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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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16-APR-2024
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HIRA AUTOMOBILES LTD.
(PAN:AAACH4691M)
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SEBI
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DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT WITHIN STIPULATED TIME VIOLATING RULE 19A OF SEBI SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DID NOT SUBMIT QUARTERLY COMPLIANCE REPORTS WITH STOCK
EXCHANGES VIOLATING RULE 19A OF SEBI SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
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IMPOSED PENALTY RS.14,00,000
16-APR-2024
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2
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16-APR-2024
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N.D.SHARES & SECURITIES
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RAJ KUMAR AGARWAL
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BSE
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RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
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CANCELLED STOCK BROKER MEMBERSHIP
16-APR-2024
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3
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16-APR-2024
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R J BIO-TECH LTD.
(CIN:L24234MH2005PLC158420)
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BSE
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LIQUIDATION PROCESS COMMENCED AND OFFICIAL LIQUIDATOR APPOINTED
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SUSPENDED FROM TRADING FROM 18-APR-2024
16-APR-2024
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4
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16-APR-2024
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R.K.SINGH & CO.
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RAJ KUMAR SINGH
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BSE
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RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
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CANCELLED STOCK BROKER MEMBERSHIP
16-APR-2024
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5
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16-APR-2024
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RAJ KUMAR AGARWAL
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N.D.SHARES & SECURITIES
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BSE
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RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
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CANCELLED STOCK BROKER MEMBERSHIP
16-APR-2024
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6
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16-APR-2024
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RAJ KUMAR SINGH
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R.K.SINGH & CO.
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BSE
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RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
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CANCELLED STOCK BROKER MEMBERSHIP
16-APR-2024
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7
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16-APR-2024
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SEVEN SALTS FINANCIAL SERVICES PVT.LTD.
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BSE
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RESIGNED AND/OR SURRENDERED MEMBERSHIP CARD TO STOCK EXCHANGE
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CANCELLED STOCK BROKER MEMBERSHIP
16-APR-2024
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8
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16-APR-2024
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STAR FINVEST PVT.LTD.
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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
16-APR-2024
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NSE VIDE ITS CIRCULAR DATED 16/04/2024 INFORMED THAT THE SURRENDER OF MEMBERSHIP HAS BEEN APPROVED BY SEBI
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9
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15-APR-2024
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NATIONAL URBAN CO-OPERATIVE BANK LTD.
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RBI
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DID NOT ADHERE TO PROVISIONS OF RBI ACT, 1949
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RESTRAINED FROM GRANTING OR RENEWING ANY LOAN /ADVANCES, MAKE ANY INVESTMENT, INCUR ANY LIABILITIES INCLUDING BORROWAL OF FUNDS AND ACCEPTANCE OF FRESH DEPOSITS, DISBURSE OR AGREE TO DISBURSE ANY PAYMENT WHETHER IN DISCHARGE OF ITS LIABILITIES AND OBLIGATIONS OR OTHERWISE, ENTER INTO ANY COMPROMISE OR ARRANGEMENT AND SELL, TRANSFER OR OTHERWISE DISPOSE OF ANY OF ITS PROPERTIES OR ASSETS FROM 15-APR-2024 TO 14-OCT-2024
15-APR-2024
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10
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15-APR-2024
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PANCHKULA URBAN CO-OPERATIVE BANK LTD.,THE
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RBI
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DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES OF RBI ON PRUDENTIAL INTER-BANK (GROSS) EXPOSURE LIMITS AND/OR INTER-BANK COUNTER PARTY EXPOSURE LIMITS
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IMPOSED PENALTY RS.3,00,000
15-APR-2024
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11
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15-APR-2024
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SARVODAYA CO-OPERATIVE BANK LTD.
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RBI
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DID NOT ADHERE TO PROVISIONS OF RBI ACT, 1949
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RESTRAINED FROM GRANTING OR RENEWING ANY LOAN /ADVANCES, MAKE ANY INVESTMENT, INCUR ANY LIABILITIES INCLUDING BORROWAL OF FUNDS AND ACCEPTANCE OF FRESH DEPOSITS, DISBURSE OR AGREE TO DISBURSE ANY PAYMENT WHETHER IN DISCHARGE OF ITS LIABILITIES AND OBLIGATIONS OR OTHERWISE, ENTER INTO ANY COMPROMISE OR ARRANGEMENT AND SELL, TRANSFER OR OTHERWISE DISPOSE OF ANY OF ITS PROPERTIES OR ASSETS FROM 15-APR-2024 TO 14-OCT-2024
15-APR-2024
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12
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12-APR-2024
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MNM COMTRADE PVT.LTD.
