| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AI GROWTH ADVISORS PVT.LTD.
(PAN:AACCU6530E)
(Along with : ALTGRAAF,M/S)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 2 |
|
|
ALTGRAAF,M/S
(PAN:AAICT9574F)
(Along with : TEXTERITY PVT.LTD.)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 3 |
|
|
ALTGRAAF,M/S
(PAN:AACCU6530E)
(Along with : AI GROWTH ADVISORS PVT.LTD.)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 4 |
|
|
BERKELIUM TECHNOLOGIES PVT.LTD.
(PAN:AALCB1337P)
(Along with : STABLE INVESTMENTS)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 5 |
|
|
JM FINANCIAL LTD.
(PAN:AAACJ2590B)
|
|
|
ALLEGED TO HAVE DEVISED A SCHEME WHEREIN NBFC ARM OF JM FINANCIAL GROUP I.E. JM FINANCIAL PRODUCTS LTD. USED POWER OF ATTORNEY AND SUBMITTED BID APPLICATIONS FOR 11,34,000 NCDS ON BEHALF OF 1,008 APPLICANTS IN MATTER OF PUBLIC ISSUE OF NON-CONVERTIBLE DEBENTURES OF PIRAMAL ENTERPRISES LTD.
ALLEGED TO HAVE ENGAGED IN UNFAIR TRADE PRACTICE WHERE THREE ENTITIES ACTED IN CONCERT AS A GROUP TO PROVIDE GUARANTEED EXIT AT PROFIT TO 1,008 APPLICANTS ON THE LISTING DAY IN MATTER OF PIRAMAL ENTERPRISES LTD.
ALLEGED TO HAVE MADE NET GAIN OF RS.1.99 CRORE BY DEALING IN 11,34,000 NON-CONVERTIBLE DEBENTURES (NCDS) ALLOTTED TO 1,008 APPLICANTS IN PUBLIC ISSUE IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,56,27,512, DISGORGEMENT AMOUNT RS.1,22,35,849 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM ACTING AS A LEAD MANAGER IN ANY PUBLIC ISSUE OF DEBT SECURITIES) FROM 19-SEP-2025 TO 18-DEC-2025
19-SEP-2025
|
|
| 6 |
|
|
JM FINANCIAL PRODUCTS LTD.
(PAN:AAACJ1236G)
|
|
|
ALLEGED TO HAVE DEVISED A SCHEME WHEREIN NBFC ARM OF JM FINANCIAL GROUP I.E. JM FINANCIAL PRODUCTS LTD. USED POWER OF ATTORNEY AND SUBMITTED BID APPLICATIONS FOR 11,34,000 NCDS ON BEHALF OF 1,008 APPLICANTS IN MATTER OF PUBLIC ISSUE OF NON-CONVERTIBLE DEBENTURES OF PIRAMAL ENTERPRISES LTD.
ALLEGED TO HAVE ENGAGED IN UNFAIR TRADE PRACTICE WHERE THREE ENTITIES ACTED IN CONCERT AS A GROUP TO PROVIDE GUARANTEED EXIT AT PROFIT TO 1,008 APPLICANTS ON THE LISTING DAY IN MATTER OF PIRAMAL ENTERPRISES LTD.
ALLEGED TO HAVE MADE NET GAIN OF RS.1.99 CRORE BY DEALING IN 11,34,000 NON-CONVERTIBLE DEBENTURES (NCDS) ALLOTTED TO 1,008 APPLICANTS IN PUBLIC ISSUE IN MATTER OF PIRAMAL ENTERPRISES LTD.
ALLEGED TO PROVIDE GUARANTEED EXIT AT PROFIT TO 1,008 APPLICANTS BY PURCHASING NCDS AT PREDETERMINED PRICE ON LISTING DAY IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.44,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM UNDERTAKING THE BUSINESS OF INITIAL PUBLIC OFFER FINANCING) FROM 19-SEP-2025 TO 18-DEC-2025
19-SEP-2025
|
|
| 7 |
|
|
JM FINANCIAL SERVICES LTD.
