| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
BCL INDUSTRIES LTD.
(CIN:AAACB5510B
PAN:AAACB5510B)
|
|
|
|
RAJINDER MITTAL
PAN:AARPM9226F
|
|
ALLEGED FAILURE TO DISCLOSE MANOJ FINVEST PVT.LTD. AS PART OF PROMOTER GROUP VIOLATING REGULATION 31(4) OF SEBI (LODR) REGULATIONS, 2015 READ WITH REGULATIONS 2(1)(PP)(IV)(B) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF BCL INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,30,000 VIDE CONSENT ORDER)
06-MAR-2025
|
|
| 2 |
|
|
ELCID INVESTMENTS LTD.
(PAN:AAACE1611Q)
|
|
|
ALLEGED FAILURE TO MAINTAIN STRUCTURED DIGITAL DATABASE DURING INVESTIGATION PERIOD VIOLATING REGULATIONS 3(5) READ WITH 3(6) OF SEBI (PIT) REGULATIONS, 2015
ALLEGED FAILURE TO DISCLOSE MR.JATIN SARAIYA’S (ONE AMONG THE PROMOTER AND PROMOTER GROUP OF APPLICANT) JOINT SHAREHOLDING OF 50 SHARES WITH HIS SPOUSE AS PART OF PROMOTER AND PROMOTER GROUP, FOR QUARTERS ENDING DECEMBER 2021 TO JUNE 2022 VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR DATED 30/11/2015
ALLEGED FAILURE TO DISCLOSE MR.JATIN SARAIYA’S (ONE AMONG THE PROMOTER AND PROMOTER GROUP OF APPLICANT) JOINT SHAREHOLDING OF 50 SHARES WITH HIS SPOUSE AS PART OF PROMOTER AND PROMOTER GROUP, FOR QUARTERS ENDING DECEMBER 2021 TO JUNE 2022 VIOLATING REGULATION 2(1)(PP) OF SEBI (ICDR) REGULATIONS, 2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.17,31,510 VIDE CONSENT ORDER)
24-JUN-2024
|
|
| 3 |
|
|
ONE 97 COMMUNICATIONS LTD.
(PAN:AAACO4007A)
|
|
|
|
AJAY SHEKHAR SHARMA
PAN:BBJPS0729P
|
|
ALLEGED VIOLATION OF REGULATION REGULATION 2(1)(I)(III) OF SEBI (SBEB) REGULATIONS, 2021 IN MATTER OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
ALLEGED VIOLATION OF REGULATIONS 245(1) AND 245(2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 IN MATTER OF GRANTING OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
ALLEGED VIOLATION OF REGULATIONS 4(1) AND 4(2) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,11,15,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,10,00,000 ESOPS GRANTED/VESTED AND NON-EXERCISED)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,22,862 ESOPS GRANTED/VESTED UPON BUT NOT EXERCISED)
08-MAY-2025
|
|
| 4 |
|
|
ONE 97 COMMUNICATIONS LTD.
(PAN:AAACO4007A)
|
|
|
|
VIJAY SHEKHAR SHARMA
PAN:AOAPS4075F
|
|
ALLEGED VIOLATION OF REGULATION REGULATION 2(1)(I)(III) OF SEBI (SBEB) REGULATIONS, 2021 IN MATTER OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
ALLEGED VIOLATION OF REGULATIONS 245(1) AND 245(2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 IN MATTER OF GRANTING OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
ALLEGED VIOLATION OF REGULATION 2(1)(OO) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 IN MATTER OF GRANTING OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,10,00,000 ESOPS GRANTED/VESTED AND NON-EXERCISED)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE PROHIBITED FROM ACCEPTING ANY FRESH ESOPS FROM ANY LISTED COMPANY) FROM 08-MAY-2025 TO 07-MAY-2028
08-MAY-2025
|
|
| 5 |
|
|
ONE 97 COMMUNICATIONS LTD.
