| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
EMKAY CONSULTANTS LTD.
|
|
|
|
DIPAK KUMAR SINGH
PAN:AMAPS1805K
|
|
|
LAXMI SINGH
PAN:ALXPS7786D
|
|
|
YASH SINGH
PAN:EZFPS4754H
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 31A(5) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF EMKAY CONSULTANTS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1), 3(2) AND 4 OF SAST REGULATIONS, 2011 IN MATTER OF EMKAY CONSULTANTS LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-NOV-2025
|
|
| 142 |
|
|
EMMBI INDUSTRIES LTD.
(PAN:AAACE3423G)
|
|
|
ALLEGED TO SHOW DIRECTOR AS AN INDEPENDENT DIRECTOR IN CORPORATE GOVERNANCE REPORT VIOLATING REGULATION 16(1)(B)(III) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED INCLUSION OF INDEPENDENT DIRECTOR IN THE LIST OF PROMOTER AND PROMOTER GROUP IN SHAREHOLDING PATTERN REPORT VIOLATING REGULATION 31(1)(B) READ WITH REGULATION 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,35,000 VIDE CONSENT ORDER)
16-OCT-2025
|
|
| 143 |
|
|
ERA INFRA ENGINEERING LTD.
(CIN:L74899DL1990PLC041350
PAN:AAACE1268K)
|
|
|
DID NOT SUBMIT COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATIONS 40(10) READ WITH 40(9) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATION 7(3) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DELAY IN SUBMISSION OF COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATION 7(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT STATEMENT OF INVESTOR'S COMPLAINTS TO STOCK EXCHANGES VIOLATING REGULATION 13(3) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.6,00,000
24-APR-2020
|
|
| 144 |
|
|
ESKAY K'N'IT (INDIA) LTD.
(CIN:L18109DN1987PLC000034
PAN:AABCS1363G)
|
|
|
MISREPRESENTED FINANCIALS AND/OR BUSINESS AND MISUSED FUNDS/BOOKS OF ACCOUNTS OF ESKAY AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 8, 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ESKAY K'N'IT (INDIA) LTD.
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
DID NOT FURNISH INFORMATION SOUGHT BY FORENSIC AUDITOR
|
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 17-FEB-2020 TO 16-FEB-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.40,00,000
11-AUG-2021
|
|
| 145 |
|
|
ESKAY K'N'IT (INDIA) LTD.
(CIN:L18109DN1987PLC000034
PAN:AABCS1363G)
|
|
|
|
NARAYAN RAMCHANDRA GHUMATKAR
DIN:01717979
PAN:AKKPG0652L
|
|
|
NEHA NILESH PATIL
PAN:AMDPP3594P
|
|
|
TRIVENDRA SHAMBHU SINGH
PAN:BEEPS9764J
|
|
MISREPRESENTED FINANCIALS AND/OR BUSINESS AND MISUSED FUNDS/BOOKS OF ACCOUNTS OF ESKAY AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 8, 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ESKAY K'N'IT (INDIA) LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL EVENT TO STOCK EXCHANGES VIOLATING REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ESKAY K'N'IT (INDIA) 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 11-AUG-2021 TO 10-AUG-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.33,00,000
11-AUG-2021
|
|
| 146 |
|
|
ESKAY K'N'IT (INDIA) LTD.
(CIN:L18109DN1987PLC000034
PAN:AABCS1363G)
|
|
|
|
MANMOHAN AHLUWALIA
PAN:AGDPA0642F
|
|
|
NARESH CHANDRA SHARMA
PAN:ADWPS6154J
|
|
MISREPRESENTED FINANCIALS AND/OR BUSINESS AND MISUSED FUNDS/BOOKS OF ACCOUNTS OF ESKAY AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 8, 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ESKAY K'N'IT (INDIA) 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 11-AUG-2021 TO 10-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.5,00,000
11-AUG-2021
|
|
| 147 |
|
|
ESSAR STEEL INDIA LTD.
