| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ALMONDZ GLOBAL SECURITIES LTD.
|
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SANJAY DEWAN
|
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VINAY MEHTA
|
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DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF PG ELECTROPLAST LTD.
DID NOT EXERCISE DUE DILIGENCE IN IPO OF BHARTIYA GLOBAL INFOMEDIA LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO SEBI TO PASS APPROPRIATE ORDER WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER. IN CASE NO SUCH ORDER IS PASSED EX-PARTE INTERIM ORDER SHALL STAND VACATED. NO COSTS
SEBI VIDE ITS ORDER DATE 11/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 03/03/2014 PROHIBITED NOTICEES FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPOS, FOLLOW-ON ISSUES ETC. IN SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF SIX MONTHS FROM THE DATE OF THIS ORDER. FURTHER DURING THIS PERIOD NOTICEES SHALL NOT TAKE ANY ASSIGNMENT OR INVOLVEMENT IN BUY-BACKS, OPEN OFFERS OR DELISTING OF SECURITIES
SEBI VIDE ITS ORDER DATED 21/03/2014 PROHIBITED NOTICEES FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPOS, FOLLOW-ON ISSUES ETC. IN SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF FIVE YEARS FROM THE DATE OF THIS ORDER. FURTHER DURING THIS PERIOD NOTICEES SHALL NOT TAKE ANY ASSIGNMENT OR INVOLVEMENT IN BUY-BACKS, OPEN OFFERS OR DELISTING OF SECURITIES. PERIOD OF PROHIBITION ALREADY UNDERGONE SHALL BE TAKEN INTO ACCOUNT FOR THE PURPOSE OF COMPUTING THE PERIOD OF PROHIBITION
SEBI VIDE ITS ORDER DATE 21/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SEBI VIDE ITS ORDER DATED 11/04/2014 SUSPENDED CERTIFICATE OF REGISTRATION FOR A PERIOD OF SIX MONTHS, WHICH SHALL RUN CONCURRENTLY WITH, THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 03/03/2014
SAT: APPEAL DISMISSED AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 13/05/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 20/01/2015. APPEAL ALLOWED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 13/05/2016 QUASHED REMNANT PUNISHMENT IMPOSED VIDE IMPUGNED ORDER DATED 03/03/2014. APPEAL PARTLY ALLOWED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 13/05/2016 QUASHED REMNANT PUNISHMENT IMPOSED VIDE IMPUGNED ORDER DATED 21/03/2014. THUS, APPEAL NOS.275, 276, 301 OF 2014 AND 207 OF 2015 ARE PARTLY ALLOWED. NO COSTS
|
| 2 |
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ATHERSTONE CAPITAL MARKETS LTD.
(PAN:AAGCA1449J)
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GURUNATH MUDLAPUR
|
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RANJAN AGARWAL
|
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DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF ONELIFE CAPITAL ADVISORS LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 16/01/2013 CONFIRMED ITS DIRECTIONS ISSUED IN PARAGRAPHS 14.3, 14.4, 14.5, 14.6, 14.8 AND 14.9 OF EX-PARTE ORDER DATED 28/12/2011 READ WITH ORDER DATED 15/02/2012
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| 3 |
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CHARTERED CAPITAL & INVESTMENT LTD.
(PAN:AAACC6247L)
|
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MANOJ KUMAR RAMRAKHYANI
PAN:AGFPR0472E
|
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MOHIB NOMAN KHERICHA
PAN:AGMPK8152H
|
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DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF RDB RASAYANS LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO BOARD TO COMPLETE THE INVESTIGATION, QUA THE APPELLANTS, WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATE 07/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: SAT VIDE ITS ORDER DATED 25/10/2012 SET ASIDE THE IMPUGNED ORDER DATED 07/09/2012 VIDE WHICH SEBI CONFIRMED EX-PARTE AD-INTERIM ORDER DATED 31/12/2011. DIRECTED SEBI TO COMPLETE THE INVESTIGATION AND TAKE APPROPRIATE DECISION BY 31/12/2012
SAT: SAT VIDE ITS ORDER DATED 14/07/2016 DISPOSED OFF THE APPEAL AS INFRUCTUOUS. NO COSTS
|
| 4 |
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D & A FINANCIAL SERVICES PVT.LTD.
