| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
ELTROL LTD.
(PAN:AABCE0969L)
|
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
DID NOT SUBMIT SEGMENT-WISE REPORT OF OPERATIONS OF COMPANY TO STOCK EXCHANGE
INVOLVED IN STOCK MARKET TRANSACTIONS AT NSE AS A TRADING CLIENT WITHOUT BEING LISTED ON NSE
USED PROCEEDS OF PREFERENTIAL ALLOTMENT FOR STOCK MARKET TRANSACTIONS WHICH WERE NOT RELATED TO CORE BUSINESS ACTIVITIES OF COMPANY
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-OCT-2005 TO 04-OCT-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TO 04-OCT-2010
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 05-OCT-2005 TO 04-OCT-2010
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
05-OCT-2005
|
DIRECTED TO BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES AND FROM ASSOCIATING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF FIVE YEARS FROM THE DATE OF THIS ORDER. HOWEVER PERIOD OF PROHIBITION ALREADY UNDERGONE WILL BE SET OFF
DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 05/10/2005 REVOKED VIDE ORDER DATED 28/07/2010
|
| 142 |
|
|
ELTROL LTD.
(PAN:AABCE0969L)
|
|
|
|
DEEPAK RATHOD
|
|
|
NIRAJ HARSUKHLAL SANGHAVI
PAN:ABVPS5896C
|
|
|
SANJAY G.TRIPATHI
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
DID NOT SUBMIT SEGMENT-WISE REPORT OF OPERATIONS OF COMPANY TO STOCK EXCHANGE
INVOLVED IN STOCK MARKET TRANSACTIONS AT NSE AS A TRADING CLIENT WITHOUT BEING LISTED ON NSE
USED PROCEEDS OF PREFERENTIAL ALLOTMENT FOR STOCK MARKET TRANSACTIONS WHICH WERE NOT RELATED TO CORE BUSINESS ACTIVITIES OF COMPANY
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JUL-2010 TO 14-JAN-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JUL-2010 TO 14-JAN-2011
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 15-JUL-2010 TO 14-JAN-2011
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
05-OCT-2005
|
DIRECTED TO BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES AND FROM ASSOCIATING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF SIX MONTHS FROM THE DATE OF THIS ORDER
|
| 143 |
|
|
ESSKAY TELECOM LTD.
|
|
|
|
OM PRAKASH KEDIA
|
|
|
SANDEEP KEDIA
|
|
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
|
|
| 144 |
|
|
ESTEEM BIO ORGANIC FOOD PROCESSING LTD.
(CIN:L74899DL1995PLC071220
PAN:AAACE1925D)
|
|
|
|
BRIJ KISHORE SABHARWAL
PAN:AAXPS6830P
|
|
|
VINOD KUMAR GARG
PAN:AAAPG4116B
|
|
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 SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
MISUTILIZED IPO PROCEEDS FOR REPAYING LOANS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
DID NOT ADHERE TO REGULATION 14(1) OF SEBI (ICDR) REGULATIONS, 2009
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
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF ESTEEM BIO FOOD PROCESSING LTD.
|
IMPOSED PENALTY RS.17,00,000
28-APR-2022
|
SEBI VIDE ITS NOTICE DATED 16/08/2023 DIRECTED TO PAY RS.19,90,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/09/2023 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 19/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.20,24,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 145 |
|
|
EXCELLENT COMMERCIAL ENTERPRISES & INVESTMENT 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
|
SAT: APPEAL DISPOSSED OFF WITH A DIRECTION TO SEBI TO PASS AN ORDER IN ACCORDANCE WITH LAW ON OR BEFORE 10/07/2009.NO ORDER AS TO COSTS.
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 146 |
|
|
EXELON INFRASTRUCTURE LTD.
(PAN:AAACM2862M)
|
|
|
DID NOT MAINTAIN ITS FUNCTIONAL WEBSITE VIOLATING CLAUSE 54 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES FOR THE QUARTERS ENDED DECEMBER 2014 TO SEPTEMBER 2015 VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF LISTING AGREEMENT
DID NOT SUBMIT ANNUAL REPORT TO STOCK EXCHANGES FOR YEAR 2014-15 VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 31(A) OF LISTING AGREEMENT
MADE FALSE REPRESENTATION IN NEWSPAPERS OF BUYBACK, PREFERENTIAL ALLOTMENT AND BONUS ISSUE OF SHARES OF VITAL COMMUNICATIONS LTD.
DID NOT FRAME CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING VIOLATING REGULATION 12(1) READ WITH CLAUSE 1.2 OF SCHEDULE I OF PART A OF MODEL CODE OF CONDUCT UNDER SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.1,19,00,000
28-JAN-2019
|
SEBI VIDE ITS NOTICE DATED 19/10/2020 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
|
| 147 |
|
|
FALCON TYRES LTD.
(CIN:L25114KA1973PLC002455
PAN:AAACF7258E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO CHANGE IN SHARE CAPITAL TO BSE FOR QUARTER ENDED JUNE 2012 VIOLATING CLAUSE 35 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.1,00,000
27-SEP-2018
|
|
| 148 |
|
|
FALCON TYRES LTD.
(CIN:L25114KA1973PLC002455
PAN:AAACF7258E)
|
|
|
|
DAMODAR PRASAD DHANI
PAN:ACHPD7565J
|
|
|
SUBBARATHNAM RAVI
PAN:ADEPR0817K
|
|
DID NOT ADHERE TO THE REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
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 24-MAR-2021 TO 23-SEP-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-MAR-2021 TO 23-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
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 24-MAR-2021 TO 23-SEP-2021
24-MAR-2021
|
|
| 149 |
|
|
FALCON TYRES LTD.
