| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
EDELWEISS ALTERNATIVE ASSET ADVISORS LTD.
(PAN:AABCE9810G)
|
|
|
ALLEGED FAILURE TO CARRY OUT ACTIVITIES OF ALTERNATIVE INVESTMENT FUND IN ACCORDANCE WITH PRIVATE PLACEMENT MEMORANDUM
ALLEGED FAILURE IN IMPLEMENTING POLICIES AND PROCEDURES TO APPROPRIATELY MITIGATE CONFLICT OF INTEREST AND SUBMITTED INACCURATE INFORMATION TO TRUSTEE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.61,42,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE
RESTRAINED FROM ENGAGING OR ASSOCIATING WITH COMPANY IN ANY MANNER)
FROM 30-SEP-2025 TO 29-SEP-2026
30-SEP-2025
|
|
| 2 |
|
|
EDELWEISS STRESSED & TROUBLED ASSETS REVIVAL FUND TRUST
(PAN:AAATE4828L)
|
|
|
ALLEGED FAILURE TO ACT IN INTEREST OF INVESTORS AND DID NOT EXERCISE INDEPENDENT PROFESSIONAL JUDGMENT
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.61,42,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE
RESTRAINED FROM ENGAGING OR ASSOCIATING WITH COMPANY IN ANY MANNER)
FROM 30-SEP-2025 TO 29-SEP-2026
30-SEP-2025
|
|
| 3 |
|
|
INNOVISION E-COMMERCE LTD.
(PAN:AAACB2432J)
|
|
|
WEAK FUNDAMENTALS OF THE COMPANY
|
DOWNGRADED COMPANY'S SCRIP FROM B-1 TO Z CATEGORY
27-JAN-2004
|
SAT: CIRCULAR SET ASIDE WITH RESPECT TO APPLICANT AND CASE REMANDED FOR FRESH ENQUIRY TO RESPONDENT, APPEAL DISPOSED OFF
|
| 4 |
|
|
JANE STREET ASIA TRADING LTD.
(PAN:AAECJ7368M)
(Along with : JSI INVESTMENTS PVT.LTD.,
JSI2 INVESTMENTS PVT.LTD.,
JANE STREET SINGAPORE PTE.LTD.)
|
|
|
ENGAGED IN ILLEGAL MANIPULATION OF SECURITIES THAT COMPRISE THE BANKNIFTY AND NIFTY INDICES, THEREBY VITIATING MARKET FAIRNESS AND INTEGRITY AND ILLEGALLY BENEFITING FROM THEIR TRADING ACTIVITIES AND POSITIONS IN THE INDEX OPTIONS MARKETS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JANE STREET GROUP
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.48,43,57,70,168 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO OPEN ESCROW ACCOUNT IN SCHEDULED COMMERCIAL BANK TO CREDIT OR DEPOSIT JOINTLY OR SEVERALLY AMOUNT OF UNLAWFUL GAINS WITH A LIEN MARK IN FAVOUR OF SEBI AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-JUL-2025 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-JUL-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NEITHER PERMIT ANY TRANSFER NOR REDEMPTION OF SECURITIES INCLUDING MUTUAL FUNDS UNITS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
CEASED AND DESIST FROM DIRECTLY OR INDIRECTLY ENGAGING IN ANY FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE OR UNDERTAKING ANY ACTIVITY EITHER DIRECTLY OR INDIRECTLY, THAT MAY BE IN BREACH OF EXTANT REGULATIONS INCLUDING BY DEALING IN SECURITIES USING ANY OF PATTERNS IDENTIFIED OR ALLUDED
DIRECTED STOCK EXCHANGES TO CLOSELY MONITOR ANY FUTURE DEALINGS AND POSITIONS OF JANE STREET GROUP ON ONGOING BASIS TO ENSURE THAT ENTITIES DO NOT EITHER DIRECTLY OR INDIRECTLY INDULGE IN ANY KIND OF MANIPULATIVE ACTIVITY, INCLUDING BY DEALING IN SECURITIES USING ANY OF PATTERNS IDENTIFIED OR ALLUDED
DIRECTED TO ENSURE THAT NO DEBITS ARE MADE IN RESPECT OF ASSETS OF ENTITIES UNDER THEIR CUSTODY WITHOUT PERMISSION OF SEBI
03-JUL-2025
