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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 27-FEB-2026

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

COMPANIES: VIOLATED SEBI (ISSUE AND LISTING OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES) REGULATIONS, 2013

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person TATA CAPITAL LTD.

(PAN:AADCP9147P)  
  ALLEGED INDULGENCE IN ISSUANCES OF UNLISTED CUMULATIVE REDEEMABLE PREFERENCE SHARES ON PRIVATE PLACEMENT BASIS VIOLATING SECTIONS 23(1), 26(4) READ WITH 2(70), 26(6) READ WITH SECTIONS 26(1), 33(1) AND 40 OF COMPANIES ACT, 2013

ALLEGED CUMULATIVE REDEEMABLE PREFERENCE SHARES WERE SOLD TO MORE THAN TWO HUNDRED INVESTORS WITHIN SIX MONTHS FROM DATE OF ALLOTMENT VIOLATING REGULATIONS 4(2)(A), 4(5), 5(2)(B), 6 TO 9, 13, 16 AND 22 OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013   		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,40,000 VIDE CONSENT ORDER)

02-DEC-2025 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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