| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AMALENDU MUKHERJEE
(PAN:AMWPM2947A
DIN:03544485)
|
|
|
VARIOUS INSTANCES OF FALSIFICATION AND MISSTATEMENTS IN THE BOOKS OF ACCOUNTS OF RICOH FOR THE YEAR ENDED 31/03/2016 VIOLATING SECTION 12A(A), 12A(B) & 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF RICOH INDIA LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 12-FEB-2018 TO 11-FEB-2023
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 12-FEB-2018 TO 11-FEB-2023
DIRECTED SEBI TO APPOINT INDEPENDENT AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF RICOH FOR F.Y.2012-13 ONWARDS
IMPOSED PENALTY RS.50,00,000
12-FEB-2018
|
SAT: DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 16/08/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 12/02/2018 READ WITH ORDER DATED 06/03/2018. FURTHER, SEBI EXTENDED THE TIME FOR SUBMISSION OF FORENSIC AUDIT REPORT TO SEBI THROUGH BSE TO 30/09/2018
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED TO A) ) RESTRAINED FROM HOLDING POST OF DIRECTOR OR ANY KEY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FIVE YEARS B) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS C) IMPOSED PENALTY RS.50 U/S 15HA OF SEBI ACT.
SEBI VIDE ITS NOTICE DATED 12/08/2024 DIRECTED TO PAY RS.60,00,1000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 11/02/2025 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 2 |
|
|
ANIL SAINI
(PAN:AOZPS8143K)
|
|
|
VARIOUS INSTANCES OF FALSIFICATION AND MISSTATEMENTS IN THE BOOKS OF ACCOUNTS OF RICOH FOR THE YEAR ENDED 31/03/2016 VIOLATING SECTION 12A(A), 12A(B) & 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF RICOH INDIA LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 12-FEB-2018 TO 11-FEB-2023
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 12-FEB-2018 TO 11-FEB-2023
DIRECTED SEBI TO APPOINT INDEPENDENT AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF RICOH FOR F.Y.2012-13 ONWARDS
IMPOSED PENALTY RS.10,00,000
12-FEB-2018
|
SEBI VIDE ITS ORDER DATED 16/08/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 12/02/2018 READ WITH ORDER DATED 06/03/2018. FURTHER, SEBI EXTENDED THE TIME FOR SUBMISSION OF FORENSIC AUDIT REPORT TO SEBI THROUGH BSE TO 30/09/2018
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED TO A) RESTRAINED FROM HOLDING POST OF DIRECTOR OR ANY KEY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FIVE YEARS B) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS C) IMPOSED PENALTY RS.10 U/S 15HA OF SEBI ACT.
SAT: SAT VIDE ITS ORDER DATED 25/04/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 26/06/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 03/10/2023 CONDONED THE DELAY IN FILING OF REPLY
SAT: SAT VIDE ITS ORDER DATED 28/11/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER WERE TAKEN ON RECORD
SAT: SAT VIDE ITS ORDER DATED 07/10/2024 DISMISSED THE APPEAL AS WITHDRAWN
SEBI VIDE ITS NOTICE DATED 21/10/2024 DIRECTED TO PAY RS.12,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 30/10/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8216 OF 2024 DATED 21/10/2024
|
| 3 |
|
|
ARATTU THARKKAL RAJAN
(PAN:ADIPR6654G
DIN:07487969)
|
|
|
VARIOUS INSTANCES OF FALSIFICATION AND MISSTATEMENTS IN THE BOOKS OF ACCOUNTS OF RICOH FOR THE YEAR ENDED 31/03/2016 VIOLATING SECTION 12A(A), 12A(B) & 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF RICOH INDIA LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 30-JAN-2023 TO 29-JAN-2026
DIRECTED SEBI TO APPOINT INDEPENDENT AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF RICOH FOR F.Y.2012-13 ONWARDS
IMPOSED PENALTY RS.10,00,000
12-FEB-2018
|
SEBI VIDE ITS ORDER DATED 16/08/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 12/02/2018 READ WITH ORDER DATED 06/03/2018. FURTHER, SEBI EXTENDED THE TIME FOR SUBMISSION OF FORENSIC AUDIT REPORT TO SEBI THROUGH BSE TO 30/09/2018
SAT: SAT VIDE ITS ORDER DATED 29/01/2020 QUASHED IMPUGNED ORDER DATED 12/02/2018. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 DIRECTED RESPONDENT TO FILE OPINION OF THE RESPONDENT DATED 19/10/2020 IN THE SEALED COVER DURING COURSE OF THE DAY
SAT: SAT VIDE ITS ORDER DATED 30/08/2021 DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) IMPOSED PENALTY RS.50 LAC U/S 15HA OF SEBI ACT. AND RS.10 LAC U/S 15HA OF SEBI ACT.
