2023
IMPOSED PENALTY RS.11,00,000
26-AUG-2022
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SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND REDUCED DEBARMENT PERIOD FROM ONE YEAR TO PERIOD UNDERGONE AND REDUCED PENALTY AMOUNT TO RS.20 LAC FROM RS.30 LAC
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| 156 |
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GENIE COMMERCIAL VENTURES PVT.LTD.
(PAN:AAGCG0941H)
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DID NOT SUBMIT FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT FINANCIAL RESULT AND LINE ITEMS WITH PRESCRIBED TIME VIOLATING REGULATIONS 52(1) READ WITH 52(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT CERTIFICATE SIGNED BY DEBENTURE TRUSTEE TO STOCK EXCHANGES IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATIONS 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015
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IMPOSED PENALTY RS.3,00,000
25-JAN-2021
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SEBI VIDE ITS NOTICE DATED 31/05/2021 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 04/08/2021 DIRECTED ALL THE BANKS TO REMIT RS.3,19,839.00 TO THE EXTENT LYING IN THE ACCOUNT OF GENIE COMMERCIAL VENTURES PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 20/08/2021 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 31/05/2021
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| 157 |
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GENSOL ENGINEERING LTD.
(CIN:L74210GJ2012PLC129176
PAN:AAECG9092M)
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ANMOL SINGH JAGGI
PAN:AGNPJ4504B
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PUNEET SINGH JAGGI
PAN:AHRPJ5583B
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MISUTILISED AND DIVERTED FUNDS BY SUBMITTING FORGED CONDUCT LETTERS PURPORTEDLY ISSUED BY ITS LENDERS VIOLATING SECTIONS 12A(A) 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 GENSOL ENGINEERING LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS UNDER REGULATIONS 4 AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF GENSOL ENGINEERING LTD.
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DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-APR-2025 UNTIL FURTHER ORDERS
DIRECTED SEBI TO APPOINT FORENSIC AUDITOR TO EXAMINE BOOKS OF ACCOUNTS
DIRECTED TO HOLD THE STOCK SPLIT ANNOUNCEMENT
15-APR-2025
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SAT: SAT VIDE ITS ORDER DATED 07/05/2025 GRANTED APPELLANT TWO WEEKS TO FILE REPLY AND SEBI TO HEAR THE APPELLANT WITHIN TWO WEEKS THEREFROM. UPON COMPLETION OF HEARING SEBI TO PASS APPROPRIATE ORDER WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND REJECTED PRAYER FOR STAY OF PARAGRAPH NOS. 96(B) AND 96(D)
SEBI VIDE ITS ORDER DATED 30/07/2025 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 15/04/2025
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| 158 |
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GENUS PRIME INFRA LTD.
(PAN:AABCG3955E)
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ALLEGED VIOLATION OF REGULATION 38 OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
ALLEGED VIOLATION OF RULE 19A OF SCRA RULES, 1956
ALLEGED FAILURE IN MAINTAINING MINIMUM PUBLIC SHAREHOLDING VIOLATING REGULATION 7(4) OF SAST REGULATIONS, 2011
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,92,000 VIDE CONSENT ORDER)
23-JAN-2020
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|
| 159 |
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GINNI FILAMENTS LTD.
(CIN:L71200UP1982PLC012550
PAN:AABCG0942K)
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DID NOT SUBMIT NO DEFAULT STATEMENT (NDS) TO CREDIT RATING AGENCIES VIOLATING REGULATION 8 OF SEBI (LODR) REGULATIONS 2015 READ WITH CLAUSE 1(A) AND/OR CLAUSE 1(C) OF SEBI CIRCULAR DATED 30/06/2017
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IMPOSED PENALTY RS.1,00,000
19-JUN-2024
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SAT: SAT VIDE ITS ORDER DATED 27/08/2024 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/01/2025 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
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| 160 |
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GITANJALI GEMS LTD.
(PAN:AAACG1642F)
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DHANESH VRAJLAL SHETH
PAN:AAEPS3776M
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MEHUL CHINUBHAI CHOKSI
DIN:00060099
PAN:AABPC1451E
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DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING WITHDRAWAL OF CREDIT LIMITS BY PNB VIOLATING REGULATIONS 30(1) READ WITH 30(2) AND 30(6) READ WITH CLAUSE 6 OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING SUDDEN OBLIGATION TO REPAY RS.1045.88 CRORES VIOLATING REGULATIONS 30(1) READ WITH 30(12) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING VARIOUS SUBSEQUENT DEVELOPMENTS VIZ. CBI’S SUBMISSION TO SPECIAL COURT, FILING OF FIR AND VISIT OF OFFICIAL OF CBI AND ED TO ITS OFFICE VIOLATING REGULATIONS 30(1) READ WITH 30(7) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING VARIOUS LITIGATIONS AND ACTIONS BY ENFORCEMENT AGENCIES VIOLATING REGULATIONS 30(1), 30(2), 30(4)(I) AND 30(6) READ WITH CLAUSE 8 OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES IN RESIGNATION OF KEY MANAGERIAL PERSONS VIOLATING REGULATIONS 30(1), 30(2) AND 30(6) READ WITH CLAUSE 7 OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES IN RESPECT OF DELAY IN PAYMENT OF INTEREST AND PRINCIPAL AMOUNT TO LIC ON NCDS VIOLATING REGULATIONS 30(1), 30(2) AND 30(6) READ WITH CLAUSE 2 OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
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IMPOSED PENALTY RS.5,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-FEB-2020
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SEBI VIDE ITS ORDER DATED 17/03/2022 DIRECTED ALL THE BANKS TO REMIT RS.6,23,13,329.00 TO THE EXTENT LYING IN THE ACCOUNT OF GITANJALI GEMS LTD., MR.MEHUL CHINUBHAI CHOKSI & MR.DHANESH VRAJLAL SHETH TO SEBI BY WAY OF EFT/NEFT/RTGS
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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 8 of 27
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