(CIN:L25114KA1973PLC002455
PAN:AAACF7258E)
|
|
|
|
PAWAN KUMAR RUIA
PAN:ACNPR3823K
|
|
DID NOT ADHERE TO THE REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
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 24-MAR-2021 TO 23-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
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 24-MAR-2021 TO 23-MAR-2023
24-MAR-2021
|
|
| 150 |
|
|
FALCON TYRES LTD.
(CIN:L25114KA1973PLC002455
PAN:AAACF7258E)
|
|
|
|
SUNIL BHANSALI
PAN:AKRPB5641H
|
|
DID NOT ADHERE TO THE REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
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 24-MAR-2021 TO 23-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
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 24-MAR-2021 TO 23-MAR-2022
24-MAR-2021
|
|
| 151 |
|
|
FARMAX INDIA LTD.
(PAN:AADCB1600R)
|
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (FARMAX) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(F), (K) & (R) OF PFUTP REGULATIONS, 2003
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES OF PLEDGE OF GDR PROCEEDS VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT ADHERE TO ACCOUNTING STANDARD ON CASH FLOW STATEMENT (AS-3) VIOLATING CLAUSES 32 AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.5,00,00,000
29-OCT-2020
|
SAT: SAT VIDE ITS ORDER DATED 21/03/2022 PARTLY ALLOWED THE APPEAL AND REDUCED PENALTY AMOUNT TO RS.5 CRORE FROM RS.12 CRORE
SAT: SAT VIDE ITS ORDER DATED 15/07/2022 DISMISSED THE APPEAL AS INFRUCTUOUS. NO COSTS
|
| 152 |
|
|
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
|
| 153 |
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
(PAN:AABCF9494P)
|
|
|
DID NOT SUBMIT ANNUAL REPORTS TO STOCK EXCHANGES FOR YEARS 2013 TO 2015 VIOLATING CLAUSES 31 OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT HAVE FUNCTIONAL WEBSITE DURING PERIOD OF INVESTIGATION VIOLATING CLAUSES 54 OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.2,00,000
25-JUN-2019
|
SEBI VIDE ITS NOTICE DATED 18/08/2020 DIRECTED ALL THE BANKS 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 ORDER DATED 29/03/2022 DIRECTED ALL THE BANKS TO REMIT RS.2,69,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF FINALYSIS CREDIT & GUARANTEE CO.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 154 |
|
|
FINTECH COMMUNICATIONS LTD.
|
|
|
|
BIPIN CHANDRA TRIVEDI
|
|
|
SUNIL SHAH
|
|
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
|
|
| 155 |
|
|
FINTECH COMMUNICATIONS LTD.
|
|
|
|
SUNIL SHAH
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUL-1999 TO 18-JUL-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUL-1999 TO 18-JUL-2004
19-JUL-1999
|
|
| 156 |
|
|
FIRST FINANCIAL SERVICES LTD.
(PAN:AAACF1145J)
|
|
|
|
NIRMAL SINGH MERTIA
PAN:AKHPM8437G
|
|
|
PONUSWAMMY NATARAJAN
PAN:AAAPN9499G
|
|
|
S.KRISHNA RAO
PAN:AGWPR3410R
|
|
PROVIDED WRONG AND MISLEADING INFORMATION BY NOT PROVIDING EXPLANATION REGARDING VARIATION IN PROPOSED AND ACTUAL UTILIZATION OF FUNDS IN DIRECTORS' REPORT IN ANNUAL REPORTS, EGMS AND DISCLOSE TO AUDIT COMMITTEE, USES/APPLICATIONS OF FUNDS (CAPITAL EXPENDITURE, SALES AND MARKETING, WORKING CAPITAL ETC.) ON QUARTERLY BASIS DECLARATION OF FINANCIAL RESULTS
DID NOT PROVIDE NOTICE OF EGMS, EXPLANATION REGARDING VARIATION IN PROPOSED AND ACTUAL UTILIZATION OF FUNDS IN DIRECTORS REPORT IN ANNUAL REPORTS VIOLATING CLAUSES 28 AND 43 AND SUB-CLAUSES IL(D)(5A) AND IV(D) OF CLAUSE 49 OF LISTING AGREEMENT READ WITH SECTION 21 OF THE SCRA, 1956
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH PREFERENTIAL ALLOTMENT OF EQUITY SHARES IN SCRIP OF FIRST FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.11,00,000
30-SEP-2022
|
|
| 157 |
|
|
FLORA WALL COVERINGS 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
|
|
| 158 |
|
|
FLORA WALL COVERINGS LTD.
|
|
|
|
FILIPPO UECHER
|
|
|
M.S.A.ALEEM
|
|
|
S.DEVIPRASAD
|
|
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
|
|
| 159 |
|
|
FOCUS INDUSTRIAL RESOURCES LTD.
(CIN:L15319DL1985PLC021348
PAN:AAACF1838N)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING CLAUSE 35(B) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,00,000
14-MAR-2019
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2021 DISMISSED THE APPLICATION FOR DELAY OF CONDONATION AND ALSO DISMISSED THE APPEAL
|
| 160 |
|
|
FOSECO (UK) LTD.
(PAN:AABCF9403C)
|
|
|
ALLEGED INDULGENCE IN IRREGULAR TRANSACTONS VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN THE MATTER OF FOSECO INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,82,795 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
27-OCT-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 8 of 28
|
