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Regulatory Actions Covered By This Website

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The new records added to the website are listed in an alphabetical 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

ABCDEFGHIJKLMNOPQRSTUVWXYZALL

S. NO. ENTITY PERSON COMPETENT AUTHORITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1.
History of entity/person ABHINAV THAKUR, M/S 

(Authorised Person of SHAREKHAN COMMODITIES PVT.LTD. )    
History of entity/person ABHINAV THAKUR
MCX  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

17-SEP-2013
2.
History of entity/person ABNER PHARMACEUTICALS LTD. 

(New Name : GENOMICS BIOTECH LTD.)    
SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY RS.3,50,000

03-JUL-2015
3.
History of entity/person ACE INDIA LTD. 

(Old Name : ACE INTEGRATED FINANCE LTD.)    
SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

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

03-JUL-2015
4.
History of entity/person ACTIVE DEBENTURE TRUST     
History of entity/person JAGDISH KUMAR SINGH
History of entity/person ABHINASH KUMAR JHA
SEBI  ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION  PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE

PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 25-JUN-2015 UNTIL FURTHER ORDERS

25-JUN-2015
5.
History of entity/person ACTIVE RURAL DEVELOPMENT INDIA LTD.     
History of entity/person GANESH KUMAR SINGH
History of entity/person VANDANA SAHA
History of entity/person DILIP KUMAR DIWAKAR
History of entity/person POLAKI UMASHANKAR RAO
SEBI  MOBILIZED RS.1.36 CRORES THROUGH ISSUANCE OF SECURED NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 2500 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B-C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS  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 25-JUN-2015 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-JUN-2015 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JUN-2015 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 25-JUN-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 25-JUN-2015 UNTIL FURTHER ORDERS

25-JUN-2015
6.
History of entity/person ACTIVE RURAL DEVELOPMENT INDIA LTD.     
SEBI  MOBILIZED RS.1.36 CRORES THROUGH ISSUANCE OF SECURED NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 2500 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B-C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS  DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 25-JUN-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 25-JUN-2015 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-JUN-2015 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-JUN-2015 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 25-JUN-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 25-JUN-2015 UNTIL FURTHER ORDERS

DIRECTED TO PROVIDE LIST OF INVESTORS, THEIR ADDRESS, TELEPHONE NO. AND AMOUNT COLLECTED FROM EACH INVETORS

DIRECTED TO PROVIDE ALL INFORMATION REGARDING REPAYMENT MADE INCLUDING NAME OF DEBENTURES HOLDER, ADDRESS, AMOUNT MOBILIZED, NUMBER OF NON-CONVERTIBLE REDEEMABLE SECURED DEBENTURES ISSUED, PROMISED MATURITY AMOUNT WITH DATE OF MATURITY, AMOUNT REFUNDED AND DATE THEREOF

25-JUN-2015
7.
History of entity/person ADVENT FINANCIAL ADVISORY SERVICES PVT.LTD. 

(Authorised Person of CAPITAL FIRST COMMODITIES LTD. )    
MCX  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

20-DEC-2013
8.
History of entity/person AHER TRANSLINES PVT.LTD.     
History of entity/person DIRECTORS
MCA  DEFAULT IN FILING ANNUAL RETURNS (SECTION 159)

DEFAULT IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220) 
PROSECUTION UNDER SECTION 162 & SECTION 220(3) OF COMPANIES ACT: PENALTY IMPOSED RS.3000

11-APR-2015
CONVICTED
9.
History of entity/person AJAY KUMAR R.,M/S 

(Authorised Person of SUSHIL GLOBAL COMMODITIES PVT.LTD. )    
History of entity/person AJAY KUMAR R.
MCX  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

12-APR-2014
10.
History of entity/person AKHIL JAISWAL,M/S 

(Authorised Person of RELIGARE COMMODITIES LTD. )    
History of entity/person AKHIL JAISWAL
MCX  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

07-JAN-2014
11.
History of entity/person AMAN KUMAR,M/S 

(Authorised Person of ANGEL COMMODITIES BROKING PVT.LTD. )    
History of entity/person AMAN KUMAR
MCX  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

11-APR-2015
12.
History of entity/person AMARNATH JAUHARI,M/S 

(Authorised Person of GLOBE COMMODITIES LTD. )    
History of entity/person AMARNATH JAUHARI
MCX  DECLARED DEFAULTER BY THE EXCHANGE  REGISTRATION GRANTED TO AUTHORISED PERSON WITHDRAWN BY THE EXCHANGE

12-SEP-2014
13.
History of entity/person AMEETA GURUDUTT NAYAK,M/S 

(Authorised Person of CAPITAL FIRST COMMODITIES LTD. )    
History of entity/person AMEETA GURUDUTT NAYAK
MCX  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

20-DEC-2013
14.
History of entity/person AMERICAN PAINTS (INDIA) LTD.     
SEBI  DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES) 
IMPOSED PENALTY RS.2,00,000

03-JUL-2015
15.
History of entity/person AMIR CHICKEN & EGGS LTD.     
History of entity/person DIRECTORS
MCA  DEFAULT IN FILING ANNUAL RETURNS (SECTION 159)

DEFAULT IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220) 
PROSECUTION UNDER SECTION 162 & SECTION 220(3) OF COMPANIES ACT: PENALTY IMPOSED RS.5000

11-APR-2015
CONVICTED
16.
History of entity/person AMIT DEEPAK NAGARKAR,M/S 

(Authorised Person of CAPITAL FIRST COMMODITIES LTD. )    
History of entity/person AMIT DEEPAK NAGARKAR
MCX  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

20-DEC-2013
17.
History of entity/person AMIT KUMAR SHARMA,M/S 

(Authorised Person of ANGEL COMMODITIES BROKING PVT.LTD. )    
History of entity/person AMIT KUMAR SHARMA
MCX  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

11-APR-2015
18.
History of entity/person AMIT PRAKASH KALAMKAR,M/S 

(Authorised Person of CAPITAL FIRST COMMODITIES LTD. )    
History of entity/person AMIT PRAKASH KALAMKAR
MCX  NO LONGER AFFILIATED AS AUTHORISED PERSON  CANCELLED REGISTRATION AS AUTHORISED PERSON

20-DEC-2013
19.
History of entity/person ANGEL ALLIED INDIA LTD.     
History of entity/person SANDIP PAL
SEBI  MOBILIZED RS.1.03 CRORES THROUGH ISSUANCE OF SECURED NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 334 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B-C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS  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 29-JUN-2015 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-JUN-2015 UNTIL FURTHER ORDERS

29-JUN-2015
20.
History of entity/person ANGEL ALLIED INDIA LTD.     
History of entity/person DEVID HASLAF
History of entity/person SEKH NAZIBULLA
History of entity/person SANTOSH KUMAR MISHRA
SEBI  MOBILIZED RS.1.03 CRORES THROUGH ISSUANCE OF SECURED NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 334 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B-C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS  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 29-JUN-2015 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 UNTIL FURTHER ORDERS

DIRECTED TO GIVE FULL INVENTORY OF ASSETS AND PROPERTIES

DIRECTED NOT TO DISPOSE OFF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 29-JUN-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 29-JUN-2015 UNTIL FURTHER ORDERS

29-JUN-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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