|
SEBI VIDE ITS PRESS RELEASE DATED 14/07/2025 CONFIRMED THAT IN COMPLIANCE WITH INTERIM ORDER DATED 03/07/2025, RS.4,843,57,70,168.00 HAS BEEN CREDITED TO ESCROW ACCOUNT WITH A LIEN MARKED IN FAVOUR OF SEBI
SEBI VIDE ITS PRESS RELEASE DATED 21/07/2025 CEASED THE APPLICATION OF DIRECTIONS STIPULATED IN CLAUSES 62.2, 62.3, 62.4, 62.5, 62.7, 62.8 AND 62.10 OF THE INTERIM ORDER DATED 03/07/2025 UPON COMPLIANCE WITH THE DIRECTIONS IN CLAUSE 62.1 (CREATION OF ESCROW ACCOUNT WITH LIEN MARKED IN FAVOUR OF SEBI, FOR RS 4,843,57,70,168.00)
|
| 5 |
|
|
JANE STREET SINGAPORE PTE.LTD.
(PAN:AAGCJ1682G)
(Along with : JSI INVESTMENTS PVT.LTD.,
JSI2 INVESTMENTS PVT.LTD.,
JANE STREET ASIA TRADING LTD.)
|
|
|
ENGAGED IN ILLEGAL MANIPULATION OF SECURITIES THAT COMPRISE THE BANKNIFTY AND NIFTY INDICES, THEREBY VITIATING MARKET FAIRNESS AND INTEGRITY AND ILLEGALLY BENEFITING FROM THEIR TRADING ACTIVITIES AND POSITIONS IN THE INDEX OPTIONS MARKETS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JANE STREET GROUP
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.48,43,57,70,168 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO OPEN ESCROW ACCOUNT IN SCHEDULED COMMERCIAL BANK TO CREDIT OR DEPOSIT JOINTLY OR SEVERALLY AMOUNT OF UNLAWFUL GAINS WITH A LIEN MARK IN FAVOUR OF SEBI AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-JUL-2025 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-JUL-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NEITHER PERMIT ANY TRANSFER NOR REDEMPTION OF SECURITIES INCLUDING MUTUAL FUNDS UNITS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
CEASED AND DESIST FROM DIRECTLY OR INDIRECTLY ENGAGING IN ANY FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE OR UNDERTAKING ANY ACTIVITY EITHER DIRECTLY OR INDIRECTLY, THAT MAY BE IN BREACH OF EXTANT REGULATIONS INCLUDING BY DEALING IN SECURITIES USING ANY OF PATTERNS IDENTIFIED OR ALLUDED
DIRECTED STOCK EXCHANGES TO CLOSELY MONITOR ANY FUTURE DEALINGS AND POSITIONS OF JANE STREET GROUP ON ONGOING BASIS TO ENSURE THAT ENTITIES DO NOT EITHER DIRECTLY OR INDIRECTLY INDULGE IN ANY KIND OF MANIPULATIVE ACTIVITY, INCLUDING BY DEALING IN SECURITIES USING ANY OF PATTERNS IDENTIFIED OR ALLUDED
DIRECTED TO ENSURE THAT NO DEBITS ARE MADE IN RESPECT OF ASSETS OF ENTITIES UNDER THEIR CUSTODY WITHOUT PERMISSION OF SEBI
03-JUL-2025
|
SEBI VIDE ITS PRESS RELEASE DATED 14/07/2025 CONFIRMED THAT IN COMPLIANCE WITH INTERIM ORDER DATED 03/07/2025, RS.4,843,57,70,168.00 HAS BEEN CREDITED TO ESCROW ACCOUNT WITH A LIEN MARKED IN FAVOUR OF SEBI
SEBI VIDE ITS PRESS RELEASE DATED 21/07/2025 CEASED THE APPLICATION OF DIRECTIONS STIPULATED IN CLAUSES 62.2, 62.3, 62.4, 62.5, 62.7, 62.8 AND 62.10 OF THE INTERIM ORDER DATED 03/07/2025 UPON COMPLIANCE WITH THE DIRECTIONS IN CLAUSE 62.1 (CREATION OF ESCROW ACCOUNT WITH LIEN MARKED IN FAVOUR OF SEBI, FOR RS 4,843,57,70,168.00)
|
| 6 |
|
|
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
|
|
| 7 |
|
|
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
|
|
| 8 |
|
|
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
|
|
| 9 |
|
|
JSI INVESTMENTS PVT.LTD.
