| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1801 |
|
SHRIRAM CHITS (KARNATAKA) PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-MAR-2008
|
|
| 1802 |
|
|
SHRIRAM CHITS PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-MAR-2008
|
|
| 1803 |
|
|
SHRIRAM CHITS TAMILNADU PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-MAR-2008
|
|
| 1804 |
|
|
SHRIRAM CHITS TAMILNADU PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-APR-2008
|
|
| 1805 |
|
|
SHRIRAM CITY UNION FINANCE LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-MAR-2008
|
|
| 1806 |
|
|
SHRIRAM CITY UNION FINANCE LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-APR-2008
|
|
| 1807 |
|
|
SHRIRAM FINANCIAL SERVICES HOLDINGS PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-APR-2008
|
|
| 1808 |
|
|
SHRIRAM HOLDINGS MADRAS PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-APR-2008
|
|
| 1809 |
|
|
SHRIRAM HOLDINGS MADRAS PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-MAR-2008
|
|
| 1810 |
|
|
SHRIRAM MOTOR FINANCE
|
|
|
|
R.THYAGARAJAN
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-APR-2008
|
|
| 1811 |
|
|
SHRIRAM MOTOR FINANCE
|
|
|
|
R.THYAGARAJAN
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 2186380 SHARES OF SHRIRAM OVERSEAS FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-MAR-2008
|
|
| 1812 |
|
|
SHUBHAM CAPITAL SERVICES PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING IN MATTER OF KETAKI ESTATE & FINANCE LTD. AS PER SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.65,000
27-JAN-2005
|
|
| 1813 |
|
|
SHUBHKAM MONETARY SERVICES PVT.LTD.
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH CROSS DEALS AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF GUJARAT GAS CO.LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 5.91% SHARES OF GUJARAT GAS CO.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.47,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-MAY-2011
|
|
| 1814 |
|
|
SHYAM ALCOHOL & CHEMICALS LTD.
(PAN:AAGCS6595M)
|
|
|
TRANSFERRED 7,50,000 SHARES THROUGH OFF-MARKET TRANSFER WITHOUT RECEIPT OF CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION G.S.R.219 (E) DATED 02/03/2000 AND SECTION 13 AND 18 OF SCRA1956 READ WITH SECTION 2(I) OF SCRA ACT, 1956 IN MATTER OF SAMPADA CHEMICALS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAMPADA CHEMICALS LTD.
DID NOT SUBMIT REQUIRED INFORMATION/DOCUMENTS SOUGHT VIDE SUMMONS IN MATTER OF SAMPADA CHEMICALS LTD.
|
IMPOSED PENALTY RS.24,00,000
25-MAR-2021
|
SEBI VIDE ITS NOTICE DATED 02/08/2022 DIRECTED TO PAY RS.28,33,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 1815 |
|
|
SHYAM ALCOHOL & CHEMICALS LTD.
(PAN:AAGCS6595M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAMPADA CHEMICALS LTD.
|
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
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 27-AUG-2021 TO 26-AUG-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-AUG-2021
|
|
| 1816 |
|
|
SI CAPITAL & FINANCIAL SERVICES LTD.
(PAN:AABCS5031P)
|
|
|
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.3,44,013 VIDE CONSENT ORDER)
18-JUN-2019
|
|
| 1817 |
|
|
SIC (TRAVANCORE) PVT.LTD.
|
|
|
ALLEGED FAILURE IN FILING STATUTORY REPORT WITH SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CHETTINAD CEMENT CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-NOV-2008
|
|
| 1818 |
|
|
SICOM ARC LTD.
(PAN:AAFCS4038Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3), 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ASHOK ALCO-CHEM LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ASHOK ALCO-CHEM LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOK ALCO-CHEM LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ASHOK ALCO-CHEM LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,42,149 VIDE CONSENT ORDER)
26-MAR-2018
|
|
| 1819 |
|
|
SICORP FINLEASE LTD.
