| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
ELFRIEDE ELIZABETH
|
|
|
|
UNICORN PHARMACEUTICALS (INDIA) LTD.
|
|
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 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 162 |
|
|
EUGENE HEIM
|
|
|
|
ADITHYA ALKALOIDS LTD.
|
|
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 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 163 |
|
|
FAKHRUDDIN T.MOIYADI
|
|
|
ALLEGED VIOLATION OF SECTION 11C (3) READ WITH SECTION 11C (2) OF SEBI ACT, 1992 IN MATTER OF VERONICA LABORATORIES LTD.
ALLEGED VIOLATION OF CLAUSE 35 OF LISTING AGREEMENT IN MATTER OF VERONICA LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
21-JAN-2009
|
|
| 164 |
|
|
FILIPPO UECHER
|
|
|
|
FLORA WALL COVERINGS LTD.
|
|
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 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 165 |
|
|
G.KRISHNA MOHAN
|
|
|
|
CONSORTEX KARL DOELITZSCH (INDIA) LTD.
CIN:L31909AP1984PLC004953
|
|
INTRODUCED FAKE SHARES
FAILED TO RECONCILE RECORDS OF DEMATERIALISED SECURITIES WITH THE SECURITIES ISSUED ON DAILY BASIS
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 29-SEP-2005 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-SEP-2005 TILL FURTHER ORDERS
DIRECTED TO SUBMIT CERTIFIED REPORT ON THE RECORDS OF DEMATERIALISED SECURITIES WITH THE SECURITIES ISSUED
29-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 29/09/2005
SEBI VIDE ITS ORDER DATED 19/07/2011 RESTRAINED DIRECTORS OF THE COMPANY FROM DEALING IN SECURITIES FOR SIX YEARS (PERIOD OF DEBARMENT ALREADY UNDERGONE VIDE ITS ORDER DATED 29/09/2005 AND 01/02/2006 IS TO BE CONSIDERED
|
| 166 |
|
|
G.R.SURANA
(PAN:AACPS3237P)
|
|
|
|
SURANA INDUSTRIES LTD.
PAN:AAACS3123M
|
|
MADE CORPORATE ANNOUNCEMENTS REGARDING PREFERENTIAL ALLOTMENTS AND THERAFTER DEFERRING/DROPPING AGENDA ITEMS RELATING TO SUCH ALLOTMENTS IN MATTER OF SURANA INDUSTRIES LTD.
DELAY IN DISSEMINATION OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES RELATED TO PREFERENTIAL ALLOTMENT VIOLATING REGULATION 12(2) & (3) READ WITH CLAUSE 2.1 OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SURANA INDUSTRIES LTD.
DELAY IN SENDING INTIMATION OF CLOSURE OF BOARD MEETING TO STOCK EXCHANGES VIOLATING PROVISIONS OF CLAUSE 22(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-SEP-2014
|
SAT: SAT VIDE ITS ORDER DATED 25/08/2015 ALLOWED THE APPELLANTS TO WITHDRAWN THE APPEAL AS ALSO MISC. APPLICATION WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 28/04/2016 ALLOWED APPEAL TO BE WITHDRAWN AND DIRECTED APPELLANTS TO PAY PENALTY IMPOSED IN IMPUGNED UNDER THE ORDER IMPUGNED IN THE APPEAL WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 167 |
|
|
G.RAMAKRISHNA
(PAN:ACAPG1654L)
|
|
|
|
SATYAM COMPUTER SERVICES LTD.
|
|
MISLED INVESTORS THROUGH ISSUANCE OF BONUS SHARES AND AMERICAN DEPOSITORY SHARES (ADS) AND BY GIVING MISLEADING ANNOUNCEMENTS OF BUY BACK OF SHARES IN MATTER OF SATYAM COMPUTER SERVICES LTD.
SOLD AND PLEDGED SHARES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3 AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12A (D) & (E) OF SEBI ACT, 1992 IN MATTER OF SATYAM COMPUTER SERVICES LTD.