(PAN:AAFCJ0285L)
(Along with : JSI2 INVESTMENTS PVT.LTD.,
JANE STREET SINGAPORE PTE.LTD.,
JANE STREET ASIA TRADING LTD.)
|
|
|
ENGAGED IN ILLEGAL MANIPULATION OF SECURITIES THAT COMPRISE THE BANKNIFTY AND NIFTY INDICES, THEREBY VITIATING MARKET FAIRNESS AND INTEGRITY AND ILLEGALLY BENEFITING FROM THEIR TRADING ACTIVITIES AND POSITIONS IN THE INDEX OPTIONS MARKETS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JANE STREET GROUP
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.48,43,57,70,168 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO OPEN ESCROW ACCOUNT IN SCHEDULED COMMERCIAL BANK TO CREDIT OR DEPOSIT JOINTLY OR SEVERALLY AMOUNT OF UNLAWFUL GAINS WITH A LIEN MARK IN FAVOUR OF SEBI AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-JUL-2025 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-JUL-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NEITHER PERMIT ANY TRANSFER NOR REDEMPTION OF SECURITIES INCLUDING MUTUAL FUNDS UNITS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
CEASED AND DESIST FROM DIRECTLY OR INDIRECTLY ENGAGING IN ANY FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE OR UNDERTAKING ANY ACTIVITY EITHER DIRECTLY OR INDIRECTLY, THAT MAY BE IN BREACH OF EXTANT REGULATIONS INCLUDING BY DEALING IN SECURITIES USING ANY OF PATTERNS IDENTIFIED OR ALLUDED
DIRECTED STOCK EXCHANGES TO CLOSELY MONITOR ANY FUTURE DEALINGS AND POSITIONS OF JANE STREET GROUP ON ONGOING BASIS TO ENSURE THAT ENTITIES DO NOT EITHER DIRECTLY OR INDIRECTLY INDULGE IN ANY KIND OF MANIPULATIVE ACTIVITY, INCLUDING BY DEALING IN SECURITIES USING ANY OF PATTERNS IDENTIFIED OR ALLUDED
03-JUL-2025
|
SEBI VIDE ITS PRESS RELEASE DATED 14/07/2025 CONFIRMED THAT IN COMPLIANCE WITH INTERIM ORDER DATED 03/07/2025, RS.4,843,57,70,168.00 HAS BEEN CREDITED TO ESCROW ACCOUNT WITH A LIEN MARKED IN FAVOUR OF SEBI
SEBI VIDE ITS PRESS RELEASE DATED 21/07/2025 CEASED THE APPLICATION OF DIRECTIONS STIPULATED IN CLAUSES 62.2, 62.3, 62.4, 62.5, 62.7, 62.8 AND 62.10 OF THE INTERIM ORDER DATED 03/07/2025 UPON COMPLIANCE WITH THE DIRECTIONS IN CLAUSE 62.1 (CREATION OF ESCROW ACCOUNT WITH LIEN MARKED IN FAVOUR OF SEBI, FOR RS 4,843,57,70,168.00)
|
| 10 |
|
|
JSI2 INVESTMENTS PVT.LTD.
