| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
63 MOONS TECHNOLOGIES LTD.
(PAN:AAACF5737C)
|
|
|
DID NOT TAKE PRIOR APPROVAL FROM STOCK EXCHANGES BEFORE OBTAINING CERTIFICATE OF EFFECTING CHANGES IN ITS NAME VIOLATING REGULATION 45(3) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
26-DEC-2017
|
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| 2 |
|
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A.B.T.INVESTMENTS LTD.
(PAN:AADCA6350P)
|
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DID NOT SUBMIT COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATION 7(3) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DID NOT INFORM STOCK EXCHANGES INFORMATION OR ANY ACTION THAT AFFECT PAYMENT OF INTEREST OR REDEMPTION OF NCDS VIOLATING REGULATION 51 OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF HALF YEARLY FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF HALF YEARLY RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
DID NOT PROVIDE HARD COPY OF ANNUAL REPORTS TO NCDS HOLDERS VIOLATING REGULATION 58 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAINTAIN FUNCTIONAL WEBSITE CONTAINING DETAILS OF FINANCIAL INFORMATION, HANDLING OF INVESTOR GRIEVANCES, DEBENTURE TRUSTEE, REPORTS, NOTICES AND CALL LETTERS ETC.VIOLATING REGULATION 62 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,00,000
29-JUL-2021
|
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| 3 |
|
|
ACHAL INVESTMENTS LTD.
(PAN:AADCA6696C)
|
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INDULGED IN MIS-UTILIZATION AND DIVERSION OF PROCEEDS OF PREFERENTIAL ISSUE OF EQUITY SHARES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE QUARTERLY DISCLOSURE REGARDING UTILIZATION OF PROCEEDS OF PREFERENTIAL ISSUE OF EQUITY SHARES VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLASUE 43 OF ERSTWHILE LISTING AGREEMENT READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-SEP-2021
DIRECTED TO BRING BACK OF RS.1.38 CRORE
IMPOSED PENALTY RS.20,00,000
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
02-SEP-2021
|
SEBI VIDE ITS NOTICE DATED 10/05/2022 DIRECTED TO PAY RS.21,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 11/10/2022 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
SEBI VIDE ITS ORDER DATED 22/11/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF ACHAL INVESTMENTS LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 4 |
|
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ACIL COTTON INDUSTRIES LTD.
(PAN:AABCA7788F)
|
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MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(D), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING REGULATION 4(1)(B), (C), (G), (J), 33(1)(D), 33(3)(D), (E), 34(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING CLAUSE 41(I)(D)(IV), AND (V) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.11,00,000
21-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 26/10/2023 DIRECTED TO PAY RS.12,44,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/04/2025 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
|
| 5 |
|
|
AD ADVERTISING PVT.LTD.
(PAN:AAJCA3551C)
|
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INDULGED IN DIVERSION OF FUNDS OF RS.2315.09 CRORES (APPROX.) FROM RELIGARE FINVEST LTD. TO PROMOTERS AND THEIR RELATED ENTITIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1), 4(2)(F) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
DID NOT MAKE DISCLOSURE OF FUNDS ROUTED BY RELIGARE FINVEST LTD. THROUGH UNRELATED ENTITIES TO PROMOTERS AND PROMOTERS GROUP ENTITIES VIOLATING CLAUSE 32 OF LISTING AGREEMENT IN MATTER OF RELIGARE ENTERPRISES LTD.
MISREPRESENTATED FINANCIAL POSITION BY ROLLING OVER THE LOANS VIOLATING REGULATIONS 4(1)(B), (C), 30(1) AND 51(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
DIRECTED NOT TO DIVERT ANY FUNDS EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI
14-MAR-2019
|
SEBI VIDE ITS ORDER DATED 11/09/2019 DIRECTED NOT TO DISPOSED OFF OR ALIENATE ANY OF THEIR ASSETS OR DIVERT ANY FUNDS, EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI TILL COMPLETION OF INVESTIGATION AND FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 12/11/2020 REVOKED ITS DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 14/03/2019 READ WITH CORRIGENDUM ORDER DATED 18/04/2019
|
| 6 |
|
|
ADD-SHOP E-RETAIL LTD.
(PAN:AAMCA0240P)
|
|
|
|
DEV PANDYA
(PAN:CALPP1419F)
|
|
|
DEVIBEN PANDYA
(PAN:CALPP1418E)
|
|
|
DINESHBHAI PANDYA
(PAN:AMKPP2718A)
|
|
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JAYSHREE PANDYA
(PAN:AVXPP0592L)
|
|
|
JIGAR PANDYA
(PAN:DCQPP7277D)
|
|
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO LTD.
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(E), 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6) 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(7), 18(2), 23(2), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO 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 06-MAY-2024 TILL FURTHER ORDERS
RESTRAINED FROM ACTING AS DIRECTORS OR KEY MANAGERIAL PERSONNEL OF ANY PUBLIC COMPANY, WHICH INTENDS TO RAISE MONEY FROM PUBLIC, INCLUDING DADA ORGANICS LTD.
