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Regulatory Actions Covered By This Website

REGULATORY ACTIONS IN CHRONOLOGICAL ORDER

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.

ENTITY

S.
No.
DATE OF ORDER ENTITY PERSON COMPETENT AUTHORITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 23-JAN-2015
History of entity/person FOCUS INVESTMENTS & TRADERS PVT.LTD.   
  SEBI  DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 13(2) OF SAST REGULATIONS, 2011 IN MATTER OF SERVOTECH ENGINEERING INDUSTRIES LTD.  DIRECTED ACQUIRER TO MAKE PUBLIC OFFER

DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS

23-JAN-2015
 
2 23-JAN-2015
History of entity/person LAHOTI EXPORTS PVT.LTD.   
  SEBI  DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 13(2) OF SAST REGULATIONS, 2011 IN MATTER OF SERVOTECH ENGINEERING INDUSTRIES LTD.  DIRECTED ACQUIRER TO MAKE PUBLIC OFFER

DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS

23-JAN-2015
 
3 23-JAN-2015
History of entity/person QUALITY PRODUCTS MARKETING PVT.LTD.   
  SEBI  DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 13(2) OF SAST REGULATIONS, 2011 IN MATTER OF SERVOTECH ENGINEERING INDUSTRIES LTD.  DIRECTED ACQUIRER TO MAKE PUBLIC OFFER

DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS

23-JAN-2015
 
4 21-JAN-2015
History of entity/person MPA AGRO - ANIMALS PROJECTS LTD.   
History of entity/person KRISHNADHAN DAS

History of entity/person TAPAN PRAMANIK

History of entity/person SURAJIT PAUL

History of entity/person ADHISH HALDER

History of entity/person PINTU SEN

History of entity/person MONOJ KUMAR SAHA
 
SEBI  MOBILIZED RS.22.50 LACS THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 152 INVESTORS VIOLATING SECTIONS 60 READ WITH 2(36), 56(1), 56(3) AND 73 OF THE COMPANIES ACT, 1956 AND THE ICDR REGULATIONS, 2009  DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 21-JAN-2015 UNTILL FURTHER ORDERS

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 21-JAN-2015 UNTILL FURTHER ORDERS

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 21-JAN-2015 UNTILL FURTHER ORDERS

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 21-JAN-2015 UNTILL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-JAN-2015 UNTILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-JAN-2015 UNTILL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

21-JAN-2015
 
5 20-JAN-2015
History of entity/person SHREESURYA INVESTMENTS 

(Sub-Broker of KISAN RATILAL CHOKSEY SHARES & SECURITIES PVT.LTD. , Member : BSE)  
History of entity/person SAMEER S.JOSHI
 
SEBI  INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE TRANSACTIONS VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992 
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT ACTIVITIES OR ANY UNREGISTERED ACTIVITY IN SECURITIES MARKET FROM 20-JAN-2015 TILL FURTHER ORDERS

DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES

PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JAN-2015 TILL FURTHER ORDERS

PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC OR ANY OTHER UNREGISTERED ACTIVITY, IN WHATEVER FORM

20-JAN-2015
 
6 20-JAN-2015
History of entity/person SHREESURYA INVESTMENTS 

(Sub-Broker of KISAN RATILAL CHOKSEY SHARES & SECURITIES PVT.LTD. , Member : NSE)  
History of entity/person SAMEER S.JOSHI
 
SEBI  INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE TRANSACTIONS VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992 
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO INVESTMENT ADVISORY AND PORTFOLIO MANAGEMENT ACTIVITIES OR ANY UNREGISTERED ACTIVITY IN SECURITIES MARKET FROM 20-JAN-2015 TILL FURTHER ORDERS

DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES

PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JAN-2015 TILL FURTHER ORDERS

PROHIBITED FROM MOBILIZING OR POOLING FUNDS FROM ITS CLIENTS, OTHER GENERAL INVESTORS OR PUBLIC OR ANY OTHER UNREGISTERED ACTIVITY, IN WHATEVER FORM

