| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1881 |
|
TEJAS BAKUL DAGLI
(PAN:AJCPD1746K)
|
|
|
INDULGED IN FRONT RUNNING THE TRADES OF PNB METLIFE INDIA INSURANCE CO. AND INSTITUTIONAL CLIENTS OF INVESTEC AND MADE UNLAWFUL PROFITS VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DHANMATA REALTY PVT.LTD. AND OTHERS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-DEC-2024 UNTIL FURTHER ORDERS
DIRECTED TO DISGORGE RS.21,15,78,005 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT/DEPOSIT AMOUNT OF UNLAWFUL GAINS IN INTEREST BEARING ESCROW ACCOUNT WITH NATIONALIZED BANK WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 20-DEC-2024 UNTIL FURTHER ORDERS
20-DEC-2024
|
|
| 1882 |
|
|
THESHIYA KAJALBEN
(PAN:BWUPT8126K)
|
|
|
MADE FALSE AND MISLEADING STATEMENTS TO STOCK EXCHANGES REGARDING ANNOUNCEMENTS OF ORDER/ CONTRACTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F) 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BHARAT GLOBAL DEVELOPERS LTD.
MISREPRESENTED / MISSTATED FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F) 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BHARAT GLOBAL DEVELOPERS LTD.
|
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DEAL IN SHARES OF BHARAT GLOBAL DEVELOPERS LTD. IN ANY MANNER WHATSOEVER FROM 23-DEC-2024 UNTIL FURTHER ORDERS
DIRECTED TO CO-OPERATE WITH SEBI’S INVESTIGATION BY FURNISHING ALL RELEVANT INFORMATION REGARDING THE COMPANY’S COMMERCIAL TRANSACTION, ITRS , MINUTES OF MEETINGS OF COMPANY’S BOARD OF DIRECTORS, EMPLOYEES, EPFO, GST REGISTRATION AND PAYMENTS, COMMUNICATIONS WITH TATA AGRO & CONSUMER PRODUCTS, RELIANCE INDUSTRIES LTD., UPL AGRO PVT.LTD., MC CAIN INDIA AGRO PVT.LTD. REGARDING THE BUSINESS CONTRACTS DISCLOSED TO INVESTORS
23-DEC-2024
|
SEBI VIDE ITS ORDER DATED 26/03/2025 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 23/12/2024
|
| 1883 |
|
|
THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
(PAN:ABIPN2653D)
|
|
|
|
ONELIFE CAPITAL ADVISORS LTD.
PAN:AAACO9540L
|
|
MISSTATED AND MISPRESENTED FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED/ MISPRESENTED FINANCIAL STATEMENTS AND DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT VIOLATING SECTION 27 OF SEBI ACT, 1992 AND REGULATIONS 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH REGULATIONS 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED AND MISPRESENTED FINANCIAL RESULTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES AND DID NOT TAKE NECESSARY APPROVALS FROM AUDIT COMMITTEE/ SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(2), 23(4) AND 23(9) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED/ MISPRESENTED FINANCIAL RESULTS AND DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DELAY IN FILING OF DISCLOSURES TO STOCK EXCHANGES REGARDING APPOINTMENT/ RESIGNATION OF DIRECTOR AND CHIEF FINANCIAL OFFICER VIOLATING REGULATION 30(2) READ WITH PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DELAY IN APPOINTMENT OF COMPANY SECRETARY/KEY MANAGERIAL PERSONS WITHIN TIMELINES VIOLATING REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISPRESENTED FINANCIAL RESULTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6) TO (8), 4(2)(F)(III)(1)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
FURNISHED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
|
IMPOSED PENALTY RS.25,00,000
28-MAR-2025
|
SAT: SAT VIDE ITS ORDER DATED 13/06/2025 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 13/06/2025 DIRECTED A) STOCK EXCHANGES AND DEPOSITORIES TO NOT TO ALTER FIRST APPELLANT’S CURRENT “FIT AND PROPER” STATUS BASED ON IMPUGNED ORDER DATED 28/03/2025 UNTIL FURTHER ORDERS B) GRANTED STAY ON DIRECTIONS IN PARAGRAPH NOS.90.1 AND 90.2 OF IMPUGNED ORDER RESTRAINING APPELLANT FROM ACCESSING THE SECURITIES MARKET C) STAYED RECOVERY OF PENALTY IMPOSED AS PER PARAGRAPH NO..90.3 SUBJECT TO DEPOSIT OF 50% AMOUNT. ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER IF ANY, BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/07/2025 GRANTED RESPONDENT TWO WEEKS TO FILE REPLY
|
| 1884 |
|
|
THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
(PAN:ABIPN2653D)
|
|
|
|
ONELIFE CAPITAL ADVISORS LTD.
