| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1961 |
|
SUNSHINE CAPITAL LTD.
(CIN:L74899DL1994PLC060154
PAN:AABCS1913J)
|
|
|
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.6,63,750 VIDE CONSENT ORDER)
28-MAY-2013
|
|
| 1962 |
|
|
SUPERFINE TRADING CO.PVT.LTD.
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 1963 |
|
|
SUPERHOUSE TRADING CO.PVT.LTD.
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 1964 |
|
|
SUPRIYA LEASING LTD.
(PAN:AAACS2520E)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.8,00,000
28-JUL-2014
|
|
| 1965 |
|
|
SURANA INDUSTRIES LTD.
(PAN:AAACS3123M)
|
|
|
|
ALKA SURANA
PAN:AMZPS1949R
|
|
|
CHANDANBALA SURANA
PAN:AACPS3239D
|
|
|
DINESHCHAND SURANA
PAN:AACPS3233K
|
|
|
G.R.SURANA
PAN:AACPS3237P
|
|
|
MAHAVEER SURANA
|
|
|
RAJESH SURANA
|
|
|
SARALA DEVI SURANA
PAN:AACPS3238C
|
|
|
SHANTILAL SURANA
PAN:ABDPS0456Q
|
|
|
VASANTHA SURANA
PAN:AACPS3234Q
|
|
|
VIJAYRAJ SURANA
DIN:00007313
PAN:AACPS3236N
|
|
ALLEGED NON-COMPLIANCE OF REGULATION 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 50,00,000 (47.62%) SHARES/VOTING RIGHTS OF SURANA INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-SEP-2008
|
|
| 1966 |
|
|
SURANA INDUSTRIES LTD.
(PAN:AAACS3123M)
|
|
|
|
ALKA SURANA
PAN:AMZPS1949R
|
|
|
CHANDANBALA SURANA
PAN:AACPS3239D
|
|
|
DINESHCHAND SURANA
PAN:AACPS3233K
|
|
|
G.R.SURANA
PAN:AACPS3237P
|
|
|
SARALA DEVI SURANA
PAN:AACPS3238C
|
|
|
SHANTILAL SURANA
PAN:ABDPS0456Q
|
|
|
VASANTHA SURANA
PAN:AACPS3234Q
|
|
|
VIJAYRAJ SURANA
DIN:00007313
PAN:AACPS3236N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 70,00,000 EQUITY SHARES OF SURANA INDUSTRIES LTD.
|
DIRECTED TO INITIATE ADJUDICATION PROCEEDINGS
22-JUL-2010
|
|
| 1967 |
|
|
SURANA INDUSTRIES LTD.
(PAN:AAACS3123M)
|
|
|
|
ALKA SURANA
PAN:AMZPS1949R
|
|
|
CHANDANBALA SURANA
PAN:AACPS3239D
|
|
|
DINESHCHAND SURANA
PAN:AACPS3233K
|
|
|
G.R.SURANA
PAN:AACPS3237P
|
|
|
SARALA DEVI SURANA
PAN:AACPS3238C
|
|
|
SHANTILAL SURANA
PAN:ABDPS0456Q
|
|
|
VASANTHA SURANA
PAN:AACPS3234Q
|
|
|
VIJAYRAJ SURANA
DIN:00007313
PAN:AACPS3236N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 70,00,000 EQUITY SHARES OF SURANA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
31-MAY-2011
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 1968 |
|
|
SURDAS TRADING & MANUFACTURING CO.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AND VOTING RIGHTS TO COMPANY AS REQUIRED UNDER REGULATION 8(2) FOR YEARS 1998 & 1999 OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-DEC-2010
|
SEBI VIDE ITS ORDER DATED 27/03/2014 DISPOSED OFF THE MATTER AS INFRUCTUOUS, AS CONSENT ORDER ALREADY PASSED IN THIS CASE AND AMOUNT HAS ALREADY BEEN DEPOSITED
|
| 1969 |
|
|
SURESHKUMAR PODDAR & CO.(HUF)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,91,581 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 1970 |
|
|
SURFACE HOLDINGS LTD.
(PAN:AADCS8492C)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1), 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF COMFORT FINCAP LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-JAN-2015
|
SAT: SAT VIDE ITS ORDER DATED 21/03/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 16/01/2015 AND RESTORED THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 1971 |
|
|
SURYAKRUPA FINANCE LTD.
(PAN:AAACS0703R)
|
|
|
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.6,28,125 VIDE CONSENT ORDER)
09-JUL-2014
|
|
| 1972 |
|
|
SURYODAY ENGINEERING LTD.