20-JAN-2015
 
7 19-JAN-2015
History of entity/person ING MUTUAL FUND   
  SEBI  REQUESTED FOR CANCELLATION OF CERTIFICATE OF REGISTRATION  CANCELLED REGISTRATION AS MUTUAL FUND AND WITHDRAWN APPROVAL GRANTED TO ASSET MANAGEMENT COMPANY

19-JAN-2015
 
8 16-JAN-2015
History of entity/person SARAF HOLDINGS PVT.LTD.   
  SEBI  DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF COMFORT FINCAP LTD.  IMPOSED PENALTY

16-JAN-2015
 
9 16-JAN-2015
History of entity/person SARAF HOLDINGS PVT.LTD.   
  SEBI  DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1), 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF COMFORT FINCAP LTD.  IMPOSED PENALTY

16-JAN-2015
 
10 16-JAN-2015
History of entity/person SURFACE HOLDINGS LTD.   
  SEBI  DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1), 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF COMFORT FINCAP LTD.  IMPOSED PENALTY

16-JAN-2015
 
11 16-JAN-2015
History of entity/person TOWER PROPERTIES PVT.LTD.   
  SEBI  DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1), 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF COMFORT FINCAP LTD.  IMPOSED PENALTY

16-JAN-2015
 
12 15-JAN-2015
History of entity/person CEPHAM ORGANICS LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS  IMPOSED PENALTY

15-JAN-2015
 
13 15-JAN-2015
History of entity/person CEPHAM PHARMACEUTICALS LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS  IMPOSED PENALTY

15-JAN-2015
 
14 15-JAN-2015
History of entity/person GOLDEN PROTEINS LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS  IMPOSED PENALTY

15-JAN-2015
 
15 15-JAN-2015
History of entity/person HIND DEVELOPERS LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS  IMPOSED PENALTY

15-JAN-2015
 
16 15-JAN-2015
History of entity/person INTERCRAFT LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS  IMPOSED PENALTY

15-JAN-2015
 
17 15-JAN-2015
History of entity/person MUNAK GALVA SHEETS LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS  IMPOSED PENALTY

15-JAN-2015
 
18 15-JAN-2015
History of entity/person NAVIN CHEMICALS MANUFACTURING & TRADING CO.LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS  IMPOSED PENALTY

15-JAN-2015
 
19 14-JAN-2015
History of entity/person ELARA INDIA OPPORTUNITIES FUND LTD.   
  SEBI  DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF AUSTRAL COKE & PROJECTS LTD.  IMPOSED PENALTY

14-JAN-2015
 
20 14-JAN-2015
History of entity/person MICRO FINANCE LTD.   
History of entity/person JUGAL KISHOR SATAPATHY

History of entity/person BIJOY KUMAR ROUTRAY

History of entity/person DHARMANANDA SWAIN

History of entity/person SANTILATA PATNAIK

History of entity/person PADMABATI PATNAIK

History of entity/person ASHOK KUMAR PATNAIK

History of entity/person SASHI PATNAIK

History of entity/person DURGA PRASAD MISRA

History of entity/person BAIKUNTHA NATH PATNAIK

History of entity/person HARICHARAN JENA
 
SEBI  MOBILIZED RS.88.92 CRORES THROUGH ISSUANCE OF 88,91,984 CUMULATIVE CONVERTIBLE PREFERENCE SHARES (CCPS) BY WAY OF PRIVATE PLACEMENT TO 1,21,222 INVESTORS VIOLATING SECTIONS 60 READ WITH 2(36), 56(1), 56(3) AND 73 OF THE COMPANIES ACT, 1956 AND THE DIP GUIDELINES READ WITH ICDR REGULATIONS  DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 14-JAN-2015 UNTIL FURTHER ORDERS

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 14-JAN-2015 UNTIL FURTHER ORDERS

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 14-JAN-2015 UNTIL FURTHER ORDERS

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 14-JAN-2015 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-JAN-2015 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-JAN-2015 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

14-JAN-2015
 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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