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S. No.
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DATE OF ORDER
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PERSON
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ENTITY
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COMPETENT AUTHORITY
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REGULATORY CHARGES
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REGULATORY ACTION(S) / DATE OF ORDER
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FURTHER DEVELOPMENTS
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1
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26-APR-2024
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AFFINITY SECURITIES PVT.LTD.
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|
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NSE
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RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
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CANCELLED REGISTRATION AS STOCK BROKER FROM 10-APR-2024
26-APR-2024
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NSE VIDE ITS CIRCULAR DATED 26/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
|
2
|
26-APR-2024
|
ATISH SHAH
(PAN:AAKHV6605C)
|
|
SEBI
|
ALLEGED ACTED AS AN INFORMATION CARRIER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
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REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
26-APR-2024
|
|
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3
|
26-APR-2024
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ATISH SHAH
(PAN:AAKHV6605C)
|
|
SEBI
|
ALLEGED ACTED AS AN INFORMATION CARRIER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
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REACHED SETTLEMENT (SETTLEMENT CHARGES RS.62,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET)
26-APR-2024
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|
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4
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26-APR-2024
|
|
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B.LODHA SECURITIES LTD.
(PAN:AAACB7538F)
|
|
|
BSE
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RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
|
CANCELLED STOCK BROKER MEMBERSHIP
26-APR-2024
|
BSE VIDE ITS NOTICE DATED 26/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
|
|
5
|
26-APR-2024
|
BHAVIN PANKAJ DOSHI
(PAN:AFQPD4025D)
|
|
SEBI
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.62,40,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET)
26-APR-2024
|
|
|
6
|
26-APR-2024
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BHAVIN PANKAJ DOSHI
(PAN:AFQPD4025D)
|
|
SEBI
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
26-APR-2024
|
|
|
7
|
26-APR-2024
|
|
|
DHIRAJ & DHEERAJ
(M.No.:
102454W)
|
|
|
|
PIYUSH PATNI
(M.No.:
143869)
|
|
NFRA
|
ACCEPTED AUDIT ENGAGEMENT BEFORE COMMUNICATION WITH PRICE WATERHOUSE & CO.CHARTERED ACCOUNTS LLP AND WITHOUT WAITING FOR A REASONABLE TIME TO RESPOND TO THE COMMUNICATION
DID NOT OBTAIN SUFFICIENT APPROPRIATE AUDIT EVIDENCE TO SUPPORT THE MATTERS REPORTED BY PRICE WATERHOUSE & CO. CHARTERED ACCOUNTS LLP TO THE GOVERNMENT
DID NOT OBTAIN SUFFICIENT APPROPRIATE AUDIT EVIDENCE REGARDING ENTITY’S ABILITY TO CONTINUE AS GOING CONCERN
DID NOT NOTICE DEFICIENCIES IN THE INTERNAL CONTROLS OVER EXPECTED CREDIT LOSS (ECL) ON THE LOANS ETC.FINANCIAL ASSETS
DID NOT CARRY OUT ADEQUATE AUDIT PROCEDURES