(PAN:AAACE1741P)
|
|
|
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES DEFAULT IN PAYMENT OF INTEREST AND PRINCIPAL AMOUNT IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATION 51(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES EXPECTED DEFAULT AND/OR ACTION IN TIMELY PAYMENT OF INTEREST/PRINCIPAL IN RESPECT OF NCDS VIOLATING REGULATION 51(2) READ WITH PART B OF SCHEDULE III (CLAUSES A1, A4 AND A9) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT 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 IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATIONS 52(4) AND 52(5) 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 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
|
IMPOSED PENALTY RS.2,00,000
28-MAR-2022
|
SAT: SAT VIDE ITS ORDER DATED 01/07/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 28/03/2022. NO COSTS
|
| 148 |
|
|
EXCEL REALTY N INFRA LTD.
(PAN:AABCE1172H)
|
|
|
|
LAKHMENDRA CHAMANLAL KHURANA
PAN:AGPPK7179R
|
|
MISREPRESENTED FINANCIAL STATEMENTS BY CONTINUOUSLY SHOWING BALANCE OUTSTANDING FROM STRUCK-OFF AND DEFAULTER COMPANIES
MISUSED FUNDS AND MISREPRESENTED THROUGH LONG OUTSTANDING BALANCE OF LOAN AND ADVANCES AND NON-PROVISIONING FOR NINE YEARS
MISREPRESENTED BY NON-DISCLOSURE OF BALANCE OUTSTANDING FROM RELATED PARTIES
MISUSED AND DIVERTED FUNDS BY PROVIDING INTEREST FREE LOANS TO WHOLLY-OWNED SUBSIDIARY
ISSUED FALSE AND MISLEADING CERTIFICATE UNDER REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATION, 2015 IN MATTER OF EXCEL REALTY N INFRA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2023 TO 27-JUL-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2023 TO 27-JUL-2025
IMPOSED PENALTY RS.5,00,000
28-JUL-2023
|
|
| 149 |
|
|
EXCEL REALTY N INFRA LTD.
(PAN:AABCE1172H)
|
|
|
|
ARPIT LAKHMENDRA KHURANA
PAN:BCAPK8310C
|
|
|
LAKHMENDRA CHAMANLAL KHURANA
PAN:AGPPK7179R
|
|
|
PRAMOD YESHWANT KOKATE
PAN:ANOPK4711F
|
|
|
RANJANA KHURANA LAKHMENDRA
PAN:AGPPK7181F
|
|
MISREPRESENTED FINANCIAL STATEMENTS BY CONTINUOUSLY SHOWING BALANCE OUTSTANDING FROM STRUCK-OFF AND DEFAULTER COMPANIES
MISUSED FUNDS AND MISREPRESENTED THROUGH LONG OUTSTANDING BALANCE OF LOAN AND ADVANCES AND NON-PROVISIONING FOR NINE YEARS
MISREPRESENTED BY NON-DISCLOSURE OF BALANCE OUTSTANDING FROM RELATED PARTIES
MISUSED AND DIVERTED FUNDS BY PROVIDING INTEREST FREE LOANS TO WHOLLY-OWNED SUBSIDIARY
ISSUED FALSE AND MISLEADING CERTIFICATE UNDER REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATION, 2015 IN MATTER OF EXCEL REALTY N INFRA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2023 TO 27-JUL-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2023 TO 27-JUL-2024
IMPOSED PENALTY RS.6,00,000
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET INCLUDING AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN LISTED COMPANY OR INTERMEDIARY REGISTERED WITH SEBI OF ANY MARKET INFRASTRUCTURE INSTITUTION FROM 28-JUL-2023 TO 27-JUL-2024
28-JUL-2023
|
|
| 150 |
|
|
EXCEL REALTY N INFRA LTD.