DID NOT ADHERE TO PRINCIPLES OF CORPORATE GOVERNANCE IN GENERAL AND OBLIGATION OF CEO/CFO CERTIFICATION STIPULATED IN CLAUSE 49 OF THE LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JUL-2014 TO 14-JUL-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JUL-2014 TO 14-JUL-2021
DIRECTED TO DISGORGE RS.11,50,00,000
15-JUL-2014
|
SAT: SAT VIDE ITS ORDER DATED 12/05/2017 SET ASIDED IMPUGNED ORDER DATED 15/07/2014 TO THE EXTENT IT RELATED TO THE PERIOD FOR WHICH THE APPELALANTS WERE RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND THE ILLEGAL GAIN DIRECTED TO BE DISGORGED BY THE APPLLANTS AND REMANDED THE MATTER TO FILE OF WTM OF SEBI TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. FURTHER, DIRECTED THAT THE APPELLANTS SHALL NOT ACCESS THE SECURITIES MARKET AND SHALL NOT BUY, SELL OR OTHERWISE DEAL IN SECURITIES, DIRECTLY OR INDIRECTLY TILL FRESH ORDER IS PASSED BY WTM OF SEBI ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
SEBI VIDE ITS ORDER DATED 16/10/2018 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FOR SEVEN YEARS B) DISGORGE WRONGFUL GAIN OF RS.11,50,00,000.00 ALONG WITH SIMPLE INTEREST @ 12% P.A. FROM 07/01/2009 TILL DATE OF PAYMENT WITHIN 45 DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 02/02/2023 ALLOWED THE APPEALS AND SET ASIDE IMPUGNED ORDERS DATED 16/10/2018 AND 02/11/2018. MATTER REMITTED TO WTM TO PASS A FRESH ORDER WITHIN FOUR MONTHS
SAT: SAT VIDE ITS ORDER DATED 13/06/2023 DISPOSE OF THE MATTER AND DIRECTED WTM TO DECIDE THE MATTER AS PER DIRECTIONS GIVEN IN PARAGRAPH 120 OF ORDER DATED 02/02/2023 ON OR BEFORE 30/11/2023
|
| 168 |
|
|
G.RAMESH
|
|
|
|
NOVEL FINANCE INDIA LTD.
|
|
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 20-OCT-2001 TO 19-OCT-2006
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-OCT-2001 TO 19-OCT-2006
20-SEP-2001
|
|
| 169 |
|
|
G.S.CHANDRASHEKAR
(PAN:ACCPG6727C)
|
|
|
|
CORAL HUB LTD.
CIN:U32109TN1994PLC061452
PAN:AAACS7326Q
|
|
INDULGED IN PUBLICATION OF FALSE, INFLATED SALES AND MISLEADING FINANCIAL RESULTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) & 4(2)(E), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CORAL HUB LTD.
DID NOT MAKE DISCLOSURE OF SALES MADE TO RELATED PARTY IN ITS ANNUAL REPORT VIOLATING CLAUSE 32 OF LISTING AGREEMENT READ WITH SECTION 21 OF THE SCRA, 1956 IN MATTER OF CORAL HUB LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-SEP-2021 TO 02-SEP-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-SEP-2021 TO 02-SEP-2024
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-SEP-2021 TO 02-SEP-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 04/10/2024 DISMISSED THE APPEAL. NO COSTS
|
| 170 |
|
|
G.SATYANARAYANA
|
|
|
|
GLOBAL EXHIBITIONS LTD.
|
|
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 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 171 |
|
|
G.VIJAYAKUMAR
|
|
|
|
VINI META SPIN STEELS LTD.
|
|
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 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 172 |
|
|
GADDE SHIVARAMAPRASAD
|
|
|
|
GLOBAL EXHIBITIONS LTD.
|
|
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 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 173 |
|
|
GANPATRAJ LALCHAND CHOWDHARY
(PAN:ABWPL2726K)
|
|
|
|
RIDDHI SIDDHI GLUCO BIOLS LTD.
PAN:AABCR3417Q
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING REGULATIONS 103(2) AND 38 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
PARTICIPATED IN FRAUDULENT DEVICE, SCHEME OR ARTIFICIAL AT VARIOUS STAGES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1) AND 4(2)(A) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.
FRAUDULENTLY TRADED TO MAKE DELISTING OFFER SUCCESSFUL VIOLATING REGULATIONS 4(5)(A) TO 4(5)(C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER RIDDHI SIDDHI GLUCO BIOLS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-AUG-2021 TO 10-AUG-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-AUG-2021 TO 10-AUG-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-AUG-2021 TO 10-AUG-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
11-AUG-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/09/2021 DISPOSED OFF WITH THE DIRECTION TO RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. EFFECT AND OPERATION OF THE IMPUGNED ORDER STAYED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 GRANTED APPELLANT THREE WEEKS & NO MORE TIME TO FILE REJOINDER
|
| 174 |
|
|
GARIB DASS
|
|
|
|
SHEFALI PAPERS LTD.
CIN:U21011UP1991PLC012909
|
|
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 11-MAY-2000 TO 10-MAY-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-MAY-2000 TO 10-MAY-2005
11-MAY-2000
|
|
| 175 |
|
|
GAURAVI KARTIK PARIKH
(PAN:AKPPP7466E)
|
|
|
|
PLETHICO PHARMACEUTICALS LTD.