SAT: SAT VIDE ITS ORDER DATED 19/04/2023 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS. DIRECTED APPELLANT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF THE AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 26/06/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 10/08/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/10/2023 CONDONED THE DELAY IN FILING OF REPLY
SAT: SAT VIDE ITS ORDER DATED 28/11/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER WERE TAKEN ON RECORD
|
| 4 |
|
|
ARVIND SINGHAL
(PAN:AOAPS9993J)
|
|
|
VARIOUS INSTANCES OF FALSIFICATION AND MISSTATEMENTS IN THE BOOKS OF ACCOUNTS OF RICOH FOR THE YEAR ENDED 31/03/2016 VIOLATING SECTION 12A(A), 12A(B) & 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF RICOH INDIA LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 12-FEB-2018 TO 11-FEB-2023
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 12-FEB-2018 TO 11-FEB-2023
DIRECTED SEBI TO APPOINT INDEPENDENT AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF RICOH FOR F.Y.2012-13 ONWARDS
IMPOSED PENALTY RS.15,00,000
12-FEB-2018
|
SEBI VIDE ITS ORDER DATED 16/08/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 12/02/2018 READ WITH ORDER DATED 06/03/2018. FURTHER, SEBI EXTENDED THE TIME FOR SUBMISSION OF FORENSIC AUDIT REPORT TO SEBI THROUGH BSE TO 30/09/2018
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED TO A) RESTRAINED FROM HOLDING POST OF DIRECTOR OR ANY KEY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FIVE YEARS B) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS C) IMPOSED PENALTY RS.10 U/S 15HA OF SEBI ACT. AND RS.5 LAC U/S 23H OF SCRA
SAT: SAT VIDE ITS ORDER DATED 25/04/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 26/06/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 03/10/2023 CONDONED THE DELAY IN FILING OF REPLY
SAT: SAT VIDE ITS ORDER DATED 28/11/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER WERE TAKEN ON RECORD
SEBI VIDE ITS NOTICE DATED 29/08/2024 DIRECTED TO PAY RS.18,0,1000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 17/09/2024 ALLOWED MISC.APPLICATION AND STAYED RECOVERY PROCEEDING SUBJECT TO DEPOSIT OF ENTIRE PENALTY AMOUNT WITHIN ONE WEEK FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 07/10/2024 DISMISSED THE APPEAL AS WITHDRAWN
SEBI VIDE ITS ORDER DATED 17/10/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7949 OF 2024 DATED 29/08/2024
|
| 5 |
|
|
BIBEK CHOWDHURY
|
|
|
VARIOUS INSTANCES OF FALSIFICATION AND MISSTATEMENTS IN THE BOOKS OF ACCOUNTS OF RICOH FOR THE YEAR ENDED 31/03/2016 VIOLATING SECTION 12A(A), 12A(B) & 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF RICOH INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-FEB-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-FEB-2018 TILL FURTHER ORDERS
DIRECTED SEBI TO APPOINT INDEPENDENT AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF RICOH FOR F.Y.2012-13 ONWARDS
12-FEB-2018
|
SEBI VIDE ITS ORDER DATED 16/08/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 12/02/2018 READ WITH ORDER DATED 06/03/2018. FURTHER, SEBI EXTENDED THE TIME FOR SUBMISSION OF FORENSIC AUDIT REPORT TO SEBI THROUGH BSE TO 30/09/2018
SEBI VIDE ITS ORDER DATED 16/03/2020 REVOKED ITS DIRECTIONS OF REVOKED/RESTRAINT ISSUED VIDE ITS INTERIM ORDER DATED 12/02/2018 AND CONFIRMATORY ORDER DATED 16/08/2018
|
| 6 |
|
|
MANOJ KUMAR
(PAN:AAAPK0467B
DIN:07112670)
|
|
|
VARIOUS INSTANCES OF FALSIFICATION AND MISSTATEMENTS IN THE BOOKS OF ACCOUNTS OF RICOH FOR THE YEAR ENDED 31/03/2016 VIOLATING SECTION 12A(A), 12A(B) & 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF RICOH INDIA LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 12-FEB-2018 TO 11-FEB-2023