(PAN:AAGCJ5786R)
(Along with : JSI INVESTMENTS PVT.LTD.,
JANE STREET SINGAPORE PTE.LTD.,
JANE STREET ASIA TRADING LTD.)
|
|
|
ENGAGED IN ILLEGAL MANIPULATION OF SECURITIES THAT COMPRISE THE BANKNIFTY AND NIFTY INDICES, THEREBY VITIATING MARKET FAIRNESS AND INTEGRITY AND ILLEGALLY BENEFITING FROM THEIR TRADING ACTIVITIES AND POSITIONS IN THE INDEX OPTIONS MARKETS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JANE STREET GROUP
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.48,43,57,70,168 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO OPEN ESCROW ACCOUNT IN SCHEDULED COMMERCIAL BANK TO CREDIT OR DEPOSIT JOINTLY OR SEVERALLY AMOUNT OF UNLAWFUL GAINS WITH A LIEN MARK IN FAVOUR OF SEBI AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-JUL-2025 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-JUL-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NEITHER PERMIT ANY TRANSFER NOR REDEMPTION OF SECURITIES INCLUDING MUTUAL FUNDS UNITS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
CEASED AND DESIST FROM DIRECTLY OR INDIRECTLY ENGAGING IN ANY FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE OR UNDERTAKING ANY ACTIVITY EITHER DIRECTLY OR INDIRECTLY, THAT MAY BE IN BREACH OF EXTANT REGULATIONS INCLUDING BY DEALING IN SECURITIES USING ANY OF PATTERNS IDENTIFIED OR ALLUDED
DIRECTED STOCK EXCHANGES TO CLOSELY MONITOR ANY FUTURE DEALINGS AND POSITIONS OF JANE STREET GROUP ON ONGOING BASIS TO ENSURE THAT ENTITIES DO NOT EITHER DIRECTLY OR INDIRECTLY INDULGE IN ANY KIND OF MANIPULATIVE ACTIVITY, INCLUDING BY DEALING IN SECURITIES USING ANY OF PATTERNS IDENTIFIED OR ALLUDED
03-JUL-2025
|
SEBI VIDE ITS PRESS RELEASE DATED 14/07/2025 CONFIRMED THAT IN COMPLIANCE WITH INTERIM ORDER DATED 03/07/2025, RS.4,843,57,70,168.00 HAS BEEN CREDITED TO ESCROW ACCOUNT WITH A LIEN MARKED IN FAVOUR OF SEBI
SEBI VIDE ITS PRESS RELEASE DATED 21/07/2025 CEASED THE APPLICATION OF DIRECTIONS STIPULATED IN CLAUSES 62.2, 62.3, 62.4, 62.5, 62.7, 62.8 AND 62.10 OF THE INTERIM ORDER DATED 03/07/2025 UPON COMPLIANCE WITH THE DIRECTIONS IN CLAUSE 62.1 (CREATION OF ESCROW ACCOUNT WITH LIEN MARKED IN FAVOUR OF SEBI, FOR RS 4,843,57,70,168.00)
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| 11 |
|
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MILANI TECHNO ENGINEERING LTD.
