| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.N.MUKHERJEE
(PAN:AATPM0220H)
|
|
|
|
SAHARA INDIA COMMERCIAL CORP.LTD.
CIN:U70109WB1992PLC053999
PAN:AADCS6118F
|
|
MOBILIZED RS.14,106 CRORES FROM PUBLIC THROUGH ISSUANCE OF OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) BY WAY OF PRIVATE PLACEMENT TO 1,98,39,939 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 62, 73(1) TO 73(3) AND 117C OF THE COMPANIES ACT, 1956 AND DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2008
|
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 31-OCT-2018 TO 30-OCT-2022
DIRECTED TO DEPOSIT MONEY COLLECTED BY ISSUANCE OF OFCDS ALONG WITH INTEREST @ 15% P.A.
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-OCT-2018 TO 30-OCT-2022
31-OCT-2018
|
SAT: SAT VIDE ITS ORDER DATED 22/04/2021 ADJOURNED THE MATTERS FOR THE DAY AND DIRECTED APPELLANTS TO SERVE LIST OF DATES AND WRITTEN SUBMISSIONS TO THE LEARNED SENIOR COUNSELS FOR THE RESPONDENT WITHIN THREE DAYS FROM DATE OF THIS ORDER. MATTER OF FOR HEARING ON 07/05/2021
SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DIRECTED RESPONDENTS TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 REJECTED THE REVIEW APPLICATION
|
| 2 |
|
|
A.S.RAO
(PAN:AAWPR5550N
DIN:00248189)
|
|
|
|
SAHARA INDIA COMMERCIAL CORP.LTD.
CIN:U70109WB1992PLC053999
PAN:AADCS6118F
|
|
MOBILIZED RS.14,106 CRORES FROM PUBLIC THROUGH ISSUANCE OF OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) BY WAY OF PRIVATE PLACEMENT TO 1,98,39,939 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 62, 73(1) TO 73(3) AND 117C OF THE COMPANIES ACT, 1956 AND DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2008
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 31-OCT-2018 TO 30-OCT-2022
DIRECTED TO DEPOSIT MONEY COLLECTED BY ISSUANCE OF OFCDS ALONG WITH INTEREST @ 15% P.A.
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-OCT-2018 TO 30-OCT-2022
31-OCT-2018
|
SAT: SAT VIDE ITS ORDER DATED 22/04/2021 ADJOURNED THE MATTERS FOR THE DAY AND DIRECTED APPELLANTS TO SERVE LIST OF DATES AND WRITTEN SUBMISSIONS TO THE LEARNED SENIOR COUNSELS FOR THE RESPONDENT WITHIN THREE DAYS FROM DATE OF THIS ORDER. MATTER OF FOR HEARING ON 07/05/2021
SEBI VIDE ITS NOTICE DATED 21/10/2021 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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
SAT VIDE ITS ORDER DATED 27/10/2021 DIRECTED RESPONDENTS TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 DIRECTED TO WITHDREW ATTACHMENT ORDER
SEBI VIDE ITS ORDER DATED 22/11/2021 DIRECTED THAT THE ATTACHMENT NO.7598 AND 7605 OF 2021 DATED 21/10/2021 NOT TO BE EFFECTED IN RESPECT OF BANK ACCOUNT
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 REJECTED THE REVIEW APPLICATION
SEBI VIDE ITS NOTICE DATED 17/11/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 NOTICE DATED 02/07/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS. 1,40,85,00,00,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 3 |
|
|
ASAD AHMAD
(PAN:AALPA0819Q)
|
|
|
|
SAHARA INDIA COMMERCIAL CORP.LTD.
CIN:U70109WB1992PLC053999
PAN:AADCS6118F
|
|
MOBILIZED RS.14,106 CRORES FROM PUBLIC THROUGH ISSUANCE OF OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) BY WAY OF PRIVATE PLACEMENT TO 1,98,39,939 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 62, 73(1) TO 73(3) AND 117C OF THE COMPANIES ACT, 1956 AND DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2008
|
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 31-OCT-2018 TO 30-OCT-2022
DIRECTED TO DEPOSIT MONEY COLLECTED BY ISSUANCE OF OFCDS ALONG WITH INTEREST @ 15% P.A.
