| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
GKB OPHTHALMICS LTD.
(PAN:AAACG7070R)
|
|
|
MADE INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF ERSTWHILE EQUITY LISTING AGREEMENT (EFFECTIVE TILL 30/11/2015 AND REGULATION 31(1) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.10,00,000
29-JUL-2022
|
|
| 162 |
|
|
GLOBAL SECURITIES LTD.
(CIN:L67120GJ1994PLC021269
PAN:AACCG3465C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGE VIOLATING CLAUSES 35 OF LISTING AGREEMENT READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGE VIOLATING SECTION 21 OF SCRA, 1956 AND CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 103 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,00,000
18-DEC-2020
|
SEBI VIDE ITS NOTICE DATED 20/02/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.4,18,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 163 |
|
|
GLUHEND INDIA PVT.LTD.
(PAN:AAHCG1238N)
|
|
|
DELAY IN SUBMISSION OF HALF YEARLY UNAUDITED FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
26-FEB-2021
|
|
| 164 |
|
|
GO INVESTMENTS & TRADING PVT.LTD.
(PAN:AACCS2156G)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 165 |
|
|
GOLD LINE INTERNATIONAL FINVEST LTD.
(CIN:L74899DL1992PLC050250
PAN:AACCG6377M)
|
|
|
|
MAHENDRA SINGH
PAN:BVPPS4067J
|
|
MISUTILISED FUNDS RAISED THROUGH PREFERENTIAL ISSUE 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 READ WITH SECTION 27(2) OF SEBI ACT, 1992 IN MATTER OF GOLD LINE INTERNATIONAL FINVEST LTD.
CARRIED OUT INVALID RATIFICATION OF UTILIZATION OF FUNDS RAISED THROUGH PREFERENTIAL ALLOTMENT 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 READ WITH SECTION 27(2) OF SEBI ACT, 1992 IN MATTER OF GOLD LINE INTERNATIONAL FINVEST LTD.
DID NOT DISCLOSE STATEMENT OF VARIATION BETWEEN PROJECTED UTILIZATION AND ACTUAL UTILIZATION OF FUNDS RAISED THROUGH PREFERENTIAL ISSUE VIOLATING CLAUSE 43 OF LISTING AGREEMENT READ WITH REGULATION 32 OF SEBI (LODR) REGULATIONS READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF GOLD LINE INTERNATIONAL FINVEST LTD.
|
IMPOSED PENALTY RS.11,00,000
28-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 04/12/2023 DISMISSED THE APPEAL AND AFFIRMED THE PENALTY IMPOSED UPON THE COMPANY
SEBI VIDE ITS NOTICE DATED 16/01/2024 DIRECTED TO PAY RS.11,89,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 166 |
|
|
GOLDEN TOBACCO LTD.
(PAN:AAACG1421A)
|
|
|
|
PAWAN KUMAR MALSARIA
PAN:AGTPM5827G
|
|
ISSUED FALSE AND MISLEADING CERTIFICATE CERTIFYING FINANCIALS VIOLATING REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATION, 2015 IN MATTER OF GOLDEN TOBACCO LTD.
|
IMPOSED PENALTY RS.8,00,000
27-APR-2026
|
|
| 167 |
|
|
GOLDEN TOBACCO LTD.
(PAN:AAACG1421A)
|
|
|
|
ANURAG DALMIA
PAN:AADPD9439P
|
|
|
ASHOK KUMAR JOSHI
PAN:AAGPJ4277Q
|
|
|
SANJAY DALMIA
PAN:AADPD9438N
|
|
DIVERTED FUND IN DISGUISE OF TRANSFERS FOR LAND DEVELOPMENT AND FURTHER TRANSFER TO PROMOTER RELATED ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GOLDEN TOBACCO LTD.
MISREPRESENTED FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS3(B) TO 3(D), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GOLDEN TOBACCO LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATIONS 33(2)(A) AND 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF GOLDEN TOBACCO LTD.