(PAN:AAACO4007A)
|
|
|
|
AMIT KHERA
PAN:ADIPK2718E
|
|
|
ASHIT RANJIT LILANI
PAN:AEIPL6317D
|
|
|
DOUGLAS FEAGIN
|
|
|
MARK SCHWARTZ
|
|
|
MUNISH VARMA
PAN:AAGPV7557F
|
|
|
NEERAJ ARORA
PAN:AJNPA3852A
|
|
|
PALLAVI SHARDUL SHROFF
PAN:AQPPS7388Q
|
|
|
RAVI CHANDRA ADUSUMALLI
PAN:AIHPA6082D
|
|
ALLEGED FAILURE TO ENSURE CONFORMITY WITH THE REGULATORY PROVISIONS APPLICABLE TO LISTED ENTITY IN LETTER AND SPIRIT VIOLATING REGULATION 6(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONE97 COMMUNICATIONS LTD.
ALLEGED FAILURE IN DISCHARGING DUTIES WITH UNBIASED AND INDEPENDENT APPROACH WHILE DECISION-MAKING W.R.T. MATTERS INVOLVING BENEFITS TO MR.VIJAY SHEKHAR SHARMA (MD & CEO, PAYTM) AND HIS RELATIVES VIOLATING REGULATION 4(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONE97 COMMUNICATIONS LTD.
ALLEGED INDULGENCE IN APPROVAL AND SIGNING OFFER DOCUMENTS BY DIRECTORS CONTAINING INCORRECT STATEMENTS AND INCOMPLETE DISCLOSURES VIOLATING REGULATIONS 245(1) AND 245(2) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF ONE97 COMMUNICATIONS LTD.
ALLEGED SIGN OFFER DOCUMENTS CONTAINING INCORRECT STATEMENT AND INCOMPLETE DISCLOSURES W.R.T. COMPANY BEING PROFESSIONALLY MANAGED COMPANY HAVING NO IDENTIFIABLE PROMOTER WHEREAS COMPANY HAVING PROMOTER I.E. MR.VIJAY SHEKHAR SHARMA VIOLATING REGULATIONS 245(1) AND 245(2) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF ONE97 COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( CONSENT ORDER)
17-JAN-2025
|
|
| 6 |
|
|
QUADRANT FUTURE TEK LTD.
(CIN:U74999PB2015PLC039758
PAN:AAACQ3957B)
|
|
|
|
MOHAN KRISHNAN ABROL
PAN:AAKPA3143N
|
|
|
VIVEK ABROL
DIN:01381395
PAN:AAKPA3146K
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF TRANSFER OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 54 OF SEBI (ICDR) REGULATIONS, 2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-APR-2025
|
|
| 7 |
|
|
RMC SWITCH GEARS LTD.
(PAN:AAACR6750K)
|
|
|
ALLEGED DELAY IN FILING APPLICATION FOR IN-PRINCIPLE APPROVAL FROM STOCK EXCHANGES FOR ALLOTMENT OF PREFERENTIAL EQUITY SHARES ON A PRIVATE PLACEMENT BASIS VIOLATING REGULATION 160(F) OF SEBI (ICDR) REGULATIONS, 2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,25,000 VIDE CONSENT ORDER)
15-SEP-2023
|
|
| 8 |
|
|
SHARAT INDUSTRIES LTD.
(PAN:AACCS8215J)
|
|
|
ALLEGED FAILURE TO ALLOT SECURITIES WITHIN FIFTEEN DAYS OF PASSING OF SPECIAL RESOLUTION VIOLATING REGULATION 170(1) OF SEBI (ICDR) REGULATION, 2018
ALLEGED FAILURE IN MAKING DISCLOSURE IN THE EXPLANATORY STATEMENT OF NOTICE OF EXTRAORDINARY GENERAL MEETING DATED 12/11/2021 VIOLATING REGULATION 163(1) OF SEBI (ICDR) REGULATION, 2018
ALLEGED FAILURE IN KEEPING PRE-PREFERENTIAL SHAREHOLDING OF ONE OF THE ALLOTTEES UNDER LOCK-IN VIOLATING REGULATION 167(6) OF SEBI (ICDR) REGULATION, 2018
ALLEGED FAILURE IN MAKING CORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 31(1) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN APPOINTMENT OF COMPLIANCE OFFICER VIOLATING REGULATION 6 OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.36,25,000 VIDE CONSENT ORDER)
05-FEB-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
