| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ARTH UDYOG LTD.
(PAN:AAACA1256B)
|
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ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH 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
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
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,71,15,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO PROVIDE ANOTHER EXIT OFFER TO ITS PUBLIC SHAREHOLDERS AFTER SETTLEMENT ORDER AT SAME EXIT PRICE AS WAS OFFERED IN THE OFFER GIVEN BY IT IN 2019)
12-SEP-2022
|
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| 2 |
|
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ASHOKA MARKETING LTD.
(PAN:AACCA7616H)
|
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ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH 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
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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,87,10,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO PROVIDE ANOTHER EXIT OFFER TO ITS PUBLIC SHAREHOLDERS AFTER SETTLEMENT ORDER AT SAME EXIT PRICE AS WAS OFFERED IN THE OFFER GIVEN BY IT IN 2019)
12-SEP-2022
|
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| 3 |
|
|
ASHOKA VINIYOGA LTD.
(PAN:AACCA4784G)
|
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ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH 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
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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,95,07,500 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-JUN-2024
07-SEP-2022
|
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| 4 |
|
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ASSOCIATED MANUFACTURING RANIA PVT.LTD.
|
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ALLEGED DELAY IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT UNDER RULE 19A, PROVISO TO RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCR ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-JAN-2017
|
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| 5 |
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BHARAT NIDHI LTD.
(PAN:AAACB0195J)
|
|
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ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH 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
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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,43,10,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO PROVIDE ANOTHER EXIT OFFER TO ITS PUBLIC SHAREHOLDERS AFTER SETTLEMENT ORDER AT SAME EXIT PRICE AS WAS OFFERED IN THE OFFER GIVEN BY IT IN 2019)
12-SEP-2022
|
|
| 6 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH 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
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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,43,10,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-SEP-2024
07-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 07/02/2023 CONDONED THE DELAY IN FILING OF APPEAL. APPEAL ALLOWED AND QUASHED IMPUGNED ORDERS. MATTER REMITTED TO AO TO PASS A FRESH ORDER IN THE LIGHT OF DECISION OF TRIBUNAL WITHIN THREE MONTHS
|
| 7 |
|
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DHANSHREE AGRO CHEMICALS (NANDESARI) PVT.LTD.
|
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ALLEGED DELAY IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT UNDER RULE 19A, PROVISO TO RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCR ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-JAN-2017
|
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| 8 |
|
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ELANTAS BECK INDIA LTD.
|
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ALLEGED DELAY IN MEETING REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING OF 25% VIOLATING PROVISIONS OF SECTION 21 OF SCRA 1956 AND PROVISION TO RULE 19A (1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 IN MATTER OF ELANTAS BECK INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,84,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JUN-2016
|
|
| 9 |
|
|
ELANTAS GMBH
|
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ALLEGED DELAY IN MEETING REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING OF 25% VIOLATING PROVISIONS OF SECTION 21 OF SCRA 1956 AND PROVISION TO RULE 19A (1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 IN MATTER OF ELANTAS BECK INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,84,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JUN-2016
|
|
| 10 |
|
|
HEXA TRADEX LTD.
(PAN:AACCH5334B)
|
|
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ALLEGED FAILURE IN DISCLOSING APPLICANT 4 AS PART OF PROMOTER GROUP VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
ALLEGED FILING OF INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN BY INCLUDING APPLICANT 4 AS PUBLIC SHAREHOLDER VIOLATING CLAUSE 35 OF READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,48,550 VIDE CONSENT ORDER)
01-DEC-2023
|
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| 11 |
|
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IL&FS SECURITIES SERVICES LTD.
(PAN:AABCI5580K)
|
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ALLEGED INDULGENCE IN RISK PARTICIPANTS ARRANGEMENTS WITH IL&FS FINANCIAL SERVICES LTD. VIOLATING RULES 8(1)(F) AND 8(3)(F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,80,000 VIDE CONSENT ORDER)
28-OCT-2020
|
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| 12 |
|
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JINDAL SAW LTD.
(PAN:AABCS7280C)
|
|
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ALLEGED FILING OF INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN VIOLATING CLAUSE 35 OF READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
ALLEGED FAILURE IN DISCLOSING APPLICANT 4 AS PART OF PROMOTER GROUP VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.26,30,550 VIDE CONSENT ORDER)
01-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/07/2024 DISMISSED THE APPEAL AS WITHDRAWN
|
| 13 |
|
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NANDESARI AGROCHEMICALS PVT.LTD.
|
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ALLEGED DELAY IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT UNDER RULE 19A, PROVISO TO RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCR ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-JAN-2017
|
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| 14 |
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OCEAN AGRO (INDIA) LTD.
|
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BABUBHAI JAMANDAS PARIKH
|
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KAUSHIK BABUBHAI PARIKH
|
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MANHARBHAI DAYALJIBHAI PATEL
|
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SHANTABEN MANHARBHAI PATEL
|
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USHABEN K.PARIKH
|
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ALLEGED DELAY IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT UNDER RULE 19A, PROVISO TO RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCR ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-JAN-2017
|
|
| 15 |
|
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OM PESTICIDES NANDESARI PVT.LTD.
|
|
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ALLEGED DELAY IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT UNDER RULE 19A, PROVISO TO RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCR ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-JAN-2017
|
|
| 16 |
|
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PARSHWANATH CORP.LTD.
(PAN:AAACP9020A)
|
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ALLEGED VIOLATION OF RULE 19(2)(B) AND 19A OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
06-DEC-2017
|
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| 17 |
|
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SHREEVATSAA FINANCE & LEASING LTD.
|
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ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19 OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH SECTION 21 OF SCRA ON OCTOBER 20,2016
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
16-MAY-2018
|
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| 18 |
|
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STARCOM INFORMATION TECHNOLOGY LTD.
(CIN:L67120KA1995PLC078846
PAN:AAACJ1380R)
|
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ALLEGED VIOLATION OF CLAUSE 40A OF LISTING AGREEMENT READ WITH RULE 19A OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
ALLEGED VIOLATION OF REGULATION 38 OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
28-MAR-2019
|
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| 19 |
|
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VALIANT ORGANICS LTD.
(PAN:AACCV0024A)
|
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ALLEGED FAILURE IN COMPLIANCE OF CLAUSE I (A)(3)(B) OF ANNEXURE – I OF SEBI CIRCULAR NO.CFD/DIL3/CIR/2017/21 DATED 10/03/2017 READ WITH REGULATIONS 11, 37 AND 94 READ WITH REGULATION 101(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CONVERSION OF OPTIONALLY CONVERTIBLE PREFERENCE SHARES OF AMARJYOT CHEMICAL LTD.
ALLEGED FAILURE IN COMPLIANCE OF RULE 19(7) OF SECURITIES CONTRACTS (REGULATION) RULES, 19572015 IN MATTER OF CONVERSION OF OPTIONALLY CONVERTIBLE PREFERENCE SHARES OF AMARJYOT CHEMICAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
18-SEP-2023
|
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