PAN:AAACO9540L
|
|
MISPRESENTED FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED AND MISPRESENTED FINANCIAL RESULTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES AND DID NOT TAKE NECESSARY APPROVALS FROM AUDIT COMMITTEE/ SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(2), 23(4) AND 23(9) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISPRESENTED FINANCIAL RESULTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6) TO (8), 4(2)(F)(III)(1)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
FURNISHED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
|
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 21-OCT-2024 TO 20-OCT-2025
RESTRAINED FROM ACTING AS DIRECTOR/KEY MANAGERIAL PERSONNEL OF ANY LISTED COMPANY OR SUBSIDIARY OR ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY SEBI REGISTERED INTERMEDIARY FROM 21-OCT-2024 TO 20-OCT-2025
21-OCT-2024
|
SAT: SAT VIDE ITS ORDER DATED 25/11/2024 GRANTED PERMISSION TO RECEIVED THE SHARES BY APPELLANT COMPANY FOR PAYMENTS MADE IN MARCH & SEPTEMBER AND ALSO REDEEM AND RECEIVE THE SHARES OF CONTINENTAL CONTROL LTD. PLEDGED BY THE APPELLANT MR.PRABHAKRA NAIG
SAT: SAT VIDE ITS ORDER DATED 10/12/2024 ADDED WORDS ‘CONTINENTAL CONTROL LTD.’ IN PARAGRAPH 8 AFTER WORD ‘SHARES’, IN THE SECOND BULLET POINT
SEBI VIDE ITS ORDER DATED 28/03/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR A PERIOD OF ONE YEAR FROM DATE OF INTERIM ORDER 21/10/2024 B) RESTRAINED FROM BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER WHATSOEVER, INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY EXCEPT ONELIFE CAPITAL ADVISORS LTD. OR INTERMEDIARY REGISTERED WITH SEBI OR A PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC IN SECURITIES MARKET FOR A PERIOD OF ONE YEAR FROM DATE OF INTERIM ORDER 21/10/2024
SAT: SAT VIDE ITS ORDER DATED 11/08/2025 REJECTED REQUEST OF FILING APPLICATION TO STOCK EXCHANGES AND SEBI
|
| 1885 |
|
|
TIKKAVARAPU VENKATRAM REDDY
(PAN:AAWPT6829M)
|
|
|
|
DECCAN CHRONICLE HOLDINGS LTD.
