| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
GEETA BHATIA
(PAN:AAGPB8685G)
|
|
|
|
TREE HOUSE EDUCATION & ACCESSORIES LTD.
PAN:AACCT4932H
|
|
INDULGED IN MANIPULATION IN BOOKS OF ACCOUNTS, MISREPRESENTATION OF FINANCILAS AND/OR BUSINESS OPERATIONS AND WRONGFUL DIVERSIONS/SIPHONING OF FUNDES FROM THE F.Y.2011-12 IN MATTER OF TREE HOUSE EDUCATION & ACCESSORIES LTD.
INDULGED IN MANIPULATION IN BOOKS OF ACCOUNTS, MISREPRESENTATION OF FINANCILAS AND/OR BUSINESS OPERATIONS AND WRONGFUL DIVERSIONS/SIPHONING OF FUNDES FROM THE F.Y.2011-12 VIOLATING REGULATION 4(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF TREE HOUSE EDUCATION & ACCESSORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-MAR-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-MAR-2018 TILL FURTHER ORDERS
DIRECTED NSE TO APPOINT INDEPENDENT AUDITOR/AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF TREE HOUSE FOR F.Y.2011-12 ONWARDS
07-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 29/08/2018 GRANTED THREE WEEKS TIME TO FILE REPLIES AND WTM OF SEBI SHALL PASS CONFIRMATORY ORDER WITHIN TWO MONTHS THEREAFTER. NO COSTS
SEBI VIDE ITS ORDER DATED 16/11/2018 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 07/03/2018
SAT: SAT VIDE ITS ORDER DATED 07/11/2019 QUASHED AND SET ASIDED IMPUGNED ORDERS DATED 16/11/2018 AND 07/03/2018 AS FAR AS THE DIRECTION OF RESTRAIN FROM DEALING IN SECURITIES MARKET IN ANY MANNER AND UPHELD DIRECTION RELATING TO FORENSIC AUDIT. DIRECTED APPELLANTS TO EXTEND FULL COOPERATION TO ENABLE THE AUDITOR TO COMPLETE FORENSIC AUDIT. NO COSTS
|
| 2 |
|
|
GIRIDHARILAL S.BHATIA
(PAN:AAGPB8687E)
|
|
|
|
TREE HOUSE EDUCATION & ACCESSORIES LTD.
PAN:AACCT4932H
|
|
INDULGED IN MANIPULATION IN BOOKS OF ACCOUNTS, MISREPRESENTATION OF FINANCILAS AND/OR BUSINESS OPERATIONS AND WRONGFUL DIVERSIONS/SIPHONING OF FUNDES FROM THE F.Y.2011-12 IN MATTER OF TREE HOUSE EDUCATION & ACCESSORIES LTD.
INDULGED IN MANIPULATION IN BOOKS OF ACCOUNTS, MISREPRESENTATION OF FINANCILAS AND/OR BUSINESS OPERATIONS AND WRONGFUL DIVERSIONS/SIPHONING OF FUNDES FROM THE F.Y.2011-12 VIOLATING REGULATION 4(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF TREE HOUSE EDUCATION & ACCESSORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-MAR-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-MAR-2018 TILL FURTHER ORDERS
DIRECTED NSE TO APPOINT INDEPENDENT AUDITOR/AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF TREE HOUSE FOR F.Y.2011-12 ONWARDS
07-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 29/08/2018 GRANTED THREE WEEKS TIME TO FILE REPLIES AND WTM OF SEBI SHALL PASS CONFIRMATORY ORDER WITHIN TWO MONTHS THEREAFTER. NO COSTS
SEBI VIDE ITS ORDER DATED 16/11/2018 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 07/03/2018
SAT: SAT VIDE ITS ORDER DATED 07/11/2019 QUASHED AND SET ASIDED IMPUGNED ORDERS DATED 16/11/2018 AND 07/03/2018 AS FAR AS THE DIRECTION OF RESTRAIN FROM DEALING IN SECURITIES MARKET IN ANY MANNER AND UPHELD DIRECTION RELATING TO FORENSIC AUDIT. DIRECTED APPELLANTS TO EXTEND FULL COOPERATION TO ENABLE THE AUDITOR TO COMPLETE FORENSIC AUDIT. NO COSTS
|
| 3 |
|
|
HITEN TRIVEDI
(PAN:ABNPT2943H)
|
|
|
|
TREE HOUSE EDUCATION & ACCESSORIES LTD.
PAN:AACCT4932H
|
|
INDULGED IN MANIPULATION IN BOOKS OF ACCOUNTS, MISREPRESENTATION OF FINANCILAS AND/OR BUSINESS OPERATIONS AND WRONGFUL DIVERSIONS/SIPHONING OF FUNDES FROM THE F.Y.2011-12 IN MATTER OF TREE HOUSE EDUCATION & ACCESSORIES LTD.