06-MAY-2024
|
|
| 7 |
|
|
ADD-SHOP E-RETAIL LTD.
(PAN:AAMCA0240P)
|
|
|
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO LTD.
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(E), 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6) 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(7), 18(2), 23(2), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO 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 06-MAY-2024 TILL FURTHER ORDERS
DIRECTED TO CONSTITUTE NEW AUDIT COMMITTEES AND PLACE THE COPY OF THIS ORDER BEFORE THEM
DIRECTED NEW AUDIT COMMITTEES TO ENSURE THAT ADD-SHOP E-RETAIL LTD. AND WHITE ORGANIC AGRO LTD. COMPLY WITH OTHER REQUIREMENTS UNDER LODR REGULATIONS, 2015
06-MAY-2024
|
|
| 8 |
|
|
ADHUNIK INDUSTRIES LTD.
(PAN:AACCB2765Q)
|
|
|
MADE WRONG DISCLOSURE OF RELATED PARTY TRANSACTIONS VIOLATING CLAUSE 49(VII)(C) OF LISTING AGREEMENT AND REGULATION 23(1) OF SEBI (LODR) REGULATIONS 2015
DID NOT OBTAIN NECESSARY APPROVAL WITH RESPECT TO RELATED PARTY TRANSACTIONS FROM SHAREHOLDERS AND AUDIT COMMITTEE VIOLATING CLAUSE 49(VII)(E) OF LISTING AGREEMENT AND REGULATIONS 23(2) AND 23(4) OF SEBI (LODR) REGULATIONS 2015
|
IMPOSED PENALTY RS.7,00,000
13-MAY-2022
|
SEBI VIDE ITS NOTICE DATED 06/02/2024 DIRECTED TO PAY RS.8,55,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 19/02/2024 CANCELLED RECOVERY CERTIFICATE AS PER MATTER STILL PENDING BEFORE THE HON’BLE SUPREME COURT OF INDIA DATED 06/02/2024
|
| 9 |
|
|
AGI GREENPAC LTD.
|
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|
DID NOT PROVIDE ACCURATE, ADEQUATE AND EXPLICIT DISCLOSURE RESULTING IN MISREPRESENTATION TO STOCK EXCHANGES VIOLATING REGULATION 4(1)(C),(D),(E) AND (H) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF MATERIAL DEVELOPMENTS WITH RESPECT TO DISCLOSURES MADE BY COMPANY DATED 31/10/2022 AND 16/03/2023 VIOLATING REGULATIONS 30(7) READ WITH 41(1)(E) 4(1)(H) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000
30-APR-2024
|
SAT: SAT VIDE ITS ORDER DATED 10/07/2024 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN FOUR WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 24/09/2024 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 19/11/2024 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 29/01/2025 DIRECTED REJOINDER TO BE FILED WITHIN THREE WEEKS
|
| 10 |
|
|
AGRI-TECH (INDIA) LTD.
(PAN:AAECA3539K)
|
|
|
|
RESHMA TALBANI
(PAN:AOWPT7215E)
|
|
DID NOT DISCHARGE DUTY AS COMPLIANCE OFFICER VIOLATING REGULATIONS 6(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF AGRI-TECH (INDIA) LTD.
|
IMPOSED PENALTY
19-APR-2023
|
|
| 11 |
|
|
AGRI-TECH (INDIA) LTD.
(PAN:AAECA3539K)
|
|
|
|
SATISH KAGLIWAL
(PAN:AHKPK9953B)
|
|
|
SWETA AKASH KAGLIWAL
(PAN:AGAPG7869D)
|
|
DID NOT ADHERE TO CORPORATE GOVERNANCE REPORT VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(7), 4(2)(F)(II)(8) AND 4(2)(F)(III)(7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF AGRI-TECH (INDIA) LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF AGRI-TECH (INDIA) LTD.
|
IMPOSED PENALTY
19-APR-2023
|
|
| 12 |
|
|
AGRI-TECH (INDIA) LTD.
(PAN:AAECA3539K)
|
|
|
|
RAJENDRA SHARMA
(PAN:AERPS6678B)
|
|
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF AGRI-TECH (INDIA) LTD.
|
IMPOSED PENALTY
19-APR-2023
|
|
| 13 |
|
|
AGRI-TECH (INDIA) LTD.
(PAN:AAECA3539K)
|
|
|
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(B), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015
MADE INCORRECT DISCLOSURE OF SHAREHOLDINGS IN RELATED PARTIES AND ITS ASSOCIATE COMPANIES IN ANNUAL REPORTS VIOLATING REGULATIONS 4(1)(C) AND 4(2)(E) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF CHARGES ON IMMOVABLE PROPERTIES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(B), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING RESIGNATION OF DIRECTORS VIOLATING REGULATIONS 4(1)(D) AND 4(2)(B) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES REGARDING RESIGNATION OF DIRECTORS VIOLATING REGULATIONS 4(1)(D) AND 4(2)(B) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-APR-2023
|
|
| 14 |
|
|
ALCON FINANCE & INVESTMENTS LTD.