CIN:L22122TG2002PLC040110
PAN:AABCD6737D
|
|
MADE PUBLIC ANNOUNCEMENT FOR BUY BACK OF ITS EQUITY SHARES WITHOUT HAVING ADEQUATE FREE RESERVES MISLED INVESTORS/SHAREHOLDERS ABOUT PERCEIVED VALUATION/STRONG FINANCIAL POSITION OF COMPANY VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 AND SECTION 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
CARRIED OUT BUYBACK OF ITS EQUITY SHARES MORE THAN 25% OF ITS TOTAL PAID UP CAPITAL LIMIT DURING FY.2011-12 VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL PRICE SENSITIVE INFORMATION ON DATE OF ENTERING INTO AGREEMENT WITH DECCAN CHRONICLE MARKETERS VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
ISSUED MISLEADING FINANCIAL INFORMATION (I.E.UNDERSTATEMENT OF INTEREST AND FINANCE CHARGES ON OUTSTANDING LOANS AND THEREBY OVERSTATEMENT OF PROFITS) IN ITS ANNUAL REPORT FOR FY.2008-09 TO 2010-11 VIOLATING CLAUSE 41 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DELAY IN FILING OF SHAREHOLDING PATTERN TO STOCK EXCHANGES FOR QUARTERS ENDED SEPTEMBER-2012 AND DECEMBER-2012 VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT PROVIDE UPDATED INFORMATION ON SHAREHOLDING PATTERN FROM QUARTER ENDED MARCH-2013 ONWARDS ON ITS WEBSITE VIOLATING CLAUSE 54 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT APPOINT NEW COMPANY SECRETARY SUBSEQUENT TO RESIGNATION OF EXISTING COMPANY SECRETARY VIOLATING CLAUSE 47(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE RELATED PARTY TRANSACTIONS OF RS.99.45 CRORES ADVANCED TO FLYINGTON FREIGHTORS LTD. VIOLATING CLAUSE 32 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURES UPON INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT COMPLY WITH CLAUSES 36, 41, 35, 54, 47(A) AND 32 OF THE LISTING AGREEMENT VIOLATING SECTION 21 READ WITH SECTION 24(1) OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
|
IMPOSED PENALTY RS.95,00,000
22-MAR-2022
|
SAT: SAT VIDE ITS ORDER DATED 05/08/2022 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 16/12/2022 DIRECTED TO PAY RS.1,30,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 11/01/2023 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
SEBI VIDE ITS ORDER DATED 13/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,45,61,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.TIKKAVARAPU VENKATRAM REDDY TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 14/03/2023 ALLOWED FURTHER TWO WEEKS TO FILE WRITTEN SUBMISSIONS
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.65 LAC FROM RS.1.30 CRORE TO BE PAID WITHIN FOUR WEEKS FROM THE DATE OF ORDER
SAT: SAT VIDE ITS ORDER DATED 10/01/2024 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 22/03/2024 ALLOWED THE APPEAL AND 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 11/01/2023
SEBI VIDE ITS ORDER DATED 22/03/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6117 OF 2022 DATED 16/12/2022
SAT: SAT VIDE ITS ORDER DATED 22/08/2024 DISMISSED THE APPEAL AS WITHDRAWN
|
| 1886 |
|
|
TIKKAVARAPU VINAYAK RAVI REDDY
(PAN:ABAPT1371Q)
|
|
|
|
DECCAN CHRONICLE HOLDINGS LTD.
CIN:L22122TG2002PLC040110
PAN:AABCD6737D
|
|
MADE PUBLIC ANNOUNCEMENT FOR BUY BACK OF ITS EQUITY SHARES WITHOUT HAVING ADEQUATE FREE RESERVES MISLED INVESTORS/SHAREHOLDERS ABOUT PERCEIVED VALUATION/STRONG FINANCIAL POSITION OF COMPANY VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 AND SECTION 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
CARRIED OUT BUYBACK OF ITS EQUITY SHARES MORE THAN 25% OF ITS TOTAL PAID UP CAPITAL LIMIT DURING FY.2011-12 VIOLATING SECTIONS 68 AND 77A OF COMPANIES ACT, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL PRICE SENSITIVE INFORMATION ON DATE OF ENTERING INTO AGREEMENT WITH DECCAN CHRONICLE MARKETERS VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
ISSUED MISLEADING FINANCIAL INFORMATION (I.E.UNDERSTATEMENT OF INTEREST AND FINANCE CHARGES ON OUTSTANDING LOANS AND THEREBY OVERSTATEMENT OF PROFITS) IN ITS ANNUAL REPORT FOR FY.2008-09 TO 2010-11 VIOLATING CLAUSE 41 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DELAY IN FILING OF SHAREHOLDING PATTERN TO STOCK EXCHANGES FOR QUARTERS ENDED SEPTEMBER-2012 AND DECEMBER-2012 VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT PROVIDE UPDATED INFORMATION ON SHAREHOLDING PATTERN FROM QUARTER ENDED MARCH-2013 ONWARDS ON ITS WEBSITE VIOLATING CLAUSE 54 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT APPOINT NEW COMPANY SECRETARY SUBSEQUENT TO RESIGNATION OF EXISTING COMPANY SECRETARY VIOLATING CLAUSE 47(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE RELATED PARTY TRANSACTIONS OF RS.99.45 CRORES ADVANCED TO FLYINGTON FREIGHTORS LTD. VIOLATING CLAUSE 32 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURES UPON INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
DID NOT COMPLY WITH CLAUSES 36, 41, 35, 54, 47(A) AND 32 OF THE LISTING AGREEMENT VIOLATING SECTION 21 READ WITH SECTION 24(1) OF SCRA, 1956 IN MATTER OF DECCAN CHRONICLE HOLDINGS LTD.