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-OCT-2018 TO 30-OCT-2022
31-OCT-2018
|
SAT: SAT VIDE ITS ORDER DATED 22/04/2021 ADJOURNED THE MATTERS FOR THE DAY AND DIRECTED APPELLANTS TO SERVE LIST OF DATES AND WRITTEN SUBMISSIONS TO THE LEARNED SENIOR COUNSELS FOR THE RESPONDENT WITHIN THREE DAYS FROM DATE OF THIS ORDER. MATTER OF FOR HEARING ON 07/05/2021
SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DIRECTED RESPONDENTS TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 REJECTED THE REVIEW APPLICATION
|
| 4 |
|
|
C.B.THAPA
(PAN:ABNPT2137K)
|
|
|
|
SAHARA INDIA COMMERCIAL CORP.LTD.
CIN:U70109WB1992PLC053999
PAN:AADCS6118F
|
|
MOBILIZED RS.14,106 CRORES FROM PUBLIC THROUGH ISSUANCE OF OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) BY WAY OF PRIVATE PLACEMENT TO 1,98,39,939 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 62, 73(1) TO 73(3) AND 117C OF THE COMPANIES ACT, 1956 AND DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2008
|
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 31-OCT-2018 TO 30-OCT-2022
DIRECTED TO DEPOSIT MONEY COLLECTED BY ISSUANCE OF OFCDS ALONG WITH INTEREST @ 15% P.A.
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-OCT-2018 TO 30-OCT-2022
31-OCT-2018
|
SAT: SAT VIDE ITS ORDER DATED 22/04/2021 ADJOURNED THE MATTERS FOR THE DAY AND DIRECTED APPELLANTS TO SERVE LIST OF DATES AND WRITTEN SUBMISSIONS TO THE LEARNED SENIOR COUNSELS FOR THE RESPONDENT WITHIN THREE DAYS FROM DATE OF THIS ORDER. MATTER OF FOR HEARING ON 07/05/2021
SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DIRECTED RESPONDENTS TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 REJECTED THE REVIEW APPLICATION
|
| 5 |
|
|
ISHTIAQUE AHMAD
(PAN:ACPPA7639A)
|
|
|
|
SAHARA INDIA COMMERCIAL CORP.LTD.
CIN:U70109WB1992PLC053999
PAN:AADCS6118F
|
|
MOBILIZED RS.14,106 CRORES FROM PUBLIC THROUGH ISSUANCE OF OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) BY WAY OF PRIVATE PLACEMENT TO 1,98,39,939 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 62, 73(1) TO 73(3) AND 117C OF THE COMPANIES ACT, 1956 AND DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2008
|
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 31-OCT-2018 TO 30-OCT-2022
DIRECTED TO DEPOSIT MONEY COLLECTED BY ISSUANCE OF OFCDS ALONG WITH INTEREST @ 15% P.A.
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-OCT-2018 TO 30-OCT-2022
31-OCT-2018
|
SAT: SAT VIDE ITS ORDER DATED 22/04/2021 ADJOURNED THE MATTERS FOR THE DAY AND DIRECTED APPELLANTS TO SERVE LIST OF DATES AND WRITTEN SUBMISSIONS TO THE LEARNED SENIOR COUNSELS FOR THE RESPONDENT WITHIN THREE DAYS FROM DATE OF THIS ORDER. MATTER OF FOR HEARING ON 07/05/2021
SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DIRECTED RESPONDENTS TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 REJECTED THE REVIEW APPLICATION
|
| 6 |
|
|
JOY BROTO ROY
(DIN:00432043
PAN:ACQPR6786C)
|
|
|
|
SAHARA INDIA COMMERCIAL CORP.LTD.
CIN:U70109WB1992PLC053999
PAN:AADCS6118F
|
|
MOBILIZED RS.14,106 CRORES FROM PUBLIC THROUGH ISSUANCE OF OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) BY WAY OF PRIVATE PLACEMENT TO 1,98,39,939 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 62, 73(1) TO 73(3) AND 117C OF THE COMPANIES ACT, 1956 AND DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2008
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 31-OCT-2018 TO 30-OCT-2022
DIRECTED TO DEPOSIT MONEY COLLECTED BY ISSUANCE OF OFCDS ALONG WITH INTEREST @ 15% P.A.
