| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
FOSECO INDIA LTD.
(PAN:AAACF1049H)
|
|
|
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
|
|
| 162 |
|
|
FOSECO OVERSEAS LTD.
(PAN:AABCF9404F)
|
|
|
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
|
|
| 163 |
|
|
FRONTLINE FINANCIAL SERVICES LTD.
|
|
|
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
|
AS PER LETTER DATED 01/04/2011 SENT TO BSE BY APPELLANT, COMPANY COMPLIED WITH CLAUSES OF LISTING AGREEMENT AND FREE TO DO CAPITAL MARKET ACTIVITIES AS DEBARRED PERIOD 17/12/1999 TO 16/12/2004 IS OVER
|
| 164 |
|
|
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
|
| 165 |
|
|
G.V.FILMS LTD.
(CIN:L92490MH1989PLC238780
PAN:AAACG2118C)
|
|
|
|
ANNASWAMI VENKATRAMANI
PAN:AABPV3960F
|
|
|
MAHADEVAN GANESH
PAN:AEAPG4537Q
|
|
|
POTTETI RAGHURAMAN
PAN:AHJPP4154E
|
|
|
R.GOPALAN
PAN:ADAPG7395R
|
|
|
V.SUBRAMONIAN
PAN:AANPS8061L
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGE WITH REGARD TO ACCOUNT CHARGE AGREEMENT WITH BANCO FOR SUBSCRIPTION OF GDRS OF GV FILMS LTD. VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.25,00,000
29-JAN-2020
|
SAT: SAT VIDE ITS ORDER DATED 17/12/2020 CONDONED THE DELAY OF 192 DAYS IN FILING OF APPEAL ON PAYMENT OF RS 25,000.00 AND ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 02/02/2021 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 09/04/2021 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 15/04/2021 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 09/04/2021
|
| 166 |
|
|
GANGA PAPERS INDIA LTD.
(PAN:AABCK2353A)
(Along with : RAS POLYTEX PVT.LTD.)
|
|
|
DELAY IN COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19(2)(B) AND RULE 19A OF SCR RULES, 1957 AND CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-APR-2017
|
|
| 167 |
|
|
GANGA PAPERS INDIA LTD.
(PAN:AABCK2353A)
(Along with : RAS POLYTEX PVT.LTD.)
|
|
|
DELAY IN COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19(2)(B) AND RULE 19A OF SCR RULES, 1957 AND CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-APR-2017
|
|
| 168 |
|
|
GANGA PAPERS INDIA LTD.
(PAN:AABCK2353A)
(Along with : RAS POLYTEX PVT.LTD.)
|
|
|
|
ANJU KANORIA
PAN:ALWPK2230K
|
|
|
PRITU CHAUDHARY
PAN:AALPJ3714G
|
|
|
SADHNA KANORIA
PAN:ALWPK2231J
|
|
|
SAKET KANORIA
PAN:AQNPK2740G
|
|
|
SANDEEP KANORIA
PAN:ABXPK2231J
|
|
|
SANJAY KANORIA
PAN:ABXPK3879K
|
|
DELAY IN COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19(2)(B) AND RULE 19A OF SCR RULES, 1957 AND CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-APR-2017
|
SAT: SAT VIDE ITS ORDER DATED 01/11/2022 ALLOWED EXEMPTION APPLICATION AND REPLY TO BE FILED BY SEBI AND BSE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/12/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED EXEMPTION APPLICATION
|
| 169 |
|
|
GANGA PULP & PEPERS PVT.LTD.
(PAN:AABCG4521C)
|
|
|
DELAY IN COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19(2)(B) AND RULE 19A OF SCR RULES, 1957 AND CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-APR-2017
|
SAT: SAT VIDE ITS ORDER DATED 13/12/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 ALLOWED ONE WEEK TO FILE REPLY AND APPELLANTS TO FILE REJOINDER TWO WEEKS THEREAFTER
|
| 170 |
|
|
GAZI SECURITIES LTD.
|
|
|
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
|
|
| 171 |
|
|
GEMINI COMMUNICATION LTD.
(CIN:L32301TN1995PLC030087
PAN:AAACG2531K)
|
|
|
DID NOT MAKE TRUE & CORRECT DISCLOSURES OF SHAREHOLDING OF ITS PROMOTERS TO BSE VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.10,00,000
04-AUG-2014
|
SEBI VIDE ITS NOTICE DATED 02/09/2015 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 07/09/2015 WITHDRAWN THE WARRANT OF ATTACHMENTS ISSUED VIDE ITS ORDER DATED 02/09/2015
|
| 172 |
|
|
GEMS COMMERCIAL CO.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
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 173 |
|
|
GENERAL EXPORTS & CREDITS LTD.
(PAN:AAACG3770E)
(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
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 174 |
|
|
GENUINE COMODITIES DEVELOPMENT CO.LTD.
(CIN:L24231GJ1992PLC017216)
|
|
|
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
|
|
| 175 |
|
|
GENUS PRIME INFRA LTD.
