| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AARYA GLOBAL SHARES & SECURITIES LTD.
(PAN:AABCP3445J)
|
|
|
ALLEGED VIOLATION OF REGULATION 95(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,01,742 VIDE CONSENT ORDER)
21-MAY-2018
|
|
| 2 |
|
|
BHAGYASHREE LEASING & FINANCE LTD.
(PAN:AAACB4719L
CIN:L65910PN1994PLC138655)
|
|
|
ALLEGED FAILURE IN MAKING CORRECT DISCLOSURE OF EQUITY SHARES ISSUED ON PREFERENTIAL BASIS VIOLATING CLAUSE 13.4.2 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2009
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING PATTERN IN PRE AND POST PREFERENTIAL ISSUE VIOLATING CLAUSE 13.1A (III) (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,65,000 VIDE CONSENT ORDER)
06-NOV-2017
|
|
| 3 |
|
|
BUTTERFLY AGRI PRODUCTS PVT.LTD.
(PAN:AAACB8388D)
|
|
|
ALLEGED DELAY IN OBTAINING IN-PRINCIPLE APPROVAL AND SOLD THE SHARES IN LOCK-IN PERIOD VIOLATING REGULATION 78(6) OF SEBI (ICDR) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
21-JUL-2014
|
|
| 4 |
|
|
ELCID INVESTMENTS LTD.
(PAN:AAACE1611Q)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING REGULATION 2(1)(PP) OF SEBI (ICDR) REGULATIONS, 2018 READ WITH REGULATION 2(1)(ZB) OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING CLAUSE 2 OF LISTING AGREEMENT DATED 28/12/2015 SIGNED BETWEEN EIL AND BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,11,775 VIDE CONSENT ORDER)
01-SEP-2021
|
|
| 5 |
|
|
GAVIS PHARMA LLC.
(PAN:AAECG9973B)
|
|
|
ALLEGED ACQUISITION OF 40 LACS (39.90%) EQUITY SHARES UNDER PREFERENTIAL ISSUE, PRIOR TO DUE DATE VIOLATING REGULATION 74(3) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 READ WITH REGULATION 22(1) OF SAST REGULATIONS, 2011 IN MATTER OF WINTEC LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
17-NOV-2014
|
|
| 6 |
|
|
HANUNG TOYS & TEXTILES LTD.
(CIN:L74999DL1990PLC041722
PAN:AAACH0496A)
|
|
|
ALLEGED DELAY IN COMPLIANCE OF REGULATIONS 73(1)(E) AND 74(4) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ALLEGED DELAY IN COMPLIANCE OF CLAUSE 24(A) OF LISTING AGREEMENT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,18,500 VIDE CONSENT ORDER)
02-FEB-2018
|
|
| 7 |
|
|
JUMBO FINANCE LTD.
(PAN:AAACJ0882E
CIN:L65990MH1984PLC032766)
|
|
|
ALLEGED DELAY IN FILING OF LISTING APPLICATION VIOLATING REGULATION 108(2) OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED DELAY IN MAKING ALLOTMENT OF SHARES VIOLATING REGULATION 74(1) OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED FAILURE IN TAKING APPROVAL OF SHAREHOLDERS AS WELL AS IN-PRINCIPLE APPROVAL OF STOCK EXCHANGES VIOLATING REGULATIONS 74(2) AND 73(1)(E) OF CHAPTER VII OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED FAILURE IN TAKING APPROVAL OF SHAREHOLDERS AS WELL AS IN-PRINCIPLE APPROVAL OF STOCK EXCHANGES VIOLATING CLAUSE 24(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 READ WITH REGULATION 28(1) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.44,20,000 VIDE CONSENT ORDER)
25-JAN-2023
|
|
| 8 |
|
|
NETWORK 18 MEDIA & INVESTMENTS LTD.
(PAN:AABCS2472G)
|
|
|
ALLEGED FAILURE TO DISCLOSE INDEPENDENT MEDIA TRUST (IMT) AS A PROMOTER IN DRAFT LETTER OF OFFER (DLO) VIOLATING REGULATION 57(1) AND CLAUSES 5(VI)(C)(4), (5) AND (6) OF PART E OF SCHEDULE VIII READ WITH REGULATION 57(2)(B) OF SEBI (ICDR) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,55,87,500 VIDE CONSENT ORDER)
15-MAR-2021
|
|
| 9 |
|
|
ORCHID PHARMA LTD.
(PAN:AAACO0402B)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF LOCK-IN PROVISIONS AS REQUIRED UNDER REGULATION 78(6) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,25,000 VIDE CONSENT ORDER)
24-JUL-2017
|
|
| 10 |
|
|
RAVINDRA ENERGY LTD.
(PAN:AAACR2065D)
|
|
|
|
J.SURESH KUMAR
PAN:AAAPJ4274H
|
|
|
NANDAN YALGI
PAN:AAEPY3797L
|
|
|
NARENDRA MURKUMBI
PAN:ACDPM0041L
|
|
|
PRASHANT GOUDAR
PAN:AHZPG7768H
|
|
|
RAJASEKHAR CHARANTIMATH
PAN:AEYPR1486H
|
|
|
SATISH MEHTA
PAN:AFAPM1110N
|
|
|
SHRIPAD RAJARAM NERILKAR
PAN:ABQPN8436J
|
|
|
SIDHRAM KALUTI
PAN:AGZPK0186A
|
|
|
SURENDRA KUMAR TUTEJA
PAN:AAGPT7092R
|
|
|
VIDYA MURKUMBI
PAN:AGXPM4054H
|
|
|
VISHWANATHAN MATHUR
PAN:ADGPM7842M
|
|
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING SECTIONS 73, 2(36) READ WITH 60 AND SECTIONS 56 READ WITH 67 OF THE COMPANIES ACT, 1956 IN MATTER OF RAVINDRA ENERGY LTD.
ALLEGED ISSUANCE AND ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS ON 5 OCCASIONS VIOLATING REGULATIONS 4(2) (D) & (E), 5(1),(2), (5) & (7), 6(1), 7, 26(1),(2) & (6), 32(1), 36, 37, 46, 47, 49, 57, 58 AND 63 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF RAVINDRA ENERGY LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.99,60,938 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 11 |
|
|
RBL BANK LTD.
(PAN:AABCT3335M)
|
|
|
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-MAY-2016
|
|
| 12 |
|
|
SRS REAL INFRASTRUCTURE LTD.
(CIN:L65910HR1990PLC040431
PAN:AABCM2396R)
|
|
|
ALLEGED FAILURE IN COMPLETING BONUS ISSUE WITHIN TWO MONTHS FROM THE DATE OF APPROVAL OF BOARD OF DIRECTORS VIOLATING REGULATION 95(1) OF (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-SEP-2016
|
|
| 13 |
|
|
TRANSCORP INTERNATIONAL LTD.
(PAN:AAACT6622Q)
|
|
|
ALLEGED FAILURE IN ADHERE TO TIMELINE AS REQUIRED TO COMPLETE BONUS ISSUE VIOLATING REGULATION 95(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
22-JAN-2016
|
|
| 14 |
|
|
VIKAS ECOTECH LTD.
(PAN:AAACV0608G)
|
|
|
ALLEGED FAILURE IN COMPLETING BONUS ISSUE WITHIN TWO MONTHS FROM THE DATE OF APPROVAL OF BOARD OF DIRECTORS VIOLATING REGULATION 95(1) OF (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-SEP-2016
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
