| S. NO. |
PERSON |
ENTITY |
COMPETENT AUTHORITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 3361. |
|
SBI-SG GLOBAL SECURITIES SERVICES PVT.LTD.
(PAN:AAMCS4727R)
|
|
|
SEBI |
ALLEGED INDULGENCE IN GRANTING REGISTRATION TO FOREIGN PORTFOLIO INVESTORS TO FOREIGN PORTFOLIO INVESTORS WITHOUT ASCERTAINING WHETHER SUCH APPLICANT WAS UNDER COMMON OWNERSHIP OR CONTROL TO FORM INVESTOR GROUP WITH ANY OTHER REGISTERED FOREIGN PORTFOLIO INVESTOR
ALLEGED OPERATION MANUAL DID NOT CONTAIN ANY PROCEDURES TO BE FOLLOWED BY NOTICE TO ASCERTAIN IF THE APPLICANT/FPI WAS IN COMMON CONTROL OR OWNERSHIP WITH ANY OTHER FPI REGISTERED WITH IT OR FORMS PART OF ANY INVESTOR GROUP
ALLEGED FAILURE TO MAINTAIN TRUE AND FAIR RECORDS (ELECTRONIC) FOR FOREIGN PORTFOLIO INVESTORS IN THE NSDL PORTAL
ALLEGED FAILURE TO PROCESS SURRENDER APPLICATIONS OF FOREIGN PORTFOLIO INVESTORS WITHIN STIPULATED TIMELINES
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.29,25,000 VIDE CONSENT ORDER)
27-DEC-2024
|
|
| 3362. |
|
|
SBL INFRATECH LTD.
|
|
|
BSE |
DID NOT APPOINT COMPANY SECRETARY AND/OR COMPLIANCE OFFICER FOR THE QUARTER ENDED 30-SEP-2024
|
IMPOSED FINE RS.80,240
30-SEP-2024
|
|
| 3363. |
SBS INVESTMENTS
(PAN:ACLFS5789F)
|
|
NSDL |
NON DELIVERY OF SCN AND/OR SEBI ORDERS
|
DEACTIVATED PAN AND/OR DEMAT ACCOUNTS
17-JAN-2024
|
|
| 3364. |
|
|
SEACOAST SHIPPING SERVICES LTD.
(PAN:AACCM2171R)
|
|
|
BSE |
DID NOT ADHERE TO REGULATION 76 OF SEBI (DEPOSITORIES & PARTICIPANTS) REGULATIONS, 2018
|
SECURITIES SHIFTED TO Z/ZP/ZY GROUP
23-DEC-2024
|
|
| 3365. |
|
|
SECUR CREDENTIALS LTD.
(PAN:AADCA3292Q)
|
|
|
BSE |
DID NOT SUBMIT CORPORATE GOVERNANCE REPORT U/S 17(1) OF SEBI (LODR) REGULATIONS,2015 FOR THE QUARTER ENDED 30-SEP-2024
|
IMPOSED FINE RS.70,800
30-SEP-2024
|
|
| 3366. |
|
|
SECUR CREDENTIALS LTD.
(PAN:AADCA3292Q)
|
|
|
BSE |
DID NOT SUBMIT RECONCILIATION OF SHARE CAPITAL FOR THE QUARTER ENDED 30-SEP-2024
|
PUT UP ON BSE WEBSITE FOR PUBLIC NOTICE
30-SEP-2024
|
|
| 3367. |
|
|
SECUR CREDENTIALS LTD.
(PAN:AADCA3292Q)
|
|
|
BSE |
DID NOT SUBMIT STATEMENT OF INVESTOR'S COMPLAINTS FOR THE QUARTER ENDED 30-SEP-2024
|
IMPOSED FINE RS.28,320
30-SEP-2024
|
|
| 3368. |
SEEMA CHAUDHARY
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
AUCTION NOTICES/ NOTICES FOR SALE- RS.36,31,000
BANK OF INDIA
19-DEC-2024
|
|
| 3369. |
SEEMA DEVI
|
|
|
SAI AGRO MACHINERY PVT.LTD.