(PAN:AABCE1172H)
|
|
|
MISREPRESENTED FINANCIAL STATEMENTS BY CONTINUOUSLY SHOWING BALANCE OUTSTANDING FROM STRUCK-OFF AND DEFAULTER COMPANIES
MISUSED FUNDS AND MISREPRESENTED THROUGH LONG OUTSTANDING BALANCE OF LOAN AND ADVANCES AND NON-PROVISIONING FOR NINE YEARS
MISREPRESENTED BY NON-DISCLOSURE OF BALANCE OUTSTANDING FROM RELATED PARTIES
MISUSED AND DIVERTED FUNDS BY PROVIDING INTEREST FREE LOANS TO WHOLLY-OWNED SUBSIDIARY
|
DIRECTED TO TAKE ALL STEPS TO BRING BACK BALANCE AMOUNT OF FUNDS OUTSTANDING FROM WHOLLY-OWNED SUBSIDIARY (WOS) OF COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2023 TO 27-JAN-2024
IMPOSED PENALTY RS.2,00,000
28-JUL-2023
|
SAT: SAT VIDE ITS ORDER DATED 26/09/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER. STAYED EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS SUBJECT TO CONDITION THAT APPELLANT WILL DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 16/04/2024 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 19/02/2026 PARTLY ALLOWED THE APPEAL BY SETTING ASIDE PENALTY U/S 15HA. QUASHED THE DIRECTIONS ISSUED IN SUB-PARA (II) TO (V) OF PARA 18 AND REDUCED PENALTY AMOUNT TO RS.2 LAC FROM RS.5 LAC U/S 15HB. NO COSTS
|
| 151 |
|
|
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
|
| 152 |
|
|
FAMILY CARE HOSPITALS LTD.
(PAN:AAACP2883M)
|
|
|
DID NOT PROVIDE ADEQUATE AND TIMELY INFORMATION TO STOCK EXCHANGE AND INVESTORS REGARDING ASSIGNMENT OF DEBT OF RS.2.11 CRORE (I.E.14.82% OF NET WORTH OF COMPANY) TO PROMOTER
GRANTED BLANKET APPROVAL TO BOARD OF DIRECTORS OF COMPANY TO ENTER INTO RELATED PARTY TRANSACTIONS UP TO RS.100 CRORE IN AGM
MADE INCORRECT DISCLOSURE OF INTEREST OF DIRECTORS/KMPS IN EXPLANATORY STATEMENT FOR RELATED PARTY TRANSACTIONS RESOLUTIONS PROPOSED IN AGM OF THE COMPANY
ALLOWED RELATED PARTIES TO VOTE TO APPROVE RESOLUTIONS OF RELATED PARTY TRANSACTIONS
PROVIDED FALSE AND INACCURATE SUBMISSIONS IN VOTING RESULTS
DID NOT PROVIDE REQUISITE INFORMATION TO SHAREHOLDERS WHILE SEEKING APPROVAL FOR RELATED PARTY TRANSACTIONS AT AGM
DID NOT OBTAIN NECESSARY APPROVAL FOR MATERIAL RELATED PARTY TRANSACTIONS FROM ITS SHAREHOLDERS VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015
SUBMITTED DEFECTIVE DISCLOSURES OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES
DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.15,00,000
21-MAR-2024
|
SEBI VIDE ITS NOTICE DATED 27/05/2024 DIRECTED TO PAY RS.15,46,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 153 |
|
|
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
|
|
| 154 |
|
|
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
|
| 155 |
|
|
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
|
|
| 156 |
|
|
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
|
| 157 |
|
|
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
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IMPOSED PENALTY RS.3,50,000
25-OCT-2021
|
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| 158 |
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FORTIS HEALTHCARE LTD.
(PAN:AAACF0987E)
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BHAVDEEP SINGH
PAN:BHHPS8103F
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GAGANDEEP SINGH BEDI
PAN:AOJPB8749L
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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.
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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 19-APR-2022 TO 18-APR-2024
IMPOSED PENALTY RS.5,00,00,000
19-APR-2022
|
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| 159 |
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FORTIS HEALTHCARE LTD.
(PAN:AAACF0987E)
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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
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DIRECTED TO TAKE NECESSARY STEPS TO RECOVER THE AMOUNT OF RS.403 CRORES (APPROX.) ALONGWITH INTEREST
17-OCT-2018
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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.)
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| 160 |
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FRASER & CO.LTD.
(PAN:AAACF3592R)
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OMKAR SHIVHARE
PAN:FYEPS5219E
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YOGEETA SHIVHARE
PAN:AMGPS8497K
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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
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IMPOSED PENALTY RS.1,00,000
14-MAY-2025
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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
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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 28
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