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 12-FEB-2018 TO 11-FEB-2023
DIRECTED SEBI TO APPOINT INDEPENDENT AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF RICOH FOR F.Y.2012-13 ONWARDS
IMPOSED PENALTY RS.15,00,000
12-FEB-2018
|
SEBI VIDE ITS ORDER DATED 16/08/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 12/02/2018 READ WITH ORDER DATED 06/03/2018. FURTHER, SEBI EXTENDED THE TIME FOR SUBMISSION OF FORENSIC AUDIT REPORT TO SEBI THROUGH BSE TO 30/09/2018
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED TO A) RESTRAINED FROM HOLDING POST OF DIRECTOR OR ANY KEY MANAGERIAL POSITION OR ASSOCIATING THEMSELVES IN ANY CAPACITY WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FOR FIVE YEARS B) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR FIVE YEARS C) IMPOSED PENALTY RS.10 U/S 15HA OF SEBI ACT. AND RS.5 LAC U/S 23H OF SCRA
SAT: SAT VIDE ITS ORDER DATED 25/04/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 26/06/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 03/10/2023 CONDONED THE DELAY IN FILING OF REPLY
SAT: SAT VIDE ITS ORDER DATED 28/11/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER WERE TAKEN ON RECORD
SEBI VIDE ITS NOTICE DATED 04/10/2024 DIRECTED TO PAY RS.18,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 07/10/2024 DISMISSED THE APPEAL AS WITHDRAWN
SEBI VIDE ITS ORDER DATED 17/10/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8137 OF 2024 DATED 07/10/2024
|
| 7 |
|
|
T.TAKANO
(PAN:ANTPT5139K
DIN:03491442)
|
|
|
VARIOUS INSTANCES OF FALSIFICATION AND MISSTATEMENTS IN THE BOOKS OF ACCOUNTS OF RICOH FOR THE YEAR ENDED 31/03/2016 VIOLATING SECTION 12A(A), 12A(B) & 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C), 3(D), 4(1), 4(2)(E), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF RICOH INDIA LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 30-JAN-2023 TO 29-JAN-2026
DIRECTED SEBI TO APPOINT INDEPENDENT AUDIT FIRM TO CONDUCT DETAILED FORENSIC AUDIT OF BOOKS OF ACCOUNTS OF RICOH FOR F.Y.2012-13 ONWARDS
IMPOSED PENALTY RS.60,00,000
12-FEB-2018
|
SEBI VIDE ITS ORDER DATED 16/08/2018 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM EX-PARTE ORDER DATED 12/02/2018 READ WITH ORDER DATED 06/03/2018. FURTHER, SEBI EXTENDED THE TIME FOR SUBMISSION OF FORENSIC AUDIT REPORT TO SEBI THROUGH BSE TO 30/09/2018
SAT: SAT VIDE ITS ORDER DATED 29/01/2020 QUASHED IMPUGNED ORDER DATED 12/02/2018. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 DIRECTED RESPONDENT TO FILE OPINION OF THE RESPONDENT DATED 19/10/2020 IN THE SEALED COVER DURING COURSE OF THE DAY
SAT: SAT VIDE ITS ORDER DATED 30/08/2021 DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 30/01/2023 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF THREE YEARS FROM DATE OF THIS ORDER B) IMPOSED PENALTY RS.50 LAC U/S 15HA OF SEBI ACT. AND RS.50 LAC U/S 15HA OF SEBI ACT. AND RS.10 U/S 23H OF SCRA
SAT: SAT VIDE ITS ORDER DATED 19/04/2023 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS. DIRECTED APPELLANT TO DEPOSIT 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF THE AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 26/06/2023 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 10/08/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 03/10/2023 CONDONED THE DELAY IN FILING OF REPLY
SAT: SAT VIDE ITS ORDER DATED 28/11/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY AND REJOINDER WERE TAKEN ON RECORD
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