(PAN:AABCG3955E)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,83,213 VIDE CONSENT ORDER)
29-MAR-2019
|
|
| 176 |
|
|
GHCL LTD.
(PAN:AAACG5609C)
|
|
|
CONCEALED VITAL INFORMATION REGARDING ENCUMBRANCE OF AROUND 48% OF SHARES HELD BY PROMOTERS AND PROMOTER GROUP VIOLATING CLAUSE 35 OF LISTING AGREEMENT
CONCEALED VITAL INFORMATION REGARDING ENCUMBRANCE OF AROUND 48% OF SHARES HELD BY PROMOTERS AND PROMOTER GROUP VIOLATING REGULATIONS 3(D) AND 4(2) (F) OF SEBI PFUTP REGULATIONS, 2003
|
IMPOSED PENALTY RS.1,25,00,000
06-AUG-2013
|
SAT: APPEAL ALLOWED. NO COSTS
|
| 177 |
|
|
GHCL LTD.
(PAN:AAACG5609C)
(Along with : ALANKAR COMMERCIAL PVT.LTD.,
ALTAR INVESTMENT PVT.LTD.,
ANTARCTICA INVESTMENTS PVT.LTD.,
ANURAG TRADING LEASING & INVESTMENT CO.PVT.LTD.,
ARCHANA TRADING & INVESTMENT CO.PVT.LTD.,
BANJAX LTD.,
BHARATPUR INVESTMENT LTD.,
CAREFREE INVESTMENT CO.LTD.,
CARISSA INVESTMENTS PVT.LTD.,
CHIRAWA INVESTMENT LTD.,
COMOSUM INVESTMENTS PVT.LTD.,
DALMIA FINANCE LTD.,
DALMIA HOUSING FINANCE LTD.,
DEAR INVESTMENTS PVT.LTD.,
DIVINE LEASING & FINANCE LTD.,
EXCELLENT COMMERCIAL ENTERPRISES & INVESTMENT LTD.,
GEMS COMMERCIAL CO.LTD.,
GENERAL EXPORTS & CREDITS LTD.,
GTC INDUSTRIES LTD.,
HARVATEX ENGINEERING & PROCEEING CO.LTD.,
HEXABOND LTD.,
HINDUSTAN COMMERCIAL CO.LTD.,
HOTEX CO.LTD.,
ILAC INVESTMENT PVT.LTD.,
INTERNATIONAL RESOURCES LTD.,
LAKSHMI VISHNU INVESTMENT LTD.,
LHONAK INTERNATIONAL PVT.LTD.,
LOVELY INVESTMENT PVT.LTD.,
MODERATE INVESTMENT & COMMERCIAL ENTERPRISES LTD.,
MOURYA FINANCE LTD.,
OVAL INVESTMENT PVT.LTD.,
PASHUPATI NATH COMMERCIAL CO.PVT.LTD.,
RAM KRISHNA DALMIA FOUNDATION,
RICK LUNSFORD TRADE & INDUSTRIAL INVESTMENT LTD.,
SANJAY TRADING & INVESTMENT CO.PVT.LTD.,
SIKAR INVESTMENT CO.LTD.,
SOVEREIGN COMMERCIAL PVT.LTD.,
SWASTIK COMMERCIAL PVT.LTD.,
TRISHUL COMMERCIALS PVT.LTD.,
W G F FINANCIAL SERVICES LTD.,
WORLD GROWTH FUND LTD.)
|
|
|
|
BHUWNESHWAR MISHRA
PAN:AIWPM9469M
|
|
|
NARESHCHANDRA JAIN
|
|
|
RAVI SHANKER JALAN
PAN:ABBPJ6847Q
|
|
|
SANJAY DALMIA
PAN:AADPD9438N
|
|
|
SUMAN JAIN
|
|
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.
|
DIRECTED TO RECONCILE AND FILE CORRECT SHAREHOLDING DETAILS WITH STOCK EXCHANGES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
DIRECTIONS ISSUED VIDE ORDER DATED 20/04/2009 REVOKED WITH IMMEDIATE EFFECT VIDE ORDER DATED 14/03/2011
|
| 178 |
|
|
GIRISH HOTEL,RESORTS & HEALTH FARM LTD.
|
|
|
|
BALDEV BHAI RAMI
|
|
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
|
|
| 179 |
|
|
GLOBAL BLOOMS (INDIA) LTD.
|
|
|
|
NAAGAPPAN
|
|
|
R.RAJENDRAN
|
|
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
|
|
| 180 |
|
|
GLOBAL CAPITAL MARKETS LTD.
|
|
|
SECURITIES UNDER INVESTIGATION
DID NOT FURNISH FINANCIAL RESULTS INCLUDING CASH FLOW STATEMENTS, BALANCE SHEET AND PROFIT & LOSS ACCOUNT TO STOCK EXCHANGE
|
SUSPENDED TRADING ON ALL STOCK EXCHANGES FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
DIRECTED THAT THE PROCEEDINGS AGAINST COMPANY SHALL STAND TERMINATED AND VACATED THE INTERIM ORDER DATED 29/09/2005
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 28
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