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-OCT-2018 TO 30-OCT-2022
31-OCT-2018
|
SAT: SAT VIDE ITS ORDER DATED 22/04/2021 ADJOURNED THE MATTERS FOR THE DAY AND DIRECTED APPELLANTS TO SERVE LIST OF DATES AND WRITTEN SUBMISSIONS TO THE LEARNED SENIOR COUNSELS FOR THE RESPONDENT WITHIN THREE DAYS FROM DATE OF THIS ORDER. MATTER OF FOR HEARING ON 07/05/2021
SEBI VIDE ITS NOTICE DATED 21/10/2021 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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
SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DIRECTED RESPONDENTS TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN A WEEK THEREAFTER
SEBI VIDE ITS NOTICE DATED 22/11/2021 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 21/10/2021
SEBI VIDE ITS NOTICE DATED 02/07/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS. 1,40,85,00,00,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 7 |
|
|
OM PRAKASH SRIVASTAVA
(DIN:00144000
PAN:AKHPS7919K)
|
|
|
|
SAHARA INDIA COMMERCIAL CORP.LTD.
CIN:U70109WB1992PLC053999
PAN:AADCS6118F
|
|
MOBILIZED RS.14,106 CRORES FROM PUBLIC THROUGH ISSUANCE OF OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) BY WAY OF PRIVATE PLACEMENT TO 1,98,39,939 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 62, 73(1) TO 73(3) AND 117C OF THE COMPANIES ACT, 1956 AND DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2008
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 31-OCT-2018 TO 30-OCT-2022
DIRECTED TO DEPOSIT MONEY COLLECTED BY ISSUANCE OF OFCDS ALONG WITH INTEREST @ 15% P.A.
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-OCT-2018 TO 30-OCT-2022
31-OCT-2018
|
SAT: SAT VIDE ITS ORDER DATED 22/04/2021 ADJOURNED THE MATTERS FOR THE DAY AND DIRECTED APPELLANTS TO SERVE LIST OF DATES AND WRITTEN SUBMISSIONS TO THE LEARNED SENIOR COUNSELS FOR THE RESPONDENT WITHIN THREE DAYS FROM DATE OF THIS ORDER. MATTER OF FOR HEARING ON 07/05/2021
SEBI VIDE ITS NOTICE DATED 21/10/2021 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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
SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DIRECTED RESPONDENTS TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN A WEEK THEREAFTER
SEBI VIDE ITS NOTICE DATED 22/11/2021 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 21/10/2021
SEBI VIDE ITS NOTICE DATED 02/07/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS. 1,40,85,00,00,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 8 |
|
|
ONKAR PRASAD DIXIT
(PAN:ADDPD1207A)
|
|
|
|
SAHARA INDIA COMMERCIAL CORP.LTD.
CIN:U70109WB1992PLC053999
PAN:AADCS6118F
|
|
MOBILIZED RS.14,106 CRORES FROM PUBLIC THROUGH ISSUANCE OF OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) BY WAY OF PRIVATE PLACEMENT TO 1,98,39,939 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 62, 73(1) TO 73(3) AND 117C OF THE COMPANIES ACT, 1956 AND DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2008
|
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 31-OCT-2018 TO 30-OCT-2022
DIRECTED TO DEPOSIT MONEY COLLECTED BY ISSUANCE OF OFCDS ALONG WITH INTEREST @ 15% P.A.
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-OCT-2018 TO 30-OCT-2022
31-OCT-2018
|
SAT: SAT VIDE ITS ORDER DATED 22/04/2021 ADJOURNED THE MATTERS FOR THE DAY AND DIRECTED APPELLANTS TO SERVE LIST OF DATES AND WRITTEN SUBMISSIONS TO THE LEARNED SENIOR COUNSELS FOR THE RESPONDENT WITHIN THREE DAYS FROM DATE OF THIS ORDER. MATTER OF FOR HEARING ON 07/05/2021
SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DIRECTED RESPONDENTS TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 REJECTED THE REVIEW APPLICATION
|
| 9 |
|
|
RANOJ DAS GUPTA
(PAN:AAPPD4448N
DIN:00216165)
|
|
|
|
SAHARA INDIA COMMERCIAL CORP.LTD.