INDULGED IN MANIPULATION IN BOOKS OF ACCOUNTS, MISREPRESENTATION OF FINANCILAS AND/OR BUSINESS OPERATIONS AND WRONGFUL DIVERSIONS/SIPHONING OF FUNDES FROM THE F.Y.2011-12 VIOLATING REGULATION 4(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF TREE HOUSE EDUCATION & ACCESSORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-MAR-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-MAR-2018 TILL FURTHER ORDERS
DIRECTED NSE TO APPOINT INDEPENDENT AUDITOR/AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF TREE HOUSE FOR F.Y.2011-12 ONWARDS
07-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 29/08/2018 GRANTED THREE WEEKS TIME TO FILE REPLIES AND WTM OF SEBI SHALL PASS CONFIRMATORY ORDER WITHIN TWO MONTHS THEREAFTER. NO COSTS
SEBI VIDE ITS ORDER DATED 16/11/2018 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 07/03/2018
SAT: SAT VIDE ITS ORDER DATED 07/11/2019 QUASHED AND SET ASIDED IMPUGNED ORDERS DATED 16/11/2018 AND 07/03/2018 AS FAR AS THE DIRECTION OF RESTRAIN FROM DEALING IN SECURITIES MARKET IN ANY MANNER AND UPHELD DIRECTION RELATING TO FORENSIC AUDIT. DIRECTED APPELLANTS TO EXTEND FULL COOPERATION TO ENABLE THE AUDITOR TO COMPLETE FORENSIC AUDIT. NO COSTS
|
| 4 |
|
|
RAJESH BHATIA
(PAN:AAHPB9438N)
|
|
|
|
TREE HOUSE EDUCATION & ACCESSORIES LTD.
PAN:AACCT4932H
|
|
INDULGED IN MANIPULATION IN BOOKS OF ACCOUNTS, MISREPRESENTATION OF FINANCILAS AND/OR BUSINESS OPERATIONS AND WRONGFUL DIVERSIONS/SIPHONING OF FUNDES FROM THE F.Y.2011-12 IN MATTER OF TREE HOUSE EDUCATION & ACCESSORIES LTD.
INDULGED IN MANIPULATION IN BOOKS OF ACCOUNTS, MISREPRESENTATION OF FINANCILAS AND/OR BUSINESS OPERATIONS AND WRONGFUL DIVERSIONS/SIPHONING OF FUNDES FROM THE F.Y.2011-12 VIOLATING REGULATION 4(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF TREE HOUSE EDUCATION & ACCESSORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-MAR-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-MAR-2018 TILL FURTHER ORDERS
DIRECTED NSE TO APPOINT INDEPENDENT AUDITOR/AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF TREE HOUSE FOR F.Y.2011-12 ONWARDS
07-MAR-2018
|
SAT: SAT VIDE ITS ORDER DATED 29/08/2018 GRANTED THREE WEEKS TIME TO FILE REPLIES AND WTM OF SEBI SHALL PASS CONFIRMATORY ORDER WITHIN TWO MONTHS THEREAFTER. NO COSTS
SEBI VIDE ITS ORDER DATED 16/11/2018 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 07/03/2018
SAT: SAT VIDE ITS ORDER DATED 07/11/2019 QUASHED AND SET ASIDED IMPUGNED ORDERS DATED 16/11/2018 AND 07/03/2018 AS FAR AS THE DIRECTION OF RESTRAIN FROM DEALING IN SECURITIES MARKET IN ANY MANNER AND UPHELD DIRECTION RELATING TO FORENSIC AUDIT. DIRECTED APPELLANTS TO EXTEND FULL COOPERATION TO ENABLE THE AUDITOR TO COMPLETE FORENSIC AUDIT. NO COSTS
|
| 5 |
|
|
VISHAL SHAH
(PAN:AALPS6882P)
|
|
|
|
TREE HOUSE EDUCATION & ACCESSORIES LTD.
PAN:AACCT4932H
|
|
INDULGED IN MANIPULATION IN BOOKS OF ACCOUNTS, MISREPRESENTATION OF FINANCILAS AND/OR BUSINESS OPERATIONS AND WRONGFUL DIVERSIONS/SIPHONING OF FUNDES FROM THE F.Y.2011-12 IN MATTER OF TREE HOUSE EDUCATION & ACCESSORIES LTD.
INDULGED IN MANIPULATION IN BOOKS OF ACCOUNTS, MISREPRESENTATION OF FINANCILAS AND/OR BUSINESS OPERATIONS AND WRONGFUL DIVERSIONS/SIPHONING OF FUNDES FROM THE F.Y.2011-12 VIOLATING REGULATION 4(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF TREE HOUSE EDUCATION & ACCESSORIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-MAR-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-MAR-2018 TILL FURTHER ORDERS
DIRECTED NSE TO APPOINT INDEPENDENT AUDITOR/AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF TREE HOUSE FOR F.Y.2011-12 ONWARDS
07-MAR-2018
|
SEBI VIDE ITS ORDER DATED 16/11/2018 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 07/03/2018
SEBI VIDE ITS ORDER DATED 28/07/2022 VACATED ITS AD INTERIM EX-PARTE ORDER DATED 07/03/2018 AND CONFIRMATORY ORDER DATED 16/11/2018
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