(PAN:AAACA3962A)
|
|
|
FILED WRONG DISCLOSURE OF SHAREHOLDING PATTERN IN MATTER OF KEMP & CO.LTD.
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
IMPOSED PENALTY RS.20,00,000
26-JUN-2024
|
SAT: SAT VIDE ITS ORDER DATED 21/08/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED SUBJECT TO DEPOSIT OF RS.1 CRORE BY APPELLANT WITH RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 15 |
|
|
ALIENS DEVELOPERS PVT.LTD.
(PAN:AAFCA7204E)
|
|
|
DID NOT OBTAIN PRIOR APPROVAL FROM STOCK EXCHANGES FOR THE CHANGES IN STRUCTURE OF CASH FLOW OF INTEREST PAYMENTS/EXTENSION OF MATURITY OF DEBENTURES
DID NOT INFORM TO STOCK EXCHANGES ABOUT DEFAULT IN INTEREST PAYMENTS/REDEMPTION OF DEBENTURES
DID NOT MAINTAIN FUNCTIONAL WEBSITE VIOLATING REGULATION 51(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN SUBMISSION OF INFORMATION, DOCUMENTS, ASSET COVER CERTIFICATES AND COMPLIANCES CERTIFICATE
DID NOT CREATE AND/OR MAINTAIN RECOVERY EXPENSE FUND VIOLATING SEBI CIRCULAR NO.SEBI/HO/MIRSD/CRADT/CIR/P/2020/207 DATED 22/10/2020
|
IMPOSED PENALTY RS.7,00,000
29-DEC-2023
|
|
| 16 |
|
|
ALLIANCE INFRASTRUCTURE PROJECTS PVT.LTD.
(PAN:AAFCA0404J)
|
|
|
DELAY IN SUBMISSION OF HALF YEARLY FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(1), 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
26-MAR-2021
|
|
| 17 |
|
|
ALLIED COMPUTERS INTERNATIONAL (ASIA) LTD.
(PAN:AADCA4412E)
|
|
|
DID NOT FURNISH REQUISITE INFORMATION DURING INVESTIGATION
DID NOT MAKE DISCLOSURE OF QUARTERLY SHAREHOLDING PATTERN TO STOCK EXCHANGE VIOLATING SECTION 21 OF SCRA, 1956 AND CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 103 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.20,00,000
14-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.22,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/05/2023 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
SEBI VIDE ITS NOTICE DATED 20/06/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.22,05,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 18 |
|
|
ALOK INDUSTRIES LTD.
|
|
|
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES DEFAULT IN PAYMENT OF INTEREST AND PRINCIPAL AMOUNT IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATION 51(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES DELAY/DEFAULT IN PAYMENT OF INTEREST AND PRINCIPAL AMOUNT IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATION 51(2) READ WITH PART B OF SCHEDULE III (CLAUSE A1, A4, A9) OF SEBI (LODR) REGULATIONS, 2015
DID NOT DISCLOSE LINE ITEMS IN RESPECT OF VARIOUS SERIES OF NCDS AS REQUIRED UNDER REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT CERTIFICATE SIGNED BY DEBENTURE TRUSTEE TO STOCK EXCHANGES NCDS VIOLATING REGULATION 52(5) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES IN ITS QUARTERLY FINANCIAL STATEMENTS IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.12,00,000
30-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/09/2020 GRANTED FOUR WEEKS TIME TO RESPONDENT TO FILE AFFIDAVIT IN REPLY AND TWO WEEKS THEREAFTER FOR FILING AFFIDAVIT IN REJOINDER, IF ANY AND PLACED THE APPEAL FOR FINAL DISPOSAL ON 01/12/2020.IN THE MEANTIME, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED TO BE STAYED UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 01/12/2020 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 30/07/2020. NO COSTS
|
| 19 |
|
|
ALPHA CORP DEVELOPMENT PVT.LTD.
(PAN:AAECA5259Q)
|
|
|
ALLEGED DELAY IN OBTAINING APPROVAL FROM STOCK EXCHANGES FOR TRANSFER OF NON-CONVERTIBLE DEBENTURES OF RS.29 CRORES TO EUTHORIA DEVELOPERS PVT.LTD.VIOLATING REGULATION 59 OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,12,625 VIDE CONSENT ORDER)
20-JAN-2021
|
|
| 20 |
|
|
ALPS MOTOR FINANCE LTD.
(PAN:AABCA1559L)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES ABOUT UTILIZATION OF PREFERENTIAL ALLOTMENT PROCEEDS VIOLATING CLAUSE 43 OF ERSTWHILE LISTING AGREEMENT (NOW REGULATION 32 OF SEBI (LODR) REGULATIONS, 2015) READ WITH SECTION 21 OF SCRA, 1956
INDULGED IN GIVING LOANS OUT OF PROCEEDS OF ISSUE AMOUNTS TO DEVIATION AS PER THE STATED OBJECTS OF ISSUE VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ALPS MOTOR FINANCE LTD.
|
IMPOSED PENALTY RS.6,00,000
23-MAY-2023
|
SAT: SAT VIDE ITS ORDER DATED 20/07/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 23/05/2023. NO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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