DID NOT PERFORM ROLE OF ENGAGEMENT QUALITY CONTROL REVIEW (EQCR) OBJECTIVELY
|
IMPOSED PENALTY
DEBARRED FROM BEING APPOINTED AS AUDITOR OR INTERNAL AUDITOR OR UNDERTAKING ANY AUDIT IN RESPECT OF FINANCIAL STATEMENTS OR INTERNAL AUDIT OF FUNCTIONS AND ACTIVITIES OF ANY COMPANY OR BODY CORPORATE FROM 26-05-2024 TO 25-05-2029
26-APR-2024
|
|
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8
|
26-APR-2024
|
|
|
DHIRAJ & DHEERAJ
(M.No.:
102454W)
|
|
|
NFRA
|
ACCEPTED AUDIT ENGAGEMENT BEFORE COMMUNICATION WITH PRICE WATERHOUSE & CO.CHARTERED ACCOUNTS LLP AND WITHOUT WAITING FOR A REASONABLE TIME TO RESPOND TO THE COMMUNICATION
DID NOT OBTAIN SUFFICIENT APPROPRIATE AUDIT EVIDENCE TO SUPPORT THE MATTERS REPORTED BY PRICE WATERHOUSE & CO. CHARTERED ACCOUNTS LLP TO THE GOVERNMENT
DID NOT OBTAIN SUFFICIENT APPROPRIATE AUDIT EVIDENCE REGARDING ENTITY’S ABILITY TO CONTINUE AS GOING CONCERN
DID NOT NOTICE DEFICIENCIES IN THE INTERNAL CONTROLS OVER EXPECTED CREDIT LOSS (ECL) ON THE LOANS ETC.FINANCIAL ASSETS
DID NOT CARRY OUT ADEQUATE AUDIT PROCEDURES
DID NOT PERFORM ROLE OF ENGAGEMENT QUALITY CONTROL REVIEW (EQCR) OBJECTIVELY
|
IMPOSED PENALTY RS.1,00,00,000
26-APR-2024
|
|
|
9
|
26-APR-2024
|
|
|
DHIRAJ & DHEERAJ
(M.No.:
102454W)
|
|
|
|
PAWAN KUMAR GUPTA
(M.No.:
051713)
|
|
NFRA
|
ACCEPTED AUDIT ENGAGEMENT BEFORE COMMUNICATION WITH PRICE WATERHOUSE & CO.CHARTERED ACCOUNTS LLP AND WITHOUT WAITING FOR A REASONABLE TIME TO RESPOND TO THE COMMUNICATION
DID NOT OBTAIN SUFFICIENT APPROPRIATE AUDIT EVIDENCE TO SUPPORT THE MATTERS REPORTED BY PRICE WATERHOUSE & CO. CHARTERED ACCOUNTS LLP TO THE GOVERNMENT
DID NOT OBTAIN SUFFICIENT APPROPRIATE AUDIT EVIDENCE REGARDING ENTITY’S ABILITY TO CONTINUE AS GOING CONCERN
DID NOT NOTICE DEFICIENCIES IN THE INTERNAL CONTROLS OVER EXPECTED CREDIT LOSS (ECL) ON THE LOANS ETC.FINANCIAL ASSETS
DID NOT CARRY OUT ADEQUATE AUDIT PROCEDURES
DID NOT PERFORM ROLE OF ENGAGEMENT QUALITY CONTROL REVIEW (EQCR) OBJECTIVELY
|
IMPOSED PENALTY
DEBARRED FROM BEING APPOINTED AS AUDITOR OR INTERNAL AUDITOR OR UNDERTAKING ANY AUDIT IN RESPECT OF FINANCIAL STATEMENTS OR INTERNAL AUDIT OF FUNCTIONS AND ACTIVITIES OF ANY COMPANY OR BODY CORPORATE FROM 26-05-2024 TO 25-05-2027
26-APR-2024
|
|
|
10
|
26-APR-2024
|
GOPALA KRISHNA KANDULA
(M.No.:
203605)
(M.No.:
203605)
|
|
|
PCN & ASSOCIATES
(M.No.:
016016S)
|
|
NFRA
|
DID NOT SUBMIT REQUISITE INFORMATION AND DID NOT CO-OPERATE WITH NFRA
|
IMPOSED PENALTY RS.30,00,000
DEBARRED FROM BEING APPOINTED AS AUDITOR OR INTERNAL AUDITOR OR UNDERTAKING ANY AUDIT IN RESPECT OF FINANCIAL STATEMENTS OR INTERNAL AUDIT OF FUNCTIONS AND ACTIVITIES OF ANY COMPANY OR BODY CORPORATE FROM 26-05-2024 TO 25-05-2034
26-APR-2024
|
|
|
11
|
26-APR-2024
|
|
|
MAXGROW FINTRADE PVT.LTD.
(PAN:AAJCM8974D)
|
|
|
SEBI
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
26-APR-2024
|
|
|
12
|
26-APR-2024
|
|
|
MAXGROW FINTRADE PVT.LTD.
(PAN:AAJCM8974D)
|
|
|
SEBI
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.96,08,486 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET)
26-APR-2024
|
|
|
13
|
26-APR-2024
|
NITESH KUMAR JAIN
(PAN:AFOPJ2850C)
|
|
SEBI
|
ALLEGED ACTED AS A TIPPER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
26-APR-2024
|
|
|
14
|
26-APR-2024
|
NITESH KUMAR JAIN
(PAN:AFOPJ2850C)
|
|
SEBI
|
ALLEGED ACTED AS A TIPPER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.68,90,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET)
26-APR-2024
|
|
|
15
|
26-APR-2024
|
PAWAN KUMAR GUPTA
(M.No.:
051713)
(M.No.:
