| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AJCON GLOBAL SERVICES LTD.
(PAN:AABCA1950B)
|
|
|
DID NOT MONITOR OFF-MARKET TRANSACTIONS VIOLATING PARA 1.9(VII) AND (VIII) OF SEBI MASTER CIRCULARCIR/MRD/DP/6/2015 DATED 07/05/2015
DID NOT EXERCISE DUE DILIGENCE IN MONITORING OFF MARKET TRANSACTION VIOLATING CLAUSES 1, 2(B), 3, 4 AND 11 OF CODE OF CONDUCT PRESCRIBED FOR DPS IN SCHEDULE III OF REGULATION 20 AA OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996 IN MATTER OF PRAKASH STEELAGE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 20/12/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 2 |
|
|
ALFAVISION OVERSEAS (INDIA) LTD.
|
|
|
|
DINESH KUMAR SHARMA
|
|
|
DIVYA GUPTA
|
|
|
SANJAY GARG
|
|
|
VISHNU PRASAD GOYAL
|
|
ALLEGED IRREGULARITIES IN BUYING, SELLING AND DEALING IN SCRIP OF ALFAVISION OVERSEAS (INDIA) LTD.
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
VIOLATED REGULATIONS 4(A), 4(B), 4(C) AND 4(D) OF SEBI (PFUTP) REGULATIONS, 1995
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2003 TO 20-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2003 TO 20-OCT-2005
RESTRAINED FROM VIOLATING REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS FROM 21-OCT-2003 TO 20-OCT-2005
21-OCT-2003
|
SAT: CASE REMANDED AND APPEAL DISPOSED OFF
|
| 3 |
|
|
ALFAVISION OVERSEAS (INDIA) LTD.
|
|
|
|
DIVYA GUPTA
|
|
|
VISHNU PRASAD GOYAL
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-OCT-2003 TO 20-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-OCT-2003 TO 20-OCT-2005
12-JAN-2005
|
|
| 4 |
|
|
ARIHANT COTSYN LTD.
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
12-AUG-2002
|
|
| 5 |
|
|
ARIHANT INDUSTRIES LTD.
(PAN:AABCA4458Q)
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
12-AUG-2002
|
|
| 6 |
|
|
ARIHANT THREADS LTD.
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
12-AUG-2002
|
|
| 7 |
|
|
CEPHAM MILK SPECIALITIES LTD.
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
12