|
IMPOSED PENALTY RS.95,00,000
22-MAR-2022
|
SAT: SAT VIDE ITS ORDER DATED 05/08/2022 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/09/2022 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 16/12/2022 DIRECTED TO PAY RS.1,30,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 01/02/2023 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
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.65 LAC FROM RS.1.30 CRORE TO BE PAID WITHIN FOUR WEEKS FROM THE DATE OF ORDER
SAT: SAT VIDE ITS ORDER DATED 10/01/2024 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 22/03/2024 ALLOWED THE APPEAL AND 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 01/02/2023
SEBI VIDE ITS ORDER DATED 22/03/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6121 OF 2022 DATED 16/12/2022
SAT: SAT VIDE ITS ORDER DATED 22/08/2024 DISMISSED THE APPEAL AS WITHDRAWN
|
| 1887 |
|
|
TILAK RAJ
(PAN:AFVPR9331P)
(Along with : SHUBHAM MITTAL,
GAURAV NARANG,
REKHA NARANG)
|
|
|
|
BIGSEA TRADING CO.PVT.LTD.
PAN:AAFCB0528E
|
|
|
JAGTARNI TRADERS PVT.LTD.
PAN:AACCJ1260C
|
|
|
MAX HEIGHTS INFRASTRUCTURE LTD.
|
|
|
SKYLARGE REALCON PVT.LTD.
PAN:AARCS6421P
|
|
INTRODUCED MISLEADING PROPOSAL OF SHARE SPLIT (LATER REJECTED BY SHAREHOLDERS) THAT RESULTED IN INCREASE IN THE PRICE AND VOLUME OF THE SHARES AND SUBSEQUENTLY OFFLOADED THEIR HOLDINGS IN MATTER OF MAX HEIGHTS INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-SEP-2025
|
|
| 1888 |
|
|
TRISHLA JAIN
(PAN:AEMPJ2136G)
|
|
|
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING SECTIONS 12(A)(A) TO 12A(B) OF SEBI ACT, 1992 READ WITH REGULATION 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE
DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR
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 28-MAR-2023 TILL COMPLYING WITH THE MPS REQUIREMENT
IMPOSED PENALTY RS.39,00,000
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 26/04/2023 ALLOWED THE APPLICATIONS AND DIRECTED RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS. REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. DIRECTED THAT THE EFFECT AND OPERATION OF IMPUGNED ORDERS TO REMAIN STAYED DURING PENDENCY OF APPEAL AND APPELLANTS TO DEPOSITS 25% OF PENALTY AMOUNT BY WAY OF CASH OR BANK GUARANTEE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 07/11/2024 DIRECTED APPELLANTS TO SUBMIT LETTER TO CGM, CORPORATE FINANCE DEPARTMENT, SEBI WITHIN TEN DAYS FROM DATE OF THIS ORDER AND SEBI TO REPLY/RESPOND WITHIN THIRTY DAYS FROM DATE OF SUBMISSION OF THEIR REQUEST BY THE APPELLANTS
|
| 1889 |
|
|
TRISHLA JAIN
(PAN:AEMPJ2136G)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 1890 |
|
|
TUSHAR DEY
(PAN:AHEPD2060J)
|
|
|
|
BIRLA PACIFIC MEDSPA LTD.