(PAN:AAACJ5977A)
|
|
|
ALLEGED TO HAVE DEVISED A SCHEME WHEREIN NBFC ARM OF JM FINANCIAL GROUP I.E. JM FINANCIAL PRODUCTS LTD. USED POWER OF ATTORNEY AND SUBMITTED BID APPLICATIONS FOR 11,34,000 NCDS ON BEHALF OF 1,008 APPLICANTS IN MATTER OF PUBLIC ISSUE OF NON-CONVERTIBLE DEBENTURES OF PIRAMAL ENTERPRISES LTD.
ALLEGED TO HAVE ENGAGED IN UNFAIR TRADE PRACTICE WHERE THREE ENTITIES ACTED IN CONCERT AS A GROUP TO PROVIDE GUARANTEED EXIT AT PROFIT TO 1,008 APPLICANTS ON THE LISTING DAY IN MATTER OF PIRAMAL ENTERPRISES LTD.
ALLEGED TO HAVE MADE NET GAIN OF RS.1.99 CRORE BY DEALING IN 11,34,000 NON-CONVERTIBLE DEBENTURES (NCDS) ALLOTTED TO 1,008 APPLICANTS IN PUBLIC ISSUE IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,91,60,599, DISGORGEMENT AMOUNT RS.1,33,35,239 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM ACTING AS A DISTRIBUTOR IN ANY PUBLIC ISSUE OF DEBT SECURITIES) FROM 19-SEP-2025 TO 18-DEC-2025
19-SEP-2025
|
|
| 8 |
|
|
PURPLE PETAL INVEST PVT.LTD.
(PAN:AAMCP1499D)
(Along with : TAP INVEST)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 9 |
|
|
SHRESHTA INFRA PROJECTS PVT.LTD.
(PAN:AAQCS3874B)
|
|
|
DID NOT MAKE DISCLOSURE OF COVENANTS IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 45(1) READ WITH PARA 3.3.36 OF SCHEDULE I OF SEBI (ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES) REGULATIONS, 2021 IN MATTER OF EXAMINATION OF OUTLIERS FROM DEBT MARKET REPORT-FY 2024
DID NOT INFORM STOCK EXCHANGE ABOUT THE DETAILS OF PARTIAL REDEMPTION AND DELAY IN OF MORE THAN 24 HOURS IN INTIMATING STOCK EXCHANGE ABOUT PARTIAL REDEMPTION CARRIED ON 16/07/2024 VIOLATING REGULATION 51 READ WITH PART B OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF EXAMINATION OF OUTLIERS FROM DEBT MARKET REPORT-FY2024
|
IMPOSED PENALTY RS.2,00,000
28-MAY-2025
|
|
| 10 |
|
|
STABLE INVESTMENTS
(PAN:AALCB1337P)
(Along with : BERKELIUM TECHNOLOGIES PVT.LTD.)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 11 |
|
|
TAP INVEST
(PAN:AAMCP1499D)
(Along with : PURPLE PETAL INVEST PVT.LTD.)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| 12 |
|
|
TEXTERITY PVT.LTD.
(PAN:AAICT9574F)
(Along with : ALTGRAAF,M/S)
|
|
|
ENGAGED IN SOLICITATION AND SALE OF UNLISTED NON-CONVERTIBLE DEBENTURES (NCDS)TO RETAIL INVESTORS ON UNREGISTERED ONLINE PLATFORMS
|
DIRECTED TO CEASE AND DESIST FROM OFFERING SECURITIES FOR PUBLIC SUBSCRIPTION OR FROM BEING OFFERED FOR SALE ON THEIR PLATFORMS
DIRECTED TO PRESERVE ALL RECORDS AND COMMUNICATIONS REGARDING OFFERINGS MADE AVAILABLE ON THEIR PLATFORMS FROM THEIR INCEPTION AS WELL AS ANY INVESTMENTS MADE BY THE NOTICEES OR THEIR ASSOCIATED COMPANIES IN SECURITIES
18-NOV-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