|
|
|
|
ASHOK SONU BHAGAT
|
|
|
PRAKASH D'SOUZA
|
|
|
PRASAD SAKHARAM TANDEL
|
|
|
PRASHANT M.NARVEKAR
|
|
|
PRAVINA CHANDRAKANT SHAH
|
|
|
SANDHYA SHIRISH SHAH
|
|
|
SHIRISH CHANDRAKANT SHAH
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF G-TECH INFO TRAINING LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAR-2011
|
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 17/06/2015 ORDER THAT THE CLAIMANT IS ENTITLED TO ONE-FOURTH SHARE OF THE ASSETS LYING IN ALL FOUR LOCKERS HELD IN LOCKER NOS. A-2254, A-1547 AND D-678 AT SARASWAT BANK AND LOCKER NO.F-139 AT BANK OF BARODA. ALSO ORDERED THAT THE REMAINING THREE-FOURTH SHARE OF ASSETS SHALL CONTINUE TO BE UNDER ATTACHMENT AND LIABLE TO BE APPROPRIATED TOWARDS THE DUES
SEBI VIDE ITS ORDER DATED 18/12/2014 DIRECTED TO CIVIL IMPRISONMENT FOR A MAXIMUM PERIOD OF SIX MONTHS UNDER RULE 77 OF PART V OF SCHEDULE II OF INCOME TAX ACT, 1961 R/W SECTION 28A OF SEBI ACT, 1992
SAT: SAT VIDE ITS ORDER DATED 24/11/2017 QUASHED AND SET ASIDED IMPUGNED ORDERS DATED18/08/2010, 31/10/2011 AND 31/03/2011 SUBJECT TO PAYMENT OF COSTS OF RS.10,000 IN EACH APPEAL TO BE PAID BY APPELLANTS TO SEBI WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER AND WTM/AO OF SEBI DIRECTED TO PASS FRESH ORDER ON MERITS IN RELATION TO ALLEGED VIOLATION SET OUT IN RESPECTIVE SHOW CAUSE NOTICES
SAT: SAT VIDE ITS ORDER DATED 28/06/2019 MODIFIED ORDER DATED 24/11/2017 AND VACATE THE ORDER OF ATTACHMENT AND DIRECTED SEBI TO INFORM RECOVERY OFFICER AS WELL AS BANKS AS EARLY AS POSSIBLE
|
| 1820 |
|
|
SICORP FINLEASE LTD.
|
|
|
|
ASHOK SONU BHAGAT
PAN:AFTPB6492F
|
|
|
PRAKASH D'SOUZA
|
|
|
PRASAD SAKHARAM TANDEL
PAN:ACSPT7007J
|
|
|
PRASHANT M.NARVEKAR
|
|
|
PRAVINA CHANDRAKANT SHAH
|
|
|
SANDHYA SHIRISH SHAH
|
|
|
SHIRISH CHANDRAKANT SHAH
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 15,93,400 EQUITY SHARES (15.93%) OF G-TECH INFO TRAINING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
18-AUG-2010
|
SAT: SAT VIDE ITS ORDER DATED 09/02/2016 DISMISSED THE REVIEW APPLICATIONS. REVIEW APPLICATION NOS.6 & 7 OF 2015 AND MISCELLANEOUS APPLICATION NOS.320 AND 321 OF 2015 STAND DISPOSED OFF
SAT: SAT VIDE ITS ORDER DATED 02/08/2016 ALLOWED MISC. APPLICATION TO BE WITHDRAWN. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 02/08/2016 ALLOWED APPEAL TO BE WITHDRAWN WITH LIBERTY TO FILE THE FRESH APPEAL. DIRECTED REGISTRY TO ADJUST THE COURT FEES PAID IN EARLIER APPEAL WITH THE COURT FEES PAYABLE ON THE PRESENT APPEAL. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 02/08/2016 DISPOSED OFF THE APPEAL AS COUNSEL FOR SEBI IN TWO MISC. APPLICATIONS STATED THAT RECOVERY OFFICER SHALL MAINTAIN STATUS QUO TILL DISPOSAL OF APPEALS AND NO COERCIVE ACTION WOULD BE TAKEN. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 24/11/2017 PERMITTED SEBI TO ATTACH THE ADDITIONAL ASSETS REFFERRED TO IN THE MISC. APPLICATION. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 24/11/2017 QUASHED AND SET ASIDED IMPUGNED ORDERS DATED18/08/2010, 31/10/2011 AND 31/03/2011 SUBJECT TO PAYMENT OF COSTS OF RS.10,000 IN EACH APPEAL TO BE PAID BY APPELLANTS TO SEBI WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER AND WTM/AO OF SEBI DIRECTED TO PASS FRESH ORDER ON MERITS IN RELATION TO ALLEGED VIOLATION SET OUT IN RESPECTIVE SHOW CAUSE NOTICES
SAT: SAT VIDE ITS ORDER DATED 28/06/2019 MODIFIED ORDER DATED 24/11/2017 AND VACATE THE ORDER OF ATTACHMENT AND DIRECTED SEBI TO INFORM RECOVERY OFFICER AS WELL AS BANKS AS EARLY AS POSSIBLE
|
| 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 91 of 114
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