CIN:L85100MH2008PLC184689
PAN:AADCB5167F
|
|
INDULGED IN MIS-UTILIZATION OF IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), (F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
|
IMPOSED PENALTY RS.25,00,000
28-SEP-2022
|
|
| 1891 |
|
|
UDIT HARISHKUMAR SHETH
(PAN:ADQPS5292M)
|
|
|
|
SETCO AUTO SYSTEMS PVT.LTD.
PAN:AADCT6512A
|
|
|
SETCO AUTOMOTIVE LTD.
PAN:AAACG7777K
|
|
INDULGED IN DIVERSION OF FUNDS/ASSETS TO PROMOTER ENTITIES THROUGH A SCHEME OF MARKETING/ LIAISONING SERVICE COMMISSION VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETCO AUTOMOTIVE LTD.
MISREPRESENTED FINANCIAL STATEMENTS VIOLATING 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(III)(1), 4(2)(F)(III)(3), 4(2)(F)(III)(5), 4(2)(F)(III)(6), 4(2)(F)(III)(7), 17(8) AND REGULATIONS 4(1), 4(2)(E), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF SETCO AUTOMOTIVE LTD.
|
DIRECTED TO ACT IN BONA FIDE MANNER WITHOUT HARMING INTERESTS OF INVESTORS
DIRECTED TO PAY JOINTLY AND SEVERALLY TO SETCO AUTOMOTIVE LTD. RS.81.96 CRORE INVESTED IN SETCO ENGINEERING PVT.LTD. ALONG WITH INTEREST@ 12% P.A. FROM DATE OF INVESTMENT
DIRECTED TO PAY JOINTLY AND SEVERALLY TO SETCO AUTO SYSTEMS PVT.LTD. RS.107.76 CRORE RECEIVED AS MARKETING COMMISSION BY SETCO ENGINEERING PVT.LTD. ALONG WITH INTEREST@ 23% P.A. FROM DATE OF PAYMENT OF COMMISSION
DIRECTED TO PAY JOINTLY AND SEVERALLY TO SETCO AUTO SYSTEMS PVT.LTD. RS.13.07 CRORE INVESTED IN NCCRPS OF SETCO ENGINEERING PVT.LTD. ALONG WITH INTEREST@ 23% P.A. FROM DATE OF INVESTMENT
DIRECTED TO PAY JOINTLY AND SEVERALLY PAY TO SETCO AUTO SYSTEMS PVT.LTD. RS.5.98 CRORE INVESTED IN NCCRPS OF TRANSSTADIA TECHNOLOGIES PVT.LTD. ALONG WITH INTEREST@ 23% P.A. FROM DATE OF INVESTMENT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-FEB-2026 TO 04-FEB-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-FEB-2026 TO 04-FEB-2028
IMPOSED PENALTY RS.6,00,000
05-FEB-2026
|
|
| 1892 |
|
|
UJJAL LAHA
(PAN:ATSPL2483R)
|
|
|
INDULGED IN OFF-LOADING OF SHARES AFTER CIRCULATION OF BULK SMSES AT A HUGE PROFIT VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DARSHAN ORNA LTD.
|
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 19-DEC-2022 TO 19-DEC-2027
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 07/09/2023 DIRECTED TO PAY RS.11,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 09/10/2023 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
SEBI VIDE ITS NOTICE DATED 16/11/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.11,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 08/01/2026 ALLOWED THE APPEAL AND 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 09/10/2023
|
| 1893 |
|
|
UMA KARTHIKEYAN
(DIN:00092543
PAN:AKPPK3166J)
|
|
|
AIDED IN FRAUDULENT SCHEME IN FACILITATING SUBSCRIPTION OF GDR ISSUE MISLEADING DISCLOSURES TO STOCK EXCHANGES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SANRAA MEDIA LTD
|
IMPOSED PENALTY RS.10,00,000
21-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 06/07/2022 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 02/09/2022 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 24/02/2025 DIRECTED TO PAY RS.13,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 24/03/2025 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
|
| 1894 |
|
|
UMASHANKAR SHARAN SHRIVASTAV
(PAN:AGKPS7923C)
|
|
|
|
KASSA FINVEST PVT.LTD.