051713)
|
|
|
DHIRAJ & DHEERAJ
(M.No.:
102454W)
|
|
NFRA
|
ACCEPTED AUDIT ENGAGEMENT BEFORE COMMUNICATION WITH PRICE WATERHOUSE & CO.CHARTERED ACCOUNTS LLP AND WITHOUT WAITING FOR A REASONABLE TIME TO RESPOND TO THE COMMUNICATION
DID NOT OBTAIN SUFFICIENT APPROPRIATE AUDIT EVIDENCE TO SUPPORT THE MATTERS REPORTED BY PRICE WATERHOUSE & CO. CHARTERED ACCOUNTS LLP TO THE GOVERNMENT
DID NOT OBTAIN SUFFICIENT APPROPRIATE AUDIT EVIDENCE REGARDING ENTITY’S ABILITY TO CONTINUE AS GOING CONCERN
DID NOT NOTICE DEFICIENCIES IN THE INTERNAL CONTROLS OVER EXPECTED CREDIT LOSS (ECL) ON THE LOANS ETC.FINANCIAL ASSETS
DID NOT CARRY OUT ADEQUATE AUDIT PROCEDURES
DID NOT PERFORM ROLE OF ENGAGEMENT QUALITY CONTROL REVIEW (EQCR) OBJECTIVELY
|
IMPOSED PENALTY RS.10,00,000
DEBARRED FROM BEING APPOINTED AS AUDITOR OR INTERNAL AUDITOR OR UNDERTAKING ANY AUDIT IN RESPECT OF FINANCIAL STATEMENTS OR INTERNAL AUDIT OF FUNCTIONS AND ACTIVITIES OF ANY COMPANY OR BODY CORPORATE FROM 26-05-2024 TO 25-05-2027
26-APR-2024
|
|
|
16
|
26-APR-2024
|
|
|
PCN & ASSOCIATES
(M.No.:
016016S)
|
|
|
NFRA
|
DID NOT SUBMIT REQUISITE INFORMATION AND DID NOT CO-OPERATE WITH NFRA
|
IMPOSED PENALTY RS.50,00,000
DEBARRED FROM BEING APPOINTED AS AUDITOR OR INTERNAL AUDITOR OR UNDERTAKING ANY AUDIT IN RESPECT OF FINANCIAL STATEMENTS OR INTERNAL AUDIT OF FUNCTIONS AND ACTIVITIES OF ANY COMPANY OR BODY CORPORATE FROM 26-05-2024 TO 25-05-2026
26-APR-2024
|
|
|
17
|
26-APR-2024
|
|
|
PCN & ASSOCIATES
(M.No.:
016016S)
|
|
|
|
GOPALA KRISHNA KANDULA
(M.No.:
203605)
|
|
NFRA
|
DID NOT SUBMIT REQUISITE INFORMATION AND DID NOT CO-OPERATE WITH NFRA
|
IMPOSED PENALTY
DEBARRED FROM BEING APPOINTED AS AUDITOR OR INTERNAL AUDITOR OR UNDERTAKING ANY AUDIT IN RESPECT OF FINANCIAL STATEMENTS OR INTERNAL AUDIT OF FUNCTIONS AND ACTIVITIES OF ANY COMPANY OR BODY CORPORATE FROM 26-05-2024 TO 25-05-2034
26-APR-2024
|
|
|
18
|
26-APR-2024
|
PIYUSH PATNI
(M.No.:
143869)
(M.No.:
143869)
|
|
|
DHIRAJ & DHEERAJ
(M.No.:
102454W)
|
|
NFRA
|
ACCEPTED AUDIT ENGAGEMENT BEFORE COMMUNICATION WITH PRICE WATERHOUSE & CO.CHARTERED ACCOUNTS LLP AND WITHOUT WAITING FOR A REASONABLE TIME TO RESPOND TO THE COMMUNICATION
DID NOT OBTAIN SUFFICIENT APPROPRIATE AUDIT EVIDENCE TO SUPPORT THE MATTERS REPORTED BY PRICE WATERHOUSE & CO. CHARTERED ACCOUNTS LLP TO THE GOVERNMENT
DID NOT OBTAIN SUFFICIENT APPROPRIATE AUDIT EVIDENCE REGARDING ENTITY’S ABILITY TO CONTINUE AS GOING CONCERN
DID NOT NOTICE DEFICIENCIES IN THE INTERNAL CONTROLS OVER EXPECTED CREDIT LOSS (ECL) ON THE LOANS ETC.FINANCIAL ASSETS
DID NOT CARRY OUT ADEQUATE AUDIT PROCEDURES
DID NOT PERFORM ROLE OF ENGAGEMENT QUALITY CONTROL REVIEW (EQCR) OBJECTIVELY
|
IMPOSED PENALTY RS.50,00,000
DEBARRED FROM BEING APPOINTED AS AUDITOR OR INTERNAL AUDITOR OR UNDERTAKING ANY AUDIT IN RESPECT OF FINANCIAL STATEMENTS OR INTERNAL AUDIT OF FUNCTIONS AND ACTIVITIES OF ANY COMPANY OR BODY CORPORATE FROM 26-05-2024 TO 25-05-2029
26-APR-2024
|
|
|
19
|
25-APR-2024
|
|
|
ASIAN HOTELS (NORTH) LTD.
(PAN:AAACA0125H)
|
|
|
SEBI
|
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES RELATED TO SIGNING OF INTER-CREDIT AGREEMENT VIOLATING REGULATION 30(7) READ WITH 4(1)(D), (E) AND (H) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.6,00,000
25-APR-2024
|
|
|
20
|
25-APR-2024
|
|
|
BRIGHTCOM GROUP LTD.
(PAN:AAACL5827B)
|
|
|
MSEI
|
TRANSFERRED TRADING IN SECURITIES OF THE COMPANY TO BZ SERIES ON PRIMARY STOCK EXCHANGE
|
SECURITIES SHIFTED TO BZ SERIES
25-APR-2024
|
|
|
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