PAN:AABCP3063G
|
|
DID NOT MAKE DISCLOSURE OF RAISING MONEY THROUGH FCCBS AND FAILED IN REDEEMING FCCBS ON MATURITY DATE TO STOCK EXCHANGES VIOLATING CLAUSES 2.1 AND 7(II) OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING AS SPECIFIED UNDER REGULATION 12(2) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DID NOT MAKE DISCLOSURE OF RAISING MONEY THROUGH FCCBS AND FAILED IN REDEEMING FCCBS ON MATURITY DATE TO STOCK EXCHANGES VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 15/11/2018 DISPOSED OFF THE APPEAL WITH THE DIRECTION THAT APPELLANT WILL MAKE A FDR OF RS.8 LAC WITH LIEN MARKED IN FAVOUR OF RESPONDENT WITHIN TWO WEEKS FROM DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 17/05/2021 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 14/12/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 176 |
|
|
GAUTAM JHA
|
|
|
|
STERLING KALK SAND BRICKS LTD.
CIN:U26931MP1990PLC005709
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
ORDER TO BE PASSED AFTER PERSONAL HEARING
09-SEP-2004
|
|
| 177 |
|
|
GHANSHYAM K.JOSHI
(DIN:01032861
PAN:ADCPJ1416A)
|
|
|
|
CORAL HUB LTD.
CIN:U32109TN1994PLC061452
PAN:AAACS7326Q
|
|
INDULGED IN PUBLICATION OF FALSE, INFLATED SALES AND MISLEADING FINANCIAL RESULTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) & 4(2)(E), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CORAL HUB LTD.
DID NOT MAKE DISCLOSURE OF SALES MADE TO RELATED PARTY IN ITS ANNUAL REPORT VIOLATING CLAUSE 32 OF LISTING AGREEMENT READ WITH SECTION 21 OF THE SCRA, 1956 IN MATTER OF CORAL HUB LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-SEP-2021 TO 02-SEP-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-SEP-2021 TO 02-SEP-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 03-SEP-2021 TO 02-SEP-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2021
|
|
| 178 |
|
|
GHANSHYAM PANDEY
(PAN:AEDPP9478A)
|
|
|
|
SHILPI CABLE TECHNOLOGIES LTD.
PAN:AADCR3380E
|
|
INDULGED IN MIS-UTILIZATION OF IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS VIOLATING SECTION 61 OF COMPANIES ACT, 1956 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
MADE WRONG DISCLOSURE TO STOCK EXCHANGES REGARDING UTILIZATION OF IPO PROCEEDS VIOLATING CLAUSE 43A OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
MADE WRONG DISCLOSURE TO STOCK EXCHANGES REGARDING UTILIZATION OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
DID NOT INFORM SHAREHOLDERS THAT THEIR APPROVAL WAS A POST FACTO APPROVAL OF ACTUAL DEPLOYMENT OF IPO PROCEEDS IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION IN RHP/PROSPECTUS IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
TRANSFERRED IPO PROCEEDS FOR DUBIOUS TRANSACTIONS TO ENTITIES WHOSE CREDENTIALS WERE QUESTIONABLE IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
TRANSFERRED RS.6.05 CRORE OF IPO PROCEEDS TO GROUP COMPANY/ PROMOTER ENTITY IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF ALL MONIES UTILIZED AND UNUTILIZED OUT OF ISSUE PROCEEDS UNDER APPROPRIATE SEPARATE HEADS IN BALANCE-SHEETS VIOLATING CLAUSES 2(XII)(B)(31)(A)(II) AND 2(XII)(B)(31) (A)(III) OF PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
|
DIRECTED TO TAKE STEPS TO CALL BACK AND RETURN TO SHILPI CABLE TECHNOLOGIES LTD. RS.50.05 CRORE WHICH WERE DIVERTED/MIS-UTILIZED
DIRECTED TO FURNISH COMPLIANCE REPORT TO SEBI DULY CERTIFIED BY INDEPENDENT SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF THE DATE OF COMPLIANCE
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JUN-2023 TO 12-JUN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JUN-2023 TO 12-JUN-2024
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 13-JUN-2023 TO 12-JUN-2024
IMPOSED PENALTY RS.5,00,000
13-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 04/09/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED DIRECTIONS GIVEN IN PARAGRAPH 43.1 AND 43.4 SUBJECT TO DEPOSIT PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 21/11/2023 ALLOWED APPELLANT THREE WEEKS AND NO MORE TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/01/2024 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
|
| 179 |
|
|
GIRIRAJ KISHORE SHARMA
|
|
|
|
HI-TECH WINDING SYSTEMS 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
|
|
| 180 |
|
|
GIRISH SHAH
|
|
|
|
SOMPLAST LEATHER INDUSTRIES LTD.
PAN:AADCS0254L
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
ISSUED EQUITY SHARES IN EXCESS ON PREFERENTIAL BASIS WITHOUT TAKING IN-PRINCIPLE APPROVAL OF STOCK EXCHANGE
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 34
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