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
AUCTION NOTICES/ NOTICES FOR SALE- RS.2,28,29,364 ALONG WITH OTHER ENTITIES/PERSONS
CANARA BANK
18-DEC-2024
|
|
| 3370. |
SEEMA DEVI
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
DEMAND NOTICE/ NOTICE- RS.4,62,738 ALONG WITH OTHER ENTITIES/PERSONS
IIFL HOME FINANCE LTD.
11-DEC-2024
|
|
| 3371. |
SEEMA RANA
|
|
|
SHRI LAXMI ASSOCIATES
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
AUCTION NOTICES/ NOTICES FOR SALE- RS.11,40,00,326 ALONG WITH OTHER ENTITIES/PERSONS
STATE BANK OF INDIA
11-DEC-2024
|
|
| 3372. |
SEEMA SHARMA
|
|
|
AAN CREATIONS
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
POSSESSION NOTICE- RS.14,34,192 ALONG WITH OTHER ENTITIES/PERSONS
STATE BANK OF INDIA
29-JUN-2024
|
|
| 3373. |
SEEMA SHARMA
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
DEMAND NOTICE/ NOTICE- RS.42,19,519 ALONG WITH OTHER ENTITIES/PERSONS
SMFG INDIA HOME FINANCE CO.LTD. (FORMERLY FULLERTON INDIA HOME FINANCE CO.LTD.)
RESTRAINED FROM ALIENATING (INCLUDING BY WAY OF TRANSFER, SALE, LEASE OR OTHERWISE) OR CREATING THIRD PARTY INTEREST OR DEALING WITH MORTGAGED PROPERTY IN ANY MANNER
20-NOV-2024
|
|
| 3374. |
SEEMA SUNDER
|
|
BANKS |
DEFAULTED IN REPAYMENT OF LOANS
|
SYMBOLIC POSSESSION NOTICE- RS.10,60,348 ALONG WITH OTHER ENTITIES/PERSONS
HINDUJA HOUSING FINANCE LTD.
27-AUG-2024
|
|
| 3375. |
SEIKH SARAFAT ALI
(PAN:AGWPA0991L)
|
|
NSDL |
NON DELIVERY OF SCN AND/OR SEBI ORDERS
|
DEACTIVATED PAN AND/OR DEMAT ACCOUNTS
17-JAN-2024
|
|
| 3376. |
SEKH JASIM HOSSAIN
(PAN:ACMPH7807A)
|
|
NSDL |
NON DELIVERY OF SCN AND/OR SEBI ORDERS
|
DEACTIVATED PAN AND/OR DEMAT ACCOUNTS
17-JAN-2024
|
|
| 3377. |
SEKH REZAUL KARIM
(PAN:AKOPK3769L)
|
|
NSDL |
NON DELIVERY OF SCN AND/OR SEBI ORDERS
|
DEACTIVATED PAN AND/OR DEMAT ACCOUNTS
17-JAN-2024
|
|
| 3378. |
SEKH SAHADAT ALI
(PAN:AHEPA0768N)
|
|
NSDL |
NON DELIVERY OF SCN AND/OR SEBI ORDERS
|
DEACTIVATED PAN AND/OR DEMAT ACCOUNTS
17-JAN-2024
|
|
| 3379. |
SENGAN THANGAPPALAM
(PAN:AFUPT3687B)
|
|
NSDL |
NON DELIVERY OF SCN AND/OR SEBI ORDERS
|
DEACTIVATED PAN AND/OR DEMAT ACCOUNTS
17-JAN-2024
|
|
| 3380. |
SENGAN THANGAPPALAM
(PAN:AFUPT3687B)
|
|
NSDL |
NON DELIVERY OF SCN AND/OR SEBI ORDERS
|
DEACTIVATED PAN AND/OR DEMAT ACCOUNTS
17-JAN-2024
|
|
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