CIN:U70109WB1992PLC053999
PAN:AADCS6118F
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MOBILIZED RS.14,106 CRORES FROM PUBLIC THROUGH ISSUANCE OF OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) BY WAY OF PRIVATE PLACEMENT TO 1,98,39,939 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 62, 73(1) TO 73(3) AND 117C OF THE COMPANIES ACT, 1956 AND DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2008
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DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 31-OCT-2018 TO 30-OCT-2022
DIRECTED TO DEPOSIT MONEY COLLECTED BY ISSUANCE OF OFCDS ALONG WITH INTEREST @ 15% P.A.
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 31-OCT-2018 TO 30-OCT-2022
31-OCT-2018
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SAT: SAT VIDE ITS ORDER DATED 22/04/2021 ADJOURNED THE MATTERS FOR THE DAY AND DIRECTED APPELLANTS TO SERVE LIST OF DATES AND WRITTEN SUBMISSIONS TO THE LEARNED SENIOR COUNSELS FOR THE RESPONDENT WITHIN THREE DAYS FROM DATE OF THIS ORDER. MATTER OF FOR HEARING ON 07/05/2021
SEBI VIDE ITS NOTICE DATED 21/10/2021 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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
SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DIRECTED RESPONDENTS TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/11/2021 DIRECTED TO WITHDREW ATTACHMENT ORDER
SEBI VIDE ITS ORDER DATED 22/11/2021 DIRECTED THAT THE ATTACHMENT NO.7598 AND 7605 OF 2021 DATED 21/10/2021 NOT TO BE EFFECTED IN RESPECT OF BANK ACCOUNTS OF LT.GEN.(RETD.) A.S.RAO AND MR.RANOJ DAS GUPTA
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 REJECTED THE REVIEW APPLICATION
SEBI VIDE ITS NOTICE DATED 17/11/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 NOTICE DATED 02/07/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS. 1,40,85,00,00,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
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SUBRATA ROY SAHARA
(DIN:00431905
PAN:ARKPS3189F)
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SAHARA INDIA
PAN:AAMFS0216L
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SAHARA INDIA COMMERCIAL CORP.LTD.
CIN:U70109WB1992PLC053999
PAN:AADCS6118F
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ACTED AS ARRANGER WITHOUT REGISTRATION WITH SEBI VIOLATING SECTION 12 OF SEBI ACT, 1992 READ WITH SEBI (MERCHANT BANKERS) REGULATIONS, 1992 READ WITH CLAUSE 5.4.1 OF DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2008
MOBILIZED RS.14,106 CRORES FROM PUBLIC THROUGH ISSUANCE OF OPTIONALLY FULLY CONVERTIBLE DEBENTURES (OFCDS) BY WAY OF PRIVATE PLACEMENT TO 1,98,39,939 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 62, 73(1) TO 73(3) AND 117C OF THE COMPANIES ACT, 1956 AND DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH ICDR REGULATIONS, 2008
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DIRECTED TO REFUND MONEY TO THE INVESTORS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2018 TO 30-OCT-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2018 TO 30-OCT-2022
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 31-OCT-2018 TO 30-OCT-2022
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO DEPOSIT MONEY COLLECTED BY ISSUANCE OF OFCDS ALONG WITH INTEREST @ 15% P.A.
31-OCT-2018
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SAT: SAT VIDE ITS ORDER DATED 22/04/2021 ADJOURNED THE MATTERS FOR THE DAY AND DIRECTED APPELLANTS TO SERVE LIST OF DATES AND WRITTEN SUBMISSIONS TO THE LEARNED SENIOR COUNSELS FOR THE RESPONDENT WITHIN THREE DAYS FROM DATE OF THIS ORDER. MATTER OF FOR HEARING ON 07/05/2021
SEBI VIDE ITS NOTICE DATED 21/10/2021 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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
SAT VIDE ITS ORDER DATED 27/10/2021 DIRECTED RESPONDENTS TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN A WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/04/2022 REJECTED THE REVIEW APPLICATION
SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DIRECTED RESPONDENTS TO FILE REPLY WITHIN A WEEK FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN A WEEK THEREAFTER
SEBI VIDE ITS NOTICE DATED 22/11/2021 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 21/10/2021
SEBI VIDE ITS NOTICE DATED 02/07/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS. 1,40,85,00,00,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
