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

History of entity/person KAMESHWAR SWARUP

History of entity/person RAJIV SINGH

History of entity/person RAMESH SANKA

History of entity/person K.P.SINGH

History of entity/person PIA SINGH
 
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
 
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
 
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
 
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
 
01-OCT-2014
History of entity/person AHLUWALIA BUILDERS & DEVELOPMENT GROUP 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 AHLCON PARENTERALS (INDIA) LTD.  IMPOSED PENALTY

01-OCT-2014
 
01-OCT-2014
History of entity/person CAPRICON INDUSTRIALS 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 AHLCON PARENTERALS (INDIA) LTD.  IMPOSED PENALTY

01-OCT-2014
 
01-OCT-2014
History of entity/person RAJESH N.JHAVERI,M/S 

(Member : ASE)  
History of entity/person GAUTAM NANUBHAI JHAVERI
 
SEBI  FACILITATED ALLOTMENT OF PREFERENTIAL SHARES TO CERTAIN ENTITIES WITHOUT INFUSION OF MONEY AND SUBSEQUENTLY CREATED ARTIFICIAL MARKET BY TRADING ON BEHALF OF PROMOTERS & RELATED ENTITIES TO OFFLOAD THEIR SHARES AT INFLATED PRICE TO GENUINE INVESTORS IN MATTER OF OJAS TECHNOCHEM PRODUCTS LTD.

DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS & SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF OJAS TECHNOCHEM PRODUCTS LTD.

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION 
SUSPENDED REGISTRATION AS STOCK BROKER FROM 22-OCT-2014 TO 21-APR-2015

01-OCT-2014
 
10  01-OCT-2014
History of entity/person ROTAM COMMERCIALS LTD. 

(New Name : SWORD-EDGE COMMERCIALS LTD.)  
  SEBI  DID NO APPOINT ANY INDEPENDENT DIRECTOR ON ITS BOARD OR IN AUDIT COMMITTEE VIOLATING CLAUSE 30(A), 49 I (A) (II) AND 49 II (A) (I) AND (III) READ WITH CLAUSE 49 I A (III) (B) OF LISTING AGREEMENT UNDER SECTION 21 OF SCRA, 1956

INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF ROTAM COMMERCIALS LTD. (PRESENTLY KNOWN AS SWORD-EDGE COMMERCIALS LTD.) 
PROHIBITED FROM RAISING ANY FURTHER CAPITAL FROM SECURITIES MARKET, IN ANY MANNER WHATSOEVER

01-OCT-2014
 
11  01-OCT-2014
History of entity/person SHAMANJWALI METALS PVT.LTD.   
  SEBI  INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF ROTAM COMMERCIALS LTD. (PRESENTLY KNOWN AS SWORD-EDGE COMMERCIALS LTD.)

DID NOT MAKE DISCLOSURE OF SHAREHOLDING/ CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ROTAM COMMERCIALS LTD. (PRESENTLY KNOWN AS SWORD-EDGE COMMERCIALS LTD.) 
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2014 TO 30-SEP-2014

01-OCT-2014
 
12  01-OCT-2014
History of entity/person TIDAL SECURITIES 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 AHLCON PARENTERALS (INDIA) LTD.  IMPOSED PENALTY

01-OCT-2014
 
13  30-SEP-2014
History of entity/person AHLUWALIA BUILDERS & DEVELOPMENT GROUP 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 AHLCON PARENTERALS (INDIA) LTD.  IMPOSED PENALTY

30-SEP-2014
 
14  30-SEP-2014
History of entity/person AHLUWALIA BUILDERS & DEVELOPMENT GROUP PVT.LTD.   
  SEBI  DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AHLCON PARENTERALS (INDIA) LTD.  IMPOSED PENALTY

30-SEP-2014
 
15  30-SEP-2014
History of entity/person AHLUWALIA CONTRACTS (INDIA) LTD.   
  SEBI  DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AHLCON PARENTERALS (INDIA) LTD.  IMPOSED PENALTY

30-SEP-2014
 
16  30-SEP-2014
History of entity/person CAPRICON INDUSTRIALS LTD.   
  SEBI  DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AHLCON PARENTERALS (INDIA) LTD.  IMPOSED PENALTY

30-SEP-2014
 
17  30-SEP-2014
History of entity/person CAPRICON INDUSTRIALS 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 AHLCON PARENTERALS (INDIA) LTD.  IMPOSED PENALTY

30-SEP-2014
 
18  30-SEP-2014
History of entity/person MFL INDIA LTD.   
  SEBI  DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)

DID NOT REDRESS INVESTOR COMPLAINTS 
IMPOSED PENALTY

30-SEP-2014
 
19  30-SEP-2014
History of entity/person SHREEYASH INDUSTRIES LTD.   
  SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

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

30-SEP-2014
 
20  30-SEP-2014
History of entity/person TIDAL SECURITIES 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 AHLCON PARENTERALS (INDIA) LTD.  IMPOSED PENALTY

30-SEP-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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