(CIN:U51109UP1984PLC006714)
|
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|
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ARVIND TIWARI
DIN:01629407
PAN:ADXPT8691C
|
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BHARAT SUBHASH PRASAD MAURYA
DIN:08101500
PAN:DOHPM9275P
|
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CHHOTELAL SHUKLA
DIN:02706032
PAN:CLJPS2300B
|
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DEENANATH MAURYA
DIN:02824654
PAN:BJJPM1012K
|
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MAIKU LAL
PAN:ACBPL8003B
DIN:07072169
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MUKESH KUMAR KHARE
DIN:06400147
PAN:BBVPK0966N
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PASHUPATI NATH DIXIT
DIN:01664553
PAN:AJPPD9322G
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PRITHI PAUL SINGH SETHI
DIN:00076689
PAN:AOAPS8866A
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RAJESH KUMAR SHARMA
DIN:01731816
PAN:BFXPS2910E
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RAJESH SINGH YADAV
DIN:07524409
PAN:ALVPY5087F
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RAM KISHOR PRAJAPATI
DIN:07524405
PAN:AVOPP0495M
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RAM VISHAL TELARS
PAN:AHVPT3683L
DIN:07072186
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RAMENDRA PRASAD SHARMA
DIN:02518373
PAN:AOBPS4499A
|
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SHIVA NAND MISHRA
PAN:AJHPM9388B
DIN:02706697
|
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SITA RAM PRAJAPATI
DIN:07526339
PAN:ASPPP5581Q
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SURENDRA SINGH
DIN:07524382
PAN:BVGPS1857P
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VISHWA BANDHU VASHISTHA
DIN:02707338
PAN:ADFPV9924N
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MOBILIZED RS.4.12 CRORE FROM PUBLIC THROUGH ISSUANCE OF 14,143 RCPS BY WAY OF PRIVATE PLACEMENT TO 127 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 READ WITH 2(36), 64(1), 67(3) AND 73 OF THE COMPANIES ACT, 1956 READ WITH 465(2) OF THE COMPANIES ACT, 2013 IN MATTER OF MILANI TECHNO ENGINEERING LTD.
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF RCPS INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 30-SEP-2025 TO 29-SEP-2029
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
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 30-SEP-2025 TO 29-SEP-2029
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2025 TO 29-SEP-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2025 TO 29-SEP-2029
30-SEP-2025
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| 12 |
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PAR DRUGS & CHEMICALS PVT.LTD.
(PAN:AABCP6547M)
|
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VALUATION REPORT FOR TRANSACTION AS SLUMP SALE OF BUSINESS UNDERTAKING AS A GOING CONCERN DID NOT CAPTURE THE VALUATION OF THE BUSINESS AS A GOING CONCERN BASIS
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RESTRAINED FROM EFFECTING THE TRANSACTIONS AGREED UPON UNDER BUSINESS TRANSFER AGREEMENT FROM 15-SEP-2025 UNTIL FURTHER ORDERS
DIRECTED NSE TO APPOINT A REGISTERED VALUER TO INDEPENDENTLY CARRY-OUT VALUATION OF BUSINESS UNDERTAKING PROPOSED TO BE TRANSFERRED THROUGH BUSINESS TRANSFER AGREEMENT
DIRECTED REGISTERED VALUER TO SUBMIT A REPORT TO NSE WITHIN THREE MONTHS FROM DATE OF THIS ORDER
DIRECTED TO CEASE AND DESIST FROM ENTERING INTO ANY TRANSACTION DIRECTLY OR INDIRECTLY IN ALIENATION OF ANY ASSETS FORMING SUBJECT MATTER OF BUSINESS TRANSFER AGREEMENT FROM 15-SEP-2025 UNTIL FURTHER ORDERS
DIRECTED TO EXTEND NECESSARY CO–OPERATION TO VALUER APPOINTED AND FURNISH ALL INFORMATION/DOCUMENTS
DIRECTED NSE TO SUBMIT VALUATION REPORT, FAIRNESS OPINION ALONG WITH ITS RECOMMENDATION
15-SEP-2025
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| 13 |
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TELECANOR GLOBAL LTD.
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VIJAY LAKSHMI PRATURI
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FILED APPLICATION FOR SEEKING EXEMPTION FROM MAKING PUBLIC ANNOUNCEMENT FOR PROPOSED INCREASED IN SHAREHOLDING IN MATTER OF TELECANOR GLOBAL LTD.
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REJECTED APPLICATION FILED FOR GRANT OF EXEMPTION FROM SAST REGULATIONS, 2011
03-OCT-2025
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
