| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1881 |
|
SPARKLE TOOTH BRUSH MANUFACTURING CO.PVT.LTD.
(PAN:AAACS6369M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MINDVISION CAPITAL LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
07-APR-2020
|
|
| 1882 |
|
|
SPARKLE TOOTH BRUSH MANUFACTURING CO.PVT.LTD.
(PAN:AAACS6369M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MINDVISION CAPITAL LTD.
|
IMPOSED PENALTY RS.2,00,000
27-FEB-2019
|
|
| 1883 |
|
|
SPARKLE TOOTH BRUSH MANUFACTURING CO.PVT.LTD.
(PAN:AAACS6369M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MINDVISION CAPITAL LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-FEB-2021
|
|
| 1884 |
|
|
SPARKLINE MERCANTILE CO.PVT.LTD.
(Along with : ATLANTA LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
|
| 1885 |
|
|
SPARTEK CERAMICS INDIA LTD.
(PAN:AADCS1235K)
|
|
|
|
S.GANESH
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION IN CONCERT 42.56% ADDITIONAL SHARES TO INCREASE THEIR SHAREHOLDING FROM 28.00% TO 70.56% OF STILES INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
25-MAY-2006
|
|
| 1886 |
|
|
SPARTON LEASING & FINANACE LTD.
(CIN:U65910DL1984PLC018370
PAN:AAACS3597F)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TIRRIHANNAH CO.LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
08-FEB-2018
|
|
| 1887 |
|
|
SPARTON LEASING & FINANACE LTD.
(CIN:U65910DL1984PLC018370
PAN:AAACS3597F)
(Along with : DWARIKA INVESTMENTS PVT.LTD.,
KORAPUT INVESTMENTS PVT.LTD.,
WESTERN INDIA CEMENTS LTD.)
|
|
|
|
ABHAY BAHETI
PAN:ADEPB2646N
|
|
|
AVINASH KANKANI
PAN:AILPK8921H
|
|
|
GHANSHYAM DAS KANKANI
PAN:AFLPK2586B
|
|
|
MADHU LATA KANKANI
PAN:AFLPK2585C
|
|
|
UMESH KANKANI
PAN:AKMPK8942R
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TIRRIHANNAH CO.LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2018
|
|
| 1888 |
|
|
SPG PRINTS B.V.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1), 7(1A), 7(2), 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF STOVEC INDUSTRIES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) AND 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF STOVEC INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.16,03,508 VIDE CONSENT ORDER)
13-DEC-2018
|
|
| 1889 |
|
|
SPICER HEAVY AXLE HOLDINGS INC.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-MAY-2002
|
SAT: APPEAL ALLOWED
|
| 1890 |
|
|
SPIRIT TEXTILES PVT.LTD.
(PAN:AALCS5905J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SITI CABLES NETWORK LTD. (FORMERLY KNOWN AS "WIRE & WIRELESS (INDIA) LTD.")
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-DEC-2014
|
|
| 1891 |
|
|
SPLASH MEDIAWORKS LTD.
(PAN:AAACH2735G)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4),7(3) AND 8(3) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.15,00,000
25-MAR-2014
|
SAT: SAT VIDE ITS ORDER DATED 02/07/2014 SET ASIDED SEBI'S ORDER DATED 25/03/2014 AND DIRECTED TO SEBI RESTORE THE MATTER FOR FRESH DECISION ON MERITS. NO COSTS
|
| 1892 |
|
|
SPOT LIGHT SECURITIES PVT.LTD.
(Along with : ATLANTA LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
|
| 1893 |
|
|
SQS INDIA BFSI LTD.
(CIN:L64202TN1998PLC066604
PAN:AABCT0976G)
|
|
|
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.2,40,000 VIDE CONSENT ORDER)
01-FEB-2016
|
|
| 1894 |
|
|
SQUARE INVESTMENT & FINANCIAL SERVICES PVT.LTD.
(PAN:AAACS4620H)
|
|
|
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
|
|
| 1895 |
|
|
SRECKO INDHAN LTD.
(CIN:U74999TG2007PLC052461)
|
|
|
|
P.V.V.SATYANARAYANA
|
|
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 12,81,872 (40.04%) SHARES OF COMMITMENT CAPITAL SERVICES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
23-JAN-2009
|
|
| 1896 |
|
|
SRI AMARNATH FINANCIAL LTD.
(CIN:L74899DL1985PLC020194
PAN:AAACS2837A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) AND 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,24,375 VIDE CONSENT ORDER)
28-JUN-2013
|
|
| 1897 |
|
|
SRIVITHESA HOLDING PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.25,000
13-DEC-2000
|
SAT: APPEAL DISMISSED
|
| 1898 |
|
|
SSI LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) AND 8(3) FOR YEARS 1997 TO 2004 OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,50,000 VIDE CONSENT ORDER)
16-JAN-2008
|
|
| 1899 |
|
|
STALK SECURITIES PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WASHINGTON SOFTWARE LTD.
|
IMPOSED PENALTY RS.25,000
13-JAN-2010
|
|
| 1900 |
|
|
STAR INVESTMENTS PVT.LTD.
(PAN:AAACS4693J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HERBERTSONS LTD.
|
IMPOSED PENALTY RS.15,000 ALONG WITH OTHER ENTITIES/PERSONS
24-AUG-2005
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.65,000, LEGAL EXPENSES RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-JUL-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 24/08/2005 SET ASIDE AND BOARD WILL REFUND AMOUNT DEPOSITED BY APPELLANTS IN PURSUANCE TO IMPUGNED ORDER
SAT: APPLICANT PAID RS.65,000 TOWARDS SETTLEMENT CHARGES AND RS.5,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER (REFERENCE APPEAL NO.154 OF 2005 DATED 02/07/2009 WITH SAT)
|
| 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 95 of 114
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