(CIN:U29299PN1997PTC107028
PAN:AACCS3503R)
|
|
|
|
SANJAY SONAWANI
DIN:02593631
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF WASHINGTON SOFTWARES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAR-2010 TO 28-APR-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAR-2010 TO 28-APR-2010
29-MAR-2010
|
|
| 1973 |
|
|
SURYODAY ENGINEERING LTD.
(CIN:U29299PN1997PTC107028
PAN:AACCS3503R)
|
|
|
|
SANJAY SONAWANI
DIN:02593631
|
|
CONSOLIDATED HOLDINGS WITHOUT MAKING MANDATORY PUBLIC ANNOUNCEMENT AND PUBLIC OFFER OF WASHINGTON SOFTWARE LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2008
|
|
| 1974 |
|
|
SURYODAY FINMARK CONSULTANTS PVT.LTD.
(PAN:AACCS3508E)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF WASHINGTON SOFTWARES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAR-2010 TO 28-APR-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAR-2010 TO 28-APR-2010
29-MAR-2010
|
|
| 1975 |
|
|
SURYODAY FINMARK CONSULTANTS PVT.LTD.
(PAN:AACCS3508E)
|
|
|
CONSOLIDATED HOLDINGS WITHOUT MAKING MANDATORY PUBLIC ANNOUNCEMENT AND PUBLIC OFFER OF WASHINGTON SOFTWARE LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2008
|
|
| 1976 |
|
|
SURYODAY SERVICE STATIONS LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF WASHINGTON SOFTWARES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAR-2010 TO 28-APR-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAR-2010 TO 28-APR-2010
29-MAR-2010
|
|
| 1977 |
|
|
SURYODAY SERVICE STATIONS LTD.
|
|
|
CONSOLIDATED HOLDINGS WITHOUT MAKING MANDATORY PUBLIC ANNOUNCEMENT AND PUBLIC OFFER OF WASHINGTON SOFTWARE LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2008
|
|
| 1978 |
|
|
SUSHIL SURI SONS (HUF)
(PAN:AAEHS9406G)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MOREPEN LABORATORIES LTD.
|
REJECTED APPLICATION FILED FOR GRANT OF EXEMPTION FROM TAKEOVER REGULATIONS, 1997
29-NOV-2011
|
|
| 1979 |
|
|
SUSHIL SURI SONS (HUF)
(PAN:AAEHS9406G)
|
|
|
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
|
|
| 1980 |
|
|
SVC RESOURCES LTD.
(PAN:AAACP7022N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
DID NOT PASS SPECIAL RESOLUTION TO APPROVE PREFERENTIAL ALLOTMENT VIOLATING REGULATION 72(1)(A) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT DISCLOSURE OF EXPLANATORY STATEMENTS TO THE NOTICE FOR THE GENERAL MEETING VIOLATING REGULATION 73(1)(A) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT PLACE COPY OF CERTIFICATE FROM STATUTORY AUDITOR CERTIFYING COMPLIANCE WITH THE REGULATIONS BEFORE GENERAL MEETING OF SHAREHOLDERS VIOLATING REGULATION 73(2) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT SUBMIT A REPORT BY INDEPENDENT QUALIFIED VALUER ON VALUATION OF THE ASSETS TO STOCK EXCHANGES VIOLATING REGULATION 73(3) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT ADHERE TO REQUIREMENT TO COMPLETE ALLOTMENT WITHIN 15 DAYS FROM THE DATE OF PASSING SPECIAL RESOLUTION VIOLATING REGULATION 74(1) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT RECEIVE FULL CONSIDERATION FROM ALLOTTEES AT THE TIME OF ALLOTMENT VIOLATING REGULATION 77(1) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT SUBMIT OF COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATION 77(6) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT LOCK-IN SECURITIES FOR THREE YEARS FROM DATE OF GRANT OF TRADING APPROVAL VIOLATING REGULATION 78(1) OF SEBI (ICDR) REGULATIONS, 2009
|
IMPOSED PENALTY RS.3,30,000
31-JUL-2020
|
SEBI VIDE ITS NOTICE DATED 19/07/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 10/06/2022 DIRECTED ALL THE BANKS TO REMIT RS.4,10,200 TO THE EXTENT LYING IN THE ACCOUNT OF SVC RESOURCES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 29/06/2022 DIRECTED TO RELEASE BANK ACCOUNTS/LOCKERS/DEMAT ACCOUNTS/MUTUAL FUNDS FOLIO OF SVC RESOURCES LTD. IN COMPLIANCE WITH DIRECTIONS OF HON’BLE SAT ORDER DATED 09/06/2022
|
| 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 99 of 114
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