| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
A ONE FURNITURE
(PAN:AIJPD7329J)
|
|
|
|
MADHUKAR DUBEY
PAN:AIJPD7329J
|
|
INDULGED IN DIVERSION OF IPO PROCEEDS VIOLATING SECTIONS 12(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 ESTEEM BIO FOOD PROCESSING LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-APR-2022
|
SEBI VIDE ITS NOTICE DATED 16/08/2023 DIRECTED TO PAY RS.5,85,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 12/09/2023 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 12/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.5,96,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 42 |
|
|
A ONE ISPAT PVT.LTD.
(PAN:AAICA3791P)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.17,82,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 43 |
|
|
A ONE STEELS INDIA PVT.LTD.
(CIN:U27310KA2008PTC046184
PAN:AAGCA9918E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.9,00,000
14-JUN-2019
|
|
| 44 |
|
|
A PLUS CAPITAL SERVICES
(PAN:ABBFA7185J)
|
|
|
DID NOT PAY RENEWAL FEE AS RESEARCH ANALYST
|
CANCELLED REGISTRATION AS RESEARCH ANALYST FROM 27-MAR-2025
27-MAR-2025
|
|
| 45 |
|
|
A R ENTERPRISES
(PAN:AWWPK8525E)
|
|
|
|
SATENDRA KUMAR
DIN:02151566
PAN:AWWPK8525E
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 17/09/2024 DIRECTED TO PAY RS.7,63,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/05/2025 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
SEBI VIDE ITS NOTICE DATED 01/07/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.8,23,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 46 |
|
|
A R ENTERPRISES
(PAN:AWWPK8525E)
(Along with : VIJAY BHAGWANDAS & CO.,
MAGNUM INDUSTRIAL CORP.,
GOLD LINE INTERNATIONAL FINVEST LTD.,
LMR GREEN REALTY PVT.LTD.,
NIKKY PRINTING PRESS PVT.LTD.,
AVISHA CREDIT CAPITAL LTD.)
|
|
|
|
MADHUKAR DUBEY
PAN:AIJPD7329J
|
|
|
NEM SINGH
PAN:CKIPS6770D
|
|
|
SATENDRA KUMAR
PAN:AWWPK8525E
|
|
|
SUMIT KUMAR
PAN:ARUPK1589P
|
|
ACTED FRAUDULENTLY TO GOT IPO SUBSCRIBED BY DIRECTLY/INDIRECTLY FUNDING VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF CHANNEL NINE ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2022
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2022 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 24/12/2024 DIRECTED TO PAY RS.10,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 47 |
|
|
A R ENTERPRISES
(PAN:AWWPK8525E)
|
|
|
|
SATENDRA KUMAR
DIN:02151566
PAN:AWWPK8525E
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF ECO FRIENDLY FOOD PROCESSING PARK LTD., ESTEEM BIO ORGANIC FOOD PROCESSING LTD., CHANNEL NINE ENTERTAINMENT LTD. AND HPC BIOSCIENCES LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSECTUS VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(A) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF CHANNEL NINE ENTERTAINMENT LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2015 TO 22-DEC-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2015 TO 22-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-JUN-2015
|
SEBI VIDE ITS ORDER DATED 14/06/2016 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 29/06/2015
SEBI VIDE ITS ORDER DATED 17/02/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 29/06/2015
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FREEZE
SEBI VIDE ITS ORDER DATED 22/12/2020 DIRECTED TO A) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER MANNER FOR TILL THE DATE OF THIS ORDER B) RESTRAINT THE EXISTING HOLDING OF SECURITIES INCLUDING THE UNITS OF MUTUAL FUNDS REMAIN UNDER FREEZE
|
| 48 |
|
|
A S ADVERTISERS
(PAN:AAFFA2190Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
18-SEP-2019
|
|
| 49 |
|
|
A S B N COMMODITIES & FINESERVE PVT.LTD.
