| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1921 |
|
STOVEC INDUSTRIES LTD.
|
|
|
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.5,84,350 VIDE CONSENT ORDER)
15-APR-2019
|
|
| 1922 |
|
|
STP EXIM PVT.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 VAIBHAV GEMS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.52,31,150 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-SEP-2016
|
|
| 1923 |
|
|
STRATEGIC RESEARCH INTELLIGENCE 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
|
|
| 1924 |
|
|
STRIKE RIGHT INTEGRATED SERVICES LTD.
(PAN:AAECS6953K)
|
|
|
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH REGULATION 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF LAMBODHARA TEXTILES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.55,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-JAN-2017
|
|
| 1925 |
|
|
STRUCTURE HOUSING & FINANCE PVT.LTD.
|
|
|
|
RAJKUMAR C.BASANTANI
PAN:AESPB2834F
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 1926 |
|
|
STS HOLDINGS 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 VAIBHAV GEMS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.52,31,150 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-SEP-2016
|
|
| 1927 |
|
|
SUBHKAM CAPITAL LTD.
(PAN:AAACP3134B)
|
|
|
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
|
IMPOSED PENALTY RS.4,00,000
29-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2019 AFFIRMED PENALTY OF RS.4 LACS FOR VIOLATION OF REGULATION 7(3) AND 8(3) OF TAKEOVER REGULATION, 1997
|
| 1928 |
|
|
SUBHKAM MONETARY SERVICES PVT.LTD.
(PAN:AANCS3565L)
(Along with : RAKESH S.KATHOTIA (HUF),
SUBHKAM PROPERTIES PVT.LTD.)
|
|
|
|
ARTI KATHOTIA
PAN:AGSPK0722H
|
|
|
KAMLA DEVI KATHOTIA
PAN:AKPPK9141B
|
|
|
RAKESH S.KATHOTIA
PAN:AJJPK1926B
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2019 ALLOWED THE APPEAL AND QUASHED PENALTY OF RS.15 LACS FOR VIOLATION OF REGULATIONS 7(1) READ WITH 7(2) OF TAKEOVER REGULATION,1997
|
| 1929 |
|
|
SUBHKAM PROPERTIES PVT.LTD.
(PAN:AAACD3558R)
(Along with : RAKESH S.KATHOTIA (HUF),
SUBHKAM MONETARY SERVICES PVT.LTD.)
|
|
|
|
ARTI KATHOTIA
PAN:AGSPK0722H
|
|
|
KAMLA DEVI KATHOTIA
PAN:AKPPK9141B
|
|
|
RAKESH S.KATHOTIA
PAN:AJJPK1926B
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
|
IMPOSED PENALTY RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2019 ALLOWED THE APPEAL AND QUASHED PENALTY OF RS.15 LACS FOR VIOLATION OF REGULATIONS 7(1) READ WITH 7(2) OF TAKEOVER REGULATION,1997
|
| 1930 |
|
|
SUBHKAM PROPERTIES PVT.LTD.
(PAN:AAACD3558R)
(Along with : RAKESH S.KATHOTIA (HUF),
SUBHKAM SECURITIES PVT.LTD.)
|
|
|
|
ARTI KATHOTIA
PAN:AGSPK0722H
|
|
|
KAMLA DEVI KATHOTIA
PAN:AKPPK9141B
|
|
|
RAKESH S.KATHOTIA
PAN:AJJPK1926B
|
|
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 SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
DELAY IN MAKING 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 SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2019 QUASHED PENALTY OF RS.8 LACS FOR VIOLATION OF REGULATION 7(1A) READ WITH 7(2) OF TAKEOVER REGULATION,1997
|
| 1931 |
|
|
SUBHKAM SECURITIES PVT.LTD.
(PAN:AADCS4498N)
(Along with : RAKESH S.KATHOTIA (HUF),
SUBHKAM PROPERTIES PVT.LTD.)
|
|
|
|
ARTI KATHOTIA
PAN:AGSPK0722H
|
|
|
KAMLA DEVI KATHOTIA
PAN:AKPPK9141B
|
|
|
RAKESH S.KATHOTIA
PAN:AJJPK1926B
|
|
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 SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
DELAY IN MAKING 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 SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2019 QUASHED PENALTY OF RS.8 LACS FOR VIOLATION OF REGULATION 7(1A) READ WITH 7(2) OF TAKEOVER REGULATION,1997
|
| 1932 |
|
|
SUBHKAM SECURITIES PVT.LTD.
(PAN:AADCS4498N)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(3) AND 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
|
IMPOSED PENALTY RS.7,00,000
29-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2019 AFFIRMED PENALTY OF RS.7 LACS FOR VIOLATION OF REGULATION 3(3) READ WITH 3(4) OF TAKEOVER REGULATION, 1997
|
| 1933 |
|
|
SUBHKAM SECURITIES PVT.LTD.
(PAN:AADCS4498N)
|
|
|
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
|
|
| 1934 |
|
|
SUBHKAM VENTURES (INDIA) PVT.LTD.
(PAN:AAACW1624M)
|
|
|
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 SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
DELAY IN MAKING 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 SUBHKAM CAPITAL LTD. (NOW KNOWN AS AAGAM CAPITAL LTD.)
|
IMPOSED PENALTY RS.6,00,000
29-OCT-2015
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2019 QUASHED PENALTY OF RS.6 LACS FOR VIOLATION OF REGULATION 7(1A) READ WITH 7(2) OF TAKEOVER REGULATION,1997
|
| 1935 |
|
|
SUBRA MAURITIUS LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY IN MATTER OF SILVERLINE TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-NOV-2006
|
SEBI VIDE ITS NOTICE DATED 21/12/2017 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 09/01/2018 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 21/12/2017
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 03/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.87,31,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF SILVERLINE HOLDINGS CORP., SHREYAS HOLDINGS PVT.LTD. & SUBRA MAURITIUS LTD. BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 15/11/2022 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 21/12/2017
|
| 1936 |
|
|
SUBRAMANIAN INVESTMENTS PVT.LTD.
|
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
31-AUG-2004
|
|
| 1937 |
|
|
SUCCESS 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.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,97,33,551 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-JAN-2017
|
|
| 1938 |
|
|
SUCHITRA FINANCE & TRADING CO.LTD.
|
|
|
DID NOT DISCLOSE SHAREHOLDING/CHANGE IN SHAREHOLDING AS REQUIRED UNDER REGULATIONS 6(2) AND 6(4) FOR YEAR 1997 & 8(3) FOR YEARS 1998 TO 2002 AND 2008 TO 2010 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MARIGOLD INVESTRADE PVT.LTD.
|
IMPOSED PENALTY RS.1,00,000
15-APR-2011
|
|
| 1939 |
|
|
SUDEEP CHITLANGIA (HUF)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 11,97,425 (32.87%) EQUITY SHARES OF SARDA PLYWOOD INDUSTRIES LTD.
|
IMPOSED PENALTY RS.10,000 ALONG WITH OTHER ENTITIES/PERSONS
20-OCT-2008
|
|
| 1940 |
|
|
SUDHIR SANGHI (HUF)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 22.35% SHARES OF SANGHI INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
12-NOV-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 97 of 114
|
