| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
ARCHANA TRADING & INVESTMENT CO.PVT.LTD.
(PAN:AADCA5235F)
|
|
|
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
|
| 162 |
|
|
ARCHISHA INVESTMENTS PVT.LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UTTAM GALVA STEELS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UTTAM GALVA STEELS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
08-JUN-2011
|
|
| 163 |
|
|
ARCOLAB (INDIA) PVT.LTD.
(Along with : CARYL PHARMA PVT.LTD.)
|
|
|
|
ARUN KUMAR
|
|
|
K.R.RAVISHANKAR
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 8.06% SHARES TO REACH 19.31%OF STRIDES ARCOLABS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-FEB-2008
|
|
| 164 |
|
|
ARIES HOTELS PVT.LTD.
(CIN:U74300GJ1996PTC030171
PAN:AABCA6743N)
(Along with : EXCELLENT ESTATE DEVELOPERS PVT.LTD.,
BHARAT EQUITY SERVICES LTD.,
LIBERTY CONSTRUCTION & LEASING PVT.LTD.)
|
|
|
|
ABBAS A.SHAIKH
PAN:AGGPS2273K
|
|
|
ABDUL RAZAK DHANANI
PAN:ABWPD8290J
|
|
|
AKITABANU MD.ISMAIL MEMON
|
|
|
AKSHAY S.UDAR
|
|
|
ANISHA DHANANI
PAN:ACTPD3111C
|
|
|
GULSHAN I.MEMON
|
|
|
HABIBUNISHA DHANANI
PAN:ACTPD3112B
|
|
|
KAYUM DHANANI
PAN:ABWPD8293M
|
|
|
MANSOOR I.MEMON
PAN:ARCPM9798A
|
|
|
MUNAWAR GARBADAWALA
PAN:ABLPG0578R
|
|
|
NASIM R.DHANANI
PAN:AQFPD5293R
|
|
|
NOORMOHMAD VOHRA
|
|
|
PRADEEP B.MENON
|
|
|
RABIA RAZAK DHANANI
|
|
|
RAJESH C.MODI
|
|
|
REKHA R.PANDIT
|
|
|
ROHINI S.UDAR
PAN:ABUPU9156E
|
|
|
SADIKA MD.I.MEMON
PAN:BKAPS4142Q
|
|
|
SHAJI NAIR
|
|
|
SHAMIM DHANANI
PAN:AWFPS9591P
|
|
|
SHIRIN H.MEMON
|
|
|
SHYAMLAL BHASKAR PANDIT
|
|
|
SUBHASH PANDIT
PAN:AAZPP2160K
|
|
|
SUCHITRA DHANANI
PAN:ACTPD1159Q
|
|
|
UDAY DHANANI
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAYAJI HOTELS LTD.
|
IMPOSED PENALTY RS.3,10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2019 SEBI GRANTED APPROVAL IN TERMS OF REGULATION 24(2) OF SETTLEMENT REGULATIONS. NO COSTS
|
| 165 |
|
|
ARIHANT BUSINESS SERVICES PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.1,75,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2004
|
|
| 166 |
|
|
ARIHANT LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SILICON VALLEY INFOTECH LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAY-2010
|
|
| 167 |
|
|
ARIHANT LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.10,00,000
09-AUG-2004
|
SAT: ORDER MODIFIED BY REDUCING AMOUNT TO RS.20,000 FROM RS.10,00,000
|
| 168 |
|
|
ARIHANT SUPERSTRUCTURES LTD.
(PAN:AABCS1848L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) FOR YEAR 1997 AND 8(3) FOR YEARS 1998 TO 2005 AND 2007 OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.1,00,000
25-JUN-2010
|
PENALTY AMOUNT OF RS.1,00,000.00 PAID BY COMPANY VIDE PAYORDER NO.343157 ON 16/07/2010
|
| 169 |
|
|
ARMENIAN INVESTMENTS LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 READ WITH REGULATION 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,97,33,551 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-JAN-2017
|
|
| 170 |
|
|
AROMA ENTERPRISES (INDIA) LTD.
(PAN:AADCS0854J)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(3) OF SEBI TAKEOVER CODE, 1997
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
DID NOT SHOW SIRHIND STEEL LTD. AS PAC IN SHAREHOLDING PATTER VIOLATING CLAUSE 35 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.10,00,000
28-JUN-2019
|
|
| 171 |
|
|
ARPITA TOWERS PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.1,75,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2004
|
|
| 172 |
|
|
ARROW CAPITAL SERVICES PVT.LTD.
(Along with : NMC HOLDINGS LTD.,
UMA CARBONICS PVT.LTD.)
|
|
|
|
ARUN MITTAL
|
|
|
DAKARAJU PAJADALA
|
|
|
DHANBIR FLOWER
|
|
|
INDER PRAKASH
|
|
|
INDU SRIVASTAVA
|
|
|
JAVED IQBAL SIDDIQI
|
|
|
JAYANTI GOELA
|
|
|
KAMAL PAL
|
|
|
P.S.MATHUR
|
|
|
PAWAN DEWAN
|
|
|
PRATAP SHUKLA
|
|
|
PRAVINDER KUMAR
|
|
|
PREM KHANNA
|
|
|
RAHUL GOELA
|
|
|
RAJIV GOELA
|
|
|
ROSHINI AGGARWAL
|
|
|
SHYAM SHANKAR GOELA
|
|
|
SHYAM SUNDER AGGARWAL
|
|
|
SUNILA GOELA
|
|
|
SUNITA GUPTA
|
|
|
UMA GOELA
|
|
|
VIJAY BHUSHAN
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND 8(1),8(2) FOR YEARS 1998 TO 2001 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HARYANA FIBRES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,70,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-JUN-2010
|
|
| 173 |
|
|
ARSHIYA INTERNATIONAL LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 6(4) FOR YEAR 1997 AND 8(3) FOR YEARS 1998,1999 AND 2006 OF SEBI TAKEOVER CODE, 1997 IN MATTER ARSHIYA INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
30-SEP-2008
|
|
| 174 |
|
|
ARTECH POWER PRODUCTS LTD.
(PAN:AACCA4027G)
|
|
|
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.7,09,750 VIDE CONSENT ORDER)
31-OCT-2014
|
|
| 175 |
|
|
ARUN GOEL (HUF)
(PAN:AAHHA0733R)
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RAMA PAPER MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUN-2016
|
|
| 176 |
|
|
ARUN KUMAR BHANGADIA (HUF)
(PAN:AABHA3700N)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TRIMURTI DRUGS & PHARMACEUTICALS LTD.
|
IMPOSED PENALTY RS.22,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-OCT-2015
|
|
| 177 |
|
|
ARUN SURI & SONS (HUF)
(PAN:AAAAA1307K)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MOREPEN LABORATORIES LTD.
|
REJECTED APPLICATION FILED FOR GRANT OF EXEMPTION FROM TAKEOVER REGULATIONS, 1997
29-NOV-2011
|
|
| 178 |
|
|
ARUN SURI & SONS (HUF)
(PAN:AAAAA1307K)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MOREPEN LABORATORIES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAR-2018
|
|
| 179 |
|
|
ARUN VARUN TRADE & INVESTMENT LTD.
(PAN:AACCA8482H)
|
|
|
ALLEGED FAILURE 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.7,03,375 VIDE CONSENT ORDER)
13-FEB-2017
|
|
| 180 |
|
|
ARUNODAY VINIMAY PVT.LTD.
|
|
|
|
JUGAL KISHOR
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
RADHA BALLAB
|
|
|
V.K.AGARWAL
|
|
|
VIJAY KUMAR GUPTA
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 114
|