(PAN:AAJCA2178D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHANTANU SHEOREY AQUAKULT 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 01-JUN-2021 TO 31-AUG-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
01-JUN-2021
|
|
| 50 |
|
|
A S TRADERS
(PAN:CMKPA6523N)
|
|
|
|
VICKY ALAM
PAN:CMKPA6523N
|
|
MISREPRESENTED TO BE SEBI REGISTERED INVESTMENT ADVISER AND PROMISED GUARANTEED RETURNS
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY AND/OR RESEARCH ANALYSIS ACTIVITIES
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 29-DEC-2023 TO 28-DEC-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-DEC-2023 TO 28-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-DEC-2023 TO 28-DEC-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 29-DEC-2023 TO 28-DEC-2025
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-DEC-2023
|
|
| 51 |
|
|
A TO Z CONSULTANTS PVT.LTD.
(PAN:AAACA4696F)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLOBE CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 52 |
|
|
A TO Z HOLDINGS PVT.LTD.
(PAN:AAECA0001A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF SBEC SUGAR LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,13,434, INTEREST RS.3,376 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-AUG-2018
|
COMPANY VIDE DEMAND DRAFT NO.116301 DATED 24/07/2018 FOR RS 5,16,810.00 DRAWN ON AXIS BANK LTD. HAS PAID SETTLEMENT CHARGES INCLUDING INTEREST
|
| 53 |
|
|
A TO Z HOLDINGS PVT.LTD.
(PAN:AAECA0001A)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF SBEC SUGAR LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-SEP-2018
|
SAT: SAT VIDE ITS ORDER DATED 01/08/2019 HAS ALLOWED THREE WEEKS TIME TO FILE REJOINDER AND INTERITM ORDER, IF ANY, EXTENDED TILL DATE OF HEARING
SAT: SAT VIDE ITS ORDER DATED 29/01/2020 PARTLY ALLOWED THE APPEAL AND MODIFIED DIRECTION OF WTM TO APPELLANT TO SELL THE SHARES ACQUIRED IN VIOLATION OF REGULATION AND TO TRANSFER PROCEEDS OF THE SAME TO INVESTOR PROTECTION FUND WITHIN SIX MONTHS FROM DATE OF THIS ORDER
|
| 54 |
|
|
A TO Z SECURITIES LTD.
(PAN:AAACA3106C)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLOBE CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 55 |
|
|
A TO Z STEELS PVT.LTD.
(PAN:AAACA2331D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIPS OF PIPAVAV DEFENCE & OFFSHORE ENGINEERING LTD., PARSVNATH DEVELOPERS LTD., TULIP TELECOM LTD. AND GLODYNE TECHNOSERVE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-AUG-2012 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-AUG-2012 TILL FURTHER ORDERS
03-AUG-2012
|
SEBI VIDE ITS ORDER DATED 19/12/2012 REVOKED ITS DIRECTIONS ISSUED VIDE ITS AD-INTERIM EX-PARTE ORDER DATED 03/08/2012
|
| 56 |
|
|
A V COMMODITIES
(PAN:AAZFA4007G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SYNCHRONIZED AND/OR SELF TRADES IN MATTER OF INDEX OPTIONS CONTRACTS OF NIFTY
|
IMPOSED PENALTY RS.5,00,000
30-AUG-2024
|
SAT: SAT VIDE ITS ORDER DATED 18/10/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED THE RECOVERY SUBJECT TO DEPOSIT OF RS.2 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 18/12/2024 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/03/2025 GRANTED APPELLANT FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/07/2025 GRANTED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 57 |
|
|
A&A CAPITAL FINANCIAL SERVICES LTD.
(PAN:AABCA1051H)
|
|
|
INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
IMPOSED PENALTY RS.55,00,000
31-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 08/02/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, DIRECTED RESPONDENT FILE REPLY WITHIN TWO WEEKS AND REJOINDER TO BE FILED TWO WEEKS THEREAFTER. DIRECTED TO DEPOSIT 10% 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 16/03/2023 GRANTED RESPONDENT FURTHER TWO WEEKS TO FILE REPLIES AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 02/08/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 58 |
|
|
A.B.FISCAL SERVICES PVT.LTD.
(PAN:AACCA2345R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 59 |
|
|
A.B.PLASTICS PVT.LTD.
(PAN:AAECA1048F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 60 |
|
|
A.B.T.INVESTMENTS LTD.
(PAN:AADCA6350P)
|
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 3 of 1193
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