MISREPRESENTED FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(II)(6)(7)(8),4(2)(F)(III) (3)(6) (12), 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 AND CLAUSE 49(V) OF LISTING AGREEMENT READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF GOLDEN TOBACCO 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 29-AUG-2025 TO 28-AUG-2027
IMPOSED PENALTY RS.60,00,000
29-AUG-2025
|
|
| 168 |
|
|
GRETEX CORPORATE SERVICES LTD.
(CIN:L74999MH208PLC288128
PAN:AACCD9875F)
|
|
|
DID NOT SUBMIT STATEMENT OF DEVIATION AND VARIATION TO STOCK EXCHANGES DESPITE NOT USING ISSUE PROCEEDS AS PER THE PURPOSE FOR WHICH THESE WERE RAISED VIOLATING REGULATION 32 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF ACQUISITION OF SHARES IN A PRIVATE COMPANY VIOLATING REGULATION 30 OF SEBI (LODR) REGULATIONS, 2015 READ WITH ANNEXURE 1 OF SEBI CIRCULAR DATED 09/09/2015
|
IMPOSED PENALTY RS.20,00,000
27-JUN-2025
|
|
| 169 |
|
|
GYSCOAL ALLOYS LTD.
(PAN:AAECS6731M)
|
|
|
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING ARREST OF THEIR PROMOTER MR.VIRAL SHAH
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING DEFAULT IN REPAYMENT OF LOAN AVAILED FROM SBI
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING NCLT APPLICATION DATED 10/06/2020 FILED BY SBI
|
IMPOSED PENALTY RS.2,00,000
02-APR-2025
|
|
| 170 |
|
|
HEERA HOLDINGS & LEASING PVT.LTD.
(PAN:AAACH7902B)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 171 |
|
|
HERO FINCORP LTD.
(PAN:AAACH0157J)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF CLAUSE 29A(A) AND (C) OF DEBT LISTING AGREEMENT DATED 24/11/2012 READ WITH SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,90,000 VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 172 |
|
|
HEXA TRADEX LTD.
(PAN:AACCH5334B)
|
|
|
ALLEGED FAILURE IN DISCLOSING APPLICANT 4 AS PART OF PROMOTER GROUP VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
ALLEGED FILING OF INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN BY INCLUDING APPLICANT 4 AS PUBLIC SHAREHOLDER VIOLATING CLAUSE 35 OF READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,48,550 VIDE CONSENT ORDER)
01-DEC-2023
|
|
| 173 |
|
|
HIKAL LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF INFORMATION TO STOCK EXCHANGES RELATED TO SEVEN EVENTS OF ILLEGAL DISCHARGE OF A HAZARDOUS CHEMICAL VIOLATING REGULATIONS 4(1)(C), 4(1)(E), 4(1)(I) AND 4(1)(J) READ WITH 30(3) AND 30(4) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN GIVING ADEQUATE AND TIMELY DISCLOSURES TO STOCK EXCHANGES RELATED TO SEVEN EVENTS OF ILLEGAL DISCHARGE OF A HAZARDOUS CHEMICAL VIOLATING REGULATIONS 4(1)(D) AND 4(1)(E) READ WITH 30(12) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN GIVING ADEQUATE AND TIMELY DISCLOSURES TO STOCK EXCHANGES RELATED TO SEVEN EVENTS OF ILLEGAL DISCHARGE OF A HAZARDOUS CHEMICAL VIOLATING REGULATIONS 4(1)(D), 4(1)(E), 30(3), 30(4) AND 30(7) READ WITH CLAUSE 8 OF PARA B OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 AND SEBI CIRCULAR NO.CIR/CFD/CMD/4/2015 DATED 09/09/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.43,97,250 VIDE CONSENT ORDER)
28-NOV-2024
|
|
| 174 |
|
|
HINDUSTAN CLEANENERGY LTD.
|
|
|
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
|
IMPOSED PENALTY RS.5,00,000
19-JUN-2024
|
|
| 175 |
|
|
HINDUSTAN FOODS LTD.
(PAN:AAACH4581J)
|
|
|
ALLEGED FAILURE IN COMPLIANCE WITH THE REQUIREMENTS OF INDEPENDENT DIRECTORS VIOLATING REGULATION 17(1)(B) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FILING OF INCORRECT CORPORATE GOVERNANCE REPORTS TO STOCK EXCHANGES VIOLATING REGULATION 27(2) READ WITH 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.24,32,000 VIDE CONSENT ORDER)
10-OCT-2023
|
|
| 176 |
|
|
HIT KIT GLOBAL SOLUTIONS LTD.
(CIN:L70100MH1988PLC049929
PAN:AAACR2929Q)
|
|
|
|
AMIT KHANDELWAL
PAN:AGTPK7842F
|
|
|
ARVIND SHARMA
PAN:CYIPS4924F
|
|
|
KIRAN NAGPAL
PAN:AJRPN9765H
|
|
|
PAVAN KALE
PAN:BDFPK5818R
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF HIT KIT GLOBAL SOLUTIONS LTD. VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(1)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OFHIT KIT GLOBAL SOLUTIONS LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF HIT KIT GLOBAL SOLUTIONS 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 28-FEB-2022 TO 27-AUG-2022
IMPOSED PENALTY RS.6,00,000
28-FEB-2022
|
|
| 177 |
|
|
HIT KIT GLOBAL SOLUTIONS LTD.
(CIN:L70100MH1988PLC049929
PAN:AAACR2929Q)
|
|
|
|
KAMAL AGRAWAL
PAN:AABPA1245Q
|
|
|
RAJESH PURSHOTTAM MAVANI
PAN:AHQPM0165R
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF HIT KIT GLOBAL SOLUTIONS LTD. VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), (E) AND (G), 30(4)(II) AND 48 OF SEBI (LODR) REGULATIONS, 2015
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF HIT KIT GLOBAL SOLUTIONS LTD. VIOLATING SECTION 21 OF SCRA, 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 28-FEB-2022 TO 27-FEB-2023
IMPOSED PENALTY RS.25,00,000
28-FEB-2022
|
SEBI VIDE ITS ORDER DATED 07/06/2022 DIRECTED TO PAY RS.42,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 24/06/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE APPLICATION. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 11/08/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 13/09/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 19/07/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.15 FROM RS.35 LAC U/S 15HB OF SEBI ACT.
SEBI VIDE ITS NOTICE DATED 27/07/2023 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 19/07/2023
|
| 178 |
|
|
HUBTOWN LTD.
(PAN:AAACA6101D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES OF ACQUISITION OF 51% STAKE IN E-COMMERCE VIOLATING REGULATIONS 30(2) AND 30(6) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN MAKING ADEQUATE, ACCURATE AND EXPLICIT DISCLOSURE TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D) AND 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,91,415 VIDE CONSENT ORDER)
25-MAY-2022
|
|
| 179 |
|
|
HUBTOWN LTD.
(PAN:AAACA6101D)
|
|
|
DELAYED AND INADEQUATE DISCLOSURE OF LOAN REPAYMENT DEFAULT AND OF BEING CATEGORIZED AS NON-PERFORMING ASSETS BY DENA BANK VIOLATING CLAUSE 6 OF PARA A OF PART A OF SCHEDULE III READ WITH REGULATION 30(6) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,00,000
31-AUG-2023
|
|
| 180 |
|
|
ICICI BANK LTD.
(PAN:AAACI1195H)
|
|
|
ALLEGED FAILURE IN PROVIDING APPROPRIATE PROTECTION AGAINST VICTIMIZATION OF THE COMPLAINANT MR.SAMIR KUMAR DAS WHO WAS THE WHISTLE-BLOWER VIOLATING REGULATION 22(2) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,40,625 VIDE CONSENT ORDER)
29-JAN-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 27
|