CIN:U74899DL1994PTC060668
PAN:AAACK1206B
(Member : NSE/BSE/MSEI/OTC)
|
|
INDULGED IN MOVEMENT OF FUNDS FROM TO OTHER GROUP/RELATED ENTITIES/PERSONS VIOLATING SECTIONS 12A(B) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) & 4(2)(M) OF PFUTP REGULATIONS, 2003 IN MATTER OF KASSA FINVEST PVT.LTD.
|
IMPOSED PENALTY RS.4,50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-FEB-2021
|
SEBI VIDE ITS NOTICE DATED 21/06/2022 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
SEBI VIDE ITS ORDER DATED 04/08/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF KASSA FINVEST PVT.LTD., MR.ASHOK KUMAR, MR.UMASHANKAR SHARAN SRIVASTAVA, MS.ANJANA KUMAR, MR.SIDDHARTH SHANKAR AND MS.NIKITA SHANKAR TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 1895 |
|
|
UMESH JAIN
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN DISCONTINUATION OF TRADING ACCESS POINT (TAP) AND DID NOT PROVIDE STANDING COMMITTEE ON TECHNOLOGY (SCOT) WITH FULL PICTURE OF ISSUES INVOLVED WITH TRADING ACCESS POINT (TAP)
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 1896 |
|
|
UPKAR SINGH KOHLI
(PAN:AAIPK0833F)
|
|
|
|
BIRLA POWER SOLUTIONS LTD.
CIN:L31101MH1984PLC032773
PAN:AAACB5253D
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION SUBMITTED TO EURAM BANK VIOLATING SECTION 12A (A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA POWER SOLUTIONS LTD.
|
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 23-MAR-2021 TO 22-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
23-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/07/2021 ALLOWED THE APPEALS AND QUASHED THE IMPUGNED ORDERS DATED 27/04/2021 AND 23/03/2021
|
| 1897 |
|
|
UPKAR SINGH KOHLI
(PAN:AAIPK0833F)
|
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION SUBMITTED TO EURAM BANK VIOLATING SECTION 12A (A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA POWER SOLUTIONS LTD.
|
IMPOSED PENALTY RS.20,00,000
27-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/07/2021 ALLOWED THE APPEALS AND QUASHED THE IMPUGNED ORDERS DATED 27/04/2021 AND 23/03/2021
|
| 1898 |
|
|
UPKAR SINGH KOHLI
(PAN:AAIPK0833F)
|
|
|
|
BIRLA PACIFIC MEDSPA LTD.
CIN:L85100MH2008PLC184689
PAN:AADCB5167F
|
|
INDULGED IN MIS-UTILIZATION OF IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), (F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
|
IMPOSED PENALTY RS.25,00,000
28-SEP-2022
|
|
| 1899 |
|
|
URJA HARSHAL SHAH
(PAN:AZIPS3369M)
|
|
|
|
SETCO AUTOMOTIVE LTD.
PAN:AAACG7777K
|
|
INDULGED IN DIVERSION OF FUNDS/ASSETS TO PROMOTER ENTITIES THROUGH A SCHEME OF MARKETING/ LIAISONING SERVICE COMMISSION VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SETCO AUTOMOTIVE LTD.
MISREPRESENTED FINANCIAL STATEMENTS VIOLATING 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(III)(1), 4(2)(F)(III)(3), 4(2)(F)(III)(5), 4(2)(F)(III)(6), 4(2)(F)(III)(7), 17(8) AND REGULATIONS 4(1), 4(2)(E), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF SETCO AUTOMOTIVE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-FEB-2026 TO 04-FEB-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-FEB-2026 TO 04-FEB-2027
IMPOSED PENALTY RS.6,00,000
05-FEB-2026
|
|
| 1900 |
|
|
URMILA DEBI
(PAN:AYGPD9258H)
|
|
|
MANIPULATED ORDER BOOK THROUGH FALSE VOLUMES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KRISHNA FABRICS LTD.
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF KRISHNA FABRICS LTD.
|
IMPOSED PENALTY RS.13,00,000
06-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 17/03/2023 DIRECTED TO PAY RS.13,53,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/04/2023 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
SEBI VIDE ITS NOTICE DATED 12/05/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.13,79,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 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 102
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