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MCX
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RESIGNED AND/OR SURRENDERED TRADING-CUM CLEARING MEMBERSHIP
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CANCELLED REGISTRATION AS TRADING MEMBERSHIP
12-APR-2024
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13
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12-APR-2024
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MULTIGAIN COMMODITIES SERVICES PVT.LTD.
(PAN:AAFCM5548K)
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MCX
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RESIGNED AND/OR SURRENDERED TRADING-CUM CLEARING MEMBERSHIP
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CANCELLED REGISTRATION AS TRADING MEMBERSHIP
12-APR-2024
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14
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12-APR-2024
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TRADE WINDS COMMODITIES & DERIVATIVES PVT.LTD.
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MCX
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RESIGNED AND/OR SURRENDERED TRADING-CUM CLEARING MEMBERSHIP
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CANCELLED REGISTRATION AS TRADING MEMBERSHIP
12-APR-2024
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15
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10-APR-2024
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AKSHITA HARISH AGRAWAL
(PAN:BDEPA7767C)
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PRABHU STEEL INDUSTRIES LTD.
(PAN:AABCP0025E)
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SEBI
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ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II AND REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 21 AND 24 OF SEBI SCRA, 1956 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
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IMPOSED PENALTY RS.3,00,000
10-APR-2024
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16
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10-APR-2024
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DINESH GANGARAM AGRAWAL
(PAN:ABLPA5717E)
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PRABHU STEEL INDUSTRIES LTD.
(PAN:AABCP0025E)
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SEBI
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MISPRESENTED FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(G), 4(1)(H), 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(1), 4(2)(F)(III)(3), 4(2)(F)(III)(6), 4(2)(F)(III)(12) AND 33(1)(A)(C) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 21 AND 24 OF SCRA, 1956 AND SECTION 27 OF SEBI ACT, 1992 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS VIOLATING REGULATION 34(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II AND REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 21 AND 24 OF SEBI SCRA, 1956 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
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IMPOSED PENALTY RS.3,00,000
10-APR-2024
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17
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10-APR-2024
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HARISH GANGARAM AGARWAL
(PAN:ABUPA3505F)
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PRABHU STEEL INDUSTRIES LTD.
(PAN:AABCP0025E)
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SEBI
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MISPRESENTED FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(G), 4(1)(H), 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(1), 4(2)(F)(III)(3), 4(2)(F)(III)(6), 4(2)(F)(III)(12) AND 33(1)(A)(C) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 21 AND 24 OF SCRA, 1956 AND SECTION 27 OF SEBI ACT, 1992 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS VIOLATING REGULATION 34(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
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IMPOSED PENALTY RS.3,00,000
10-APR-2024
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18
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10-APR-2024
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PRABHU STEEL INDUSTRIES LTD.
(PAN:AABCP0025E)
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DINESH GANGARAM AGRAWAL
(PAN:ABLPA5717E)
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SEBI
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MISPRESENTED FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(G), 4(1)(H), 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(1), 4(2)(F)(III)(3), 4(2)(F)(III)(6), 4(2)(F)(III)(12) AND 33(1)(A)(C) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 21 AND 24 OF SCRA, 1956 AND SECTION 27 OF SEBI ACT, 1992 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS VIOLATING REGULATION 34(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II AND REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 21 AND 24 OF SEBI SCRA, 1956 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
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IMPOSED PENALTY
10-APR-2024
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19
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10-APR-2024
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|
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PRABHU STEEL INDUSTRIES LTD.
(PAN:AABCP0025E)
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HARISH GANGARAM AGARWAL
(PAN:ABUPA3505F)
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SEBI
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MISPRESENTED FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(G), 4(1)(H), 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(1), 4(2)(F)(III)(3), 4(2)(F)(III)(6), 4(2)(F)(III)(12) AND 33(1)(A)(C) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 21 AND 24 OF SCRA, 1956 AND SECTION 27 OF SEBI ACT, 1992 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS VIOLATING REGULATION 34(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PRABHU STEEL INDUSTRIES LTD.
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IMPOSED PENALTY
10-APR-2024
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20
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10-APR-2024
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PRABHU STEEL INDUSTRIES LTD.
(PAN:AABCP0025E)
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SEBI
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DID NOT ADHERE TO PREPARATION OF FINANCIAL STATEMENTS AS PER ACCOUNTING STANDARD VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(G), 4(1)(H), 33(1)(C), 48 AND 34(3) READ WITH PART B OF SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 21 OF SCRA, 1956
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IMPOSED PENALTY RS.3,00,000
10-APR-2024
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