| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
ANUPAMA COMMUNICATION PVT.LTD.
(CIN:U32300DL1996PTC076122
PAN:AACCA4565H)
|
|
|
USED OWN FUNDS INDIRECTLY FOR SUBSCRIPTION OF ITS OWN EQUITY SHARES IN PREFERENTIAL ALLOTMENT
MISLED PUBLIC AND STOCK EXCHANGES BY PROVIDING WRONG INFORMATION OF NUMBER AND IDENTITIES OF PREFERENTIAL ALLOTTEES
MISLED INVESTORS BY MAKING FALSE ANNOUNCEMENT OF BUY BACK OF SHARES
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VITAL COMMUNICATIONS LTD.
DID NOT MAKE OPEN OFFER TO ACQUIRE SHARES FROM PUBLIC VIOLATING REGULATIONS 10 AND 11 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VITAL COMMUNICATIONS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-NOV-2018 TO 12-NOV-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-NOV-2018 TO 12-NOV-2023
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
DIRECTED NOT TO GIVE EFFECT TO TRANSFER OF ANY SHARES ACQUIRED AND HELD BY PREFERENTIAL ALLOTTEES IN PREFERENTIAL ALLOTMENT
RESTRAINED PREFERENTIAL ALLOTTEES FROM EXERCISING ANY VOTING RIGHTS (THROUGH NOMINEE OR PROXY) OR OTHER RIGHTS ATTACHED TO SHARES ACQUIRED AND HELD IN PREFERENTIAL ALLOTMENT FROM 13-NOV-2018 TO 12-NOV-2023
31-JUL-2014
DIRECTED TO DISGORGE RS.4,55,91,232 ALONG WITH OTHER ENTITIES/PERSONS
28-SEP-2018
|
SEBI VIDE ITS ORDER DATED 28/09/2018 DIRECTED TO 1) DISGORGE WRONGFUL GAIN OF RS.4,55,91,232.00 ALONG WITH INTEREST @ 10% P.A. FROM 01/08/2002 TILL DATE OF PAYMENT WITHIN 45 DAYS FROM DATE OF RECEIPT OF THIS ORDER 2) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF FIVE YEARS FROM END OF THE TIME OF 45 DAYS
SEBI VIDE ITS NOTICE DATED 27/01/2022 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 22/05/2019
SEBI VIDE ITS NOTICE DATED 22/05/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 142 |
|
|
ANURAG TRADING LEASING & INVESTMENT CO.PVT.LTD.
(PAN:AABCA0964D)
|
|
|
REPORTED INFLATED SHAREHOLDING OF PROMOTERS IN MATTER OF GHCL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GHCL LTD.
|
IMPOSED PENALTY RS.56,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-OCT-2013
|
SAT: SAT VIDE ITS ORDER DATED 31/07/2014 QUASHED AND SET ASIDED PENALTY OF RS.2 LACS IMPOSED ON EACH OF THE APPELLANTS FOR VIOLATION OF REGULATION 7(1A) OF SAST REGULATIONS
|
| 143 |
|
|
ANURODH MERCHANDISE PVT.LTD.
(PAN:AAGCA9277N)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 12 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF FIRST FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-SEP-2022
|
|
| 144 |
|
|
ANURODH MERCHANDISE PVT.LTD.
(PAN:AAGCA9277N)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 12 READ WITH 14(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF FIRST FINANCIAL SERVICES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
09-DEC-2019
|
|
| 145 |
|
|
AON MINET PENSION SCHEME
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) READ WITH 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF CAMBRIDGE SOLUTIONS LTD. (NOW KNOWN AS XCHANGING SOLUTIONS LTD.)
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CAMBRIDGE SOLUTIONS LTD. (NOW KNOWN AS XCHANGING SOLUTIONS LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.23,13,776 VIDE CONSENT ORDER)
26-AUG-2015
|
|
| 146 |
|
|
APHAR INVESTMENTS PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.3,43,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2002
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.1,02,000 FROM RS.3,43,000
|
| 147 |
|
|
APOLLO INFRATECH PVT.LTD.
