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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.

REGULATORY ACTIONS IN CHRONOLOGICAL ORDER
 
ENTITY
S.
No.
DATE OF ORDER  ENTITY  PERSON COMPETENT AUTHORITY  REGULATORY CHARGES  REGULATORY ACTION(S) / DATE OF ORDER  FURTHER DEVELOPMENTS
29-OCT-2014
History of entity/person HINDUSTAN CERAMICS LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY

29-OCT-2014
 
29-OCT-2014
History of entity/person HINDUSTAN FINANCIAL MANAGEMENT LTD. 

(Old Name : HINDUSTAN FINANCIAL SERVICES LTD.)

(Old Name : HINDUSTAN LEASING LTD.)  
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY

29-OCT-2014
 
29-OCT-2014
History of entity/person H-LON HOSIERY LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY

29-OCT-2014
 
29-OCT-2014
History of entity/person IDEAL HOTELS & INDUSTRIES LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY

29-OCT-2014
 
29-OCT-2014
History of entity/person PREMIUM INTERNATIONAL FINANCE LTD. 

(Old Name : PREMIUM FINANCE & LEASING LTD.)  
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY

29-OCT-2014
 
29-OCT-2014
History of entity/person REINZ TALBROS LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY

29-OCT-2014
 
29-OCT-2014
History of entity/person SABERO ORGANICS GUJARAT LTD.   
  SEBI  ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(3) AND 8(3) OF SEBI TAKEOVER CODE, 1997  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,36,750 VIDE CONSENT ORDER DATED 29-OCT-2014)

29-OCT-2014
 
29-OCT-2014
History of entity/person TRIDENT INDIA LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY

29-OCT-2014
 
28-OCT-2014
History of entity/person INTECON (INDIA) LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY

28-OCT-2014
 
10  28-OCT-2014
History of entity/person J.K.LEATHERITE LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY

28-OCT-2014
 
11  28-OCT-2014
History of entity/person LAKSHYA SECURITIES & CREDIT HOLDINGS LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY

28-OCT-2014
 
12  28-OCT-2014
History of entity/person MAJESTIC OVERSEAS LTD. 

(Old Name : MONTARI OVERSEAS LTD.)  
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY

28-OCT-2014
 
13  28-OCT-2014
History of entity/person SUPERIOR FINLEASE LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY

28-OCT-2014
 
14  21-OCT-2014
History of entity/person TUSHAR OIL FOODS LTD.   
  SEBI  DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)  IMPOSED PENALTY

21-OCT-2014
 
15  14-OCT-2014
History of entity/person GLAXO GROUP LTD.   
  SEBI  DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GLAXO SMITHKLINE PHARMACEUTICALS LTD.

DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF GLAXO SMITHKLINE PHARMACEUTICALS LTD. 
IMPOSED PENALTY

14-OCT-2014
 
16  14-OCT-2014
History of entity/person SUNRISE PROTEINS LTD.   
  SEBI  DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997  IMPOSED PENALTY

14-OCT-2014
 
17  10-OCT-2014
History of entity/person DLF LTD.   
History of entity/person T.C.GOYAL

History of entity/person K.P.SINGH

History of entity/person PIA SINGH

History of entity/person RAMESH SANKA

History of entity/person RAJIV SINGH

History of entity/person KAMESHWAR SWARUP
 
SEBI  DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATIONS AGAINST SUBSIDIARIES IN RED HEARING PROSPECTUS (RHP) AND PROSPECTUS IN MATTER OF DLF LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2014 TO 09-OCT-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2014 TO 09-OCT-2017

10-OCT-2014
 
18  10-OCT-2014
History of entity/person NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE   
  SEBI  DID NOT SEND HALT TRIGGER TO ITS MATCHING ENGINES AT THE INSTANCE OF BREACH OF 10% AND 15% CIRCUIT BREAKER LIMITS ON 05/10/2012 VIOLATING PROVISIONS OF SEBI CIRCULAR NO.SMDRPD/POLICY/CIR-37/2001 DATED 28/06/2001

DID NOT EFFECTIVELY ENSURE THAT ITS STOCK BROKERS HAVE NECESSARY RISK CONTROL SYSTEMS VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 31/01/2000

DID NOT HAVE SYSTEM AT ITS END TO MANAGE RISK IN THE EVENT OF FAILURE OF STOCK BROKERíS RISK MANAGEMENT SYSTEM VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 31/01/2000 
CENSURED TO BE CAREFUL AND CAUTIOUS IN DEALINGS IN SECURITIES MARKET AND COMPLY WITH ALL LEGAL REQUIREMENTS THAT GOVERN ITS FUNCTIONS AS STOCK EXCHANGE

DIRECTED TO CARRY OUT COMPREHENSIVE REVIEW BY INDEPENDENT EXPERT (CONSULTANT) OF THE PROCESS FOLLOWED, CHECKS IN PLACE, SYSTEMS EMPLOYED BY NSE AND ON RECEIPT OF REPORT DIRECTED TO SUBMIT REPORT TO SEBI ALONG WITH ITS `PLAN OF ACTION` WITHIN PERIOD OF THREE MONTHS

10-OCT-2014
 
19  10-OCT-2014
History of entity/person SAMARA CAPITAL PARTNERS FUND I LTD.   
  SEBI  DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASIAN OILFIELD SERVICES LTD.  IMPOSED PENALTY

10-OCT-2014
 
20  09-OCT-2014
History of entity/person MAHESH AGRICULTURAL IMPLEMENT & STEEL FORGINGS LTD.   
  SEBI  ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,56,875 VIDE CONSENT ORDER DATED 09-OCT-2014)

09-OCT-2014
 

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

 
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