|
|
|
|
DINESH R.KAUSHIK
|
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DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF BROOKS LABORATORIES LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 01-JUL-2014 TO 30-JUN-2019
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN BUY-BACK OF SECURITIES UNDER SEBI (BUY-BACK OF SECURITIES) REGULATIONS 1998, OPEN OFFERS UNDER SEBI (SAST) REGULATIONS, 2011 AND DELISTING OF SECURITIES UNDER SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 FROM 01-JUL-2014 TO 30-JUN-2019
28-DEC-2011
|
SEBI VIDE ITS ORDER DATED 05/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: APPEAL DISPOSED OFF WITH A DIRECTION TO SEBI TO COMPLETE THE INVESTIGATION QUA THE APPELLANTS BY NOVEMBER 30, 2012. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 07/02/2013 SET ASIDED THE DIRECTIONS ISSUED BY SEBI VIDE ITS LETTER DATED 27/12/2012 BY PERMITTING D & A FINANCIAL SERVICES PVT.LTD. TO CONTINUE ITS BUSINESS AND FURTHER DIRECTED SEBI TO COMPLETE ITS PROCEEDINGS AS EXPEDITIOUSLY AS POSSIBLE.NO COSTS
SEBI VIDE ITS ORDER DATED 10/06/2014 PROHIBITED D&A FINANANCIAL SERVICES PVT.LTD. FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FOR A PERIOD OF FIVE YEARS AND FURTHER PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN BUY-BACK OF SECURITIES UNDER SEBI (BUY-BACK OF SECURITIES) REGULATIONS 1998, OPEN OFFERS UNDER SEBI (SAST) REGULATIONS, 2011 AND DELISTING OF SECURITIES UNDER SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009
SAT: SAT VIDE ITS ORDER DATED 25/06/2014 LISTED THE APPEAL FOR HEARING AT THE STAGE OF ADMISSION ON 11/08/2014.TILL THEN OPERATION OF THE IMPUGNED ORDER SHALL REMAIN STAYED
SAT: SAT VIDE ITS ORDER DATED 11/08/2014 PLACED THE APPEAL FOR HEARING AT THE STAGE OF ADMISSION ON 25/09/2014. AD INTERIM RELIEF GRANTED ON 25/06/2014 WILL CONTINUE TILL THEN
SAT: SAT VIDE ITS ORDER DATED 25/09/2014 DIRECTED TO CONTINUE RELIEF GRANTED ON 25/06/2014 TILL 03/12/2014
SAT: SAT VIDE ITS ORDER DATED 03/03/2015 SET ASIDED SCN DATED 23/08/2013 AND CONSEQUENT PROCEEDINGS INCLUDING IMPUGNED ORDER DATED 10/06/2014 WITH LIBERTY TO SEBI TO ISSUE FRESH SCN AND PASS APPROPRIATE ORDERS
|
| 5 |
|
|
ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
(Member : BSE)
|
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A.P.SHUKLA
PAN:AECPS3296Q
|
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DHANANJAY CHANDRAKANT PARIKH
PAN:ACTPP2402L
|
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PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
|
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T.S.RAGHAVAN
PAN:AAFPR1521A
|
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THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
PAN:ABIPN2653D
|
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TUSHAR SHIRDHARANI
PAN:AAIPS0065M
|
|
MISUTILIZED ISSUE PROCEEDS
DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 28-DEC-2011 TILL FURTHER ORDERS
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-DEC-2011 TILL FURTHER ORDERS
DIRECTED COMPANY TO CALL BACK ICDS AND/OR OTHER AMOUNTS AND DEPOSIT THE SAME IN AN INTEREST BEARING ESCROW ACCOUNT
DIRECTED BSE, NSE, NSDL AND CDSL TO ENSURE THAT DIRECTIONS ISSUED VIDE ORDER ARE STRICTLY ENFORCE
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
28-DEC-2011
|
SAT: APPEAL DISPOSED OFF WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 15/02/2012 MODIFIED ITS EARLIER ORDER DATED 28/12/2011 BY ALLOWING TO DEAL IN SHARES FOR LIMITED PURPOSE OF FULFILLING THEIR EXISTING OBLIGATIONS OF UNDERWRITING FOR MINIMUM SUBSCRIPTION
SAT: SAT VIDE ITS ORDER DATED 25/06/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATIONS AS EXPEDITIOUSLY AS POSSIBLE AND IN ANY CASE BEFORE 31/10/2012. NO COSTS
SEBI VIDE ITS ORDER DATED 16/01/2013 CONFIRMED ITS DIRECTIONS ISSUED IN PARAGRAPHS 14.3, 14.4, 14.5, 14.6, 14.8 AND 14.9 OF EX-PARTE ORDER DATED 28/12/2011 READ WITH ORDER DATED 15/02/2012
SAT: DIRECTED SEBI TO ISSUE SHOW CAUSE NOTICE WITHIN FIVE WEEKS AND PASS FINAL ORDER WITHIN A PERIOD OF FOUR MONTHS FROM THE DATE OF THIS ORDER OTHERWISE INTERIM ORDER PASSED BY SEBI SHALL STAND VACATED
SEBI VIDE ITS ORDER DATED 30/08/2013 DIRECTED ONELIFE CAPITAL ADVISORS LTD. AND ITS MANAGING DIRECTOR MR. PANDOO P.NAIG 1.TO BRING JOINTLY AND SEVERALLY RS.35.25 CRORES I.E. DIVERTED IPO PROCEEDS INTO COMPANY FROM FINCARE, PRECISE AND KPT WITHIN SIX MONTHS FROM DATE OF THIS ORDER 2.DIRECTED ITS BOARD OF DIRECTORS TO ENSURE COMPLIANCE OF ABOVE DIRECTION AND SUBMIT A MONTHLY PROGRESS REPORT TO SEBI AND ALSO TO FURNISH TO SEBI A COMPLIANCE REPORT DULY CERTIFIED BY SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF COMPLIANCE OF ABOVE DIRECTION; 3.TO RESTRAINED AND PROHIBITED FROM ACCESSING SECURITIES MARKET AND ALSO PROHIBITED FROM BUYING, SELLING AND OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER, FOR A PERIOD OF 3 YEARS FROM DATE OF INTERIM ORDER
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| 6 |
|
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PNB INVESTMENT SERVICES LTD.
|
|
|
|
L.P.AGARWAL
|
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DID NOT MAKE PROPER DISCLOSURE AND MADE MIS-STATEMENTS OF RELATED PARTIES IN PROSPECTUS
DID NOT EXERCISE DUE DILIGENCE IN IPO OF TAKSHEEL SOLUTIONS LTD.
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-DEC-2011 TILL FURTHER ORDERS
28-DEC-2011
|
SEBI VIDE ITS ORDER DATE 07/09/2012 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/12/2011
SAT: SAT VIDE ITS ORDER DATED 20/11/2012 DIRECTED SEBI TO COMPLETE THE INVESTIGATION, QUA THE APPELLEANTS, WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER. FURTHER IF SEBI FAILS TO ADHERE TO THIS TIME LIMIT THE INTERIM ORDER DATED 28/12/2011 QUA THE APPELLANTS. SHALL STAND VACATED
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