(PAN:AAGCA1019A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF GUJARAT APOLLO INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GUJARAT APOLLO INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
24-DEC-2019
|
|
| 148 |
|
|
APOORVA EXTRUSION PVT.LTD.
|
|
|
VIOLATED SEBI TAKEOVER REGULATIONS IN MATTER OF FLEX INDUSTRIES LTD.
|
IMPOSED PENALTY RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JAN-2005
|
|
| 149 |
|
|
APOORVA EXTRUSION PVT.LTD.
|
|
|
ACQUIRED 80,00,000 EQUITY SHARES REPRESENTING 16.30% OF ENHANCED VOTING CAPITAL PURSUANT TO CONVERSION OF WARRANTS ALLOTTED ON NOVEMBER 29, 2001 ON PREFERENTIAL BASIS. APOORVA EXTRUSION PVT. LTD. (ALSO BELONGING TO PROMOTER GROUP) HAD ALSO SIMILARLY ACQUIRED 20,00,000 EQUITY SHARES REPRESENTING 4.07% OF ENHANCED VOTING CAPITAL ON JUNE 2, 2003. AS A RESULT OF THE SAID ACQUISITION THE COLLECTIVE SHAREHOLDING OF FLEX INTERNATIONAL PVT. LTD. AND APOORVA EXTRUSION PVT.LTD. INCREASED BY 20.37% (FROM 0.03% TO 20.40%) OF THE VOTING SHARE CAPITAL
DID NOT MAKE PUBLIC ANNOUNCEMENT TO ACQUIRE 20% OF THE VOTING CAPITAL
|
LAUNCHED ADJUDICATION PROCEEDINGS
IMPOSED LOCK-IN ON SHARES ALLOTTED THROUGH CONVERSION OF WARRANTS
25-AUG-2004
|
|
| 150 |
|
|
APURVA COMMODITIES PVT.LTD.
(CIN:U51220MH2007PTC170874
PAN:AAGCA3264P)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF KWALITY CREDIT & LEASING LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-MAR-2014
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 151 |
|
|
APURVA COMMODITIES PVT.LTD.
(CIN:U51220MH2007PTC170874
PAN:AAGCA3264P)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KWALITY CREDIT & LEASING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
04-MAR-2015
|
|
| 152 |
|
|
APW PRESIDENT SYSTEMS LTD.
(PAN:AADCA1163G)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES FOR YEAR 1997 AS REQUIRED UNDER REGULATIONS 6(4) AND FOR YEARS 2004, 2005 AND 2007 TO 2010 AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,50,000 VIDE CONSENT ORDER)
08-JUL-2011
|
|
| 153 |
|
|
AQUARIUS STEELS PVT.LTD.
|
|
|
|
ANUPAM KUMAR AGARWAL
|
|
|
GOPAL VIJAY
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
V.K.AGARWAL
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 154 |
|
|
ARADHANA MOTORS PVT.LTD.
(PAN:AABCA4166D)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAILASH AUTO FINANCE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAILASH AUTO FINANCE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAILASH AUTO FINANCE LTD.
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-MAR-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 155 |
|
|
ARANKARI RISK MANAGEMENT SERVICES PVT.LTD.
(PAN:AACCA7537R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-AUG-2013
|
|
| 156 |
|
|
ARAVALI HOUSING & FINANCE PVT.LTD.
|
|
|
|
RAJKUMAR C.BASANTANI
PAN:AESPB2834F
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 157 |
|
|
ARCH PHARMALABS LTD.
(PAN:AACCM0306Q)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES UNDER REGULATIONS 6(2),6(4) FOR YEAR 1997 AND 8(3) FOR YEARS 1998 TO 2002 OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,75,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
11-MAY-2009
|
|
| 158 |
|
|
ARCHANA FIBRES PVT.LTD.
(CIN:U74899DL1980PTC011032)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) READ WITH 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HIMACHAL FIBRES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HIMACHAL FIBRES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,18,725 VIDE CONSENT ORDER)
26-MAR-2018
|
|
| 159 |
|
|
ARCHANA SOFTWARE LTD.
(PAN:AAACS9087L)
(Along with : SANKAR HOMES PVT.LTD.)
|
|
|
|
D.RAVISANKAR
|
|
|
K.R.JAIN
|
|
|
R.RAJASANKAR
|
|
|
R.VALLABAI
|
|
|
S.DURAI
|
|
|
V.P.RAMANATHAN
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ARCHANA SOFTWARE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ARCHANA SOFTWARE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ARCHANA SOFTWARE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF ARCHANA SOFTWARE LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-DEC-2015
|
|
| 160 |
|
|
ARCHANA SOFTWARE LTD.
(PAN:AAACS9087L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,22,750 VIDE CONSENT ORDER)
26-NOV-2014
|
|
| 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 114
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