| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
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
|
|
| 162 |
|
|
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SAT: SAT VIDE ITS ORDER DATED 02/11/2022 DISMISSED THE APPEAL AS WITHDRAWN.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
|
| 163 |
|
|
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
|
|
| 164 |
|
|
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
|
|
| 165 |
|
|
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
|
IMPOSED PENALTY RS.4,00,000
30-AUG-2022
|
|
| 166 |
|
|
G.V.FILMS LTD.
(CIN:L92490MH1989PLC238780
PAN:AAACG2118C)
|
|
|
|
BALAKUMAR VETHAGIRI GIRI
PAN:AADPG2683A
|
|
|
DINESH MOHAN NAIK
PAN:ACAPN2393M
|
|
|
NAVALPAKKAM KUPPAN RAJENDIRAN
PAN:AAFPR1465F
|
|
|
SAIDAPET PACHAI DHANARAJ
PAN:AACPD6781H
|
|
|
SHIVKUMAR BHANUPRATAP SINGH
PAN:AKIPS3532R
|
|
|
SUDHAKAR MALLAPPA SHETTY
PAN:ALPPS0603R
|
|
|
SURESH BOMMAYYA AMIN
PAN:ADGPA3896H
|
|
|
THANGAVELU PITCHANDI
PAN:AAEPP5258M
|
|
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
|
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
|
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
|
| 167 |
|
|
GENIE COMMERCIAL VENTURES PVT.LTD.
(PAN:AAGCG0941H)
|
|
|
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
|
IMPOSED PENALTY RS.3,00,000
25-JAN-2021
|
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
|
| 168 |
|
|
GENSOL ENGINEERING LTD.
(CIN:L74210GJ2012PLC129176
PAN:AAECG9092M)
|
|
|
|
ANMOL SINGH JAGGI
PAN:AGNPJ4504B
|
|
|
PUNEET SINGH JAGGI
PAN:AHRPJ5583B
|
|
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.
|
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
|
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
|
| 169 |
|
|
GENUS PRIME INFRA LTD.
(PAN:AABCG3955E)
|
|
|
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
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,92,000 VIDE CONSENT ORDER)
23-JAN-2020
|
|
| 170 |
|
|
GINNI FILAMENTS LTD.
(CIN:L71200UP1982PLC012550
PAN:AABCG0942K)
|
|
|
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.1,00,000
19-JUN-2024
|
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
|
| 171 |
|
|
GITANJALI GEMS LTD.
(PAN:AAACG1642F)
|
|
|
|
DHANESH VRAJLAL SHETH
PAN:AAEPS3776M
|
|
|
MEHUL CHINUBHAI CHOKSI
DIN:00060099
PAN:AABPC1451E
|
|
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
|
IMPOSED PENALTY RS.5,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-FEB-2020
|
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
|
| 172 |
|
|
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
|
|
| 173 |
|
|
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
|
| 174 |
|
|
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
|
|
| 175 |
|
|
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
|
|
| 176 |
|
|
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
|
| 177 |
|
|
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
|
|
| 178 |
|
|
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
|
|
| 179 |
|
|
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
|
|
| 180 |
|
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GUILD BUILDERS PVT.LTD.
(PAN:AACCG2350E)
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JAI BHAGWAN GOEL
PAN:ACOPG6352K
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ROHTAS GOEL
PAN:AAVPG9866B
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SUNIL GOEL
PAN:AHGPG8020K
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DID NOT ACHIEVE PRESCRIBED 25% MINIMUM PUBLIC SHAREHOLDING THROUGH INDEPENDENT PUBLIC SHAREHOLDERS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 AND PROVISION OF 2(II) ON “AMENDMENTS TO CLAUSE 40A – MINIMUM PUBLIC SHAREHOLDING” OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 AND CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015 IN MATTER OF OMAXE LTD.
MADE INCORRECT AND INFLATED DISCLOSURE OF PUBLIC SHAREHOLDING VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015READ WITH CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZB) OF SEBI (ICDR) REGULATIONS, 2009 AND REGULATION 2(PP) OF SEBI (ICDR) REGULATIONS 2018AND CLAUSE 35 OF LISTING AGREEMENT IN MATTER OF OMAXE LTD.
INDULGED IN FRAUDULENT AND DECEPTIVE SCHEME & ARTIFICE IN CONNECTION WITH DEALING IN SECURITIES VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT.,1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF OMAXE LTD.
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IMPOSED PENALTY RS.27,00,000
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-SEP-2026 TO 23-SEP-2027
24-SEP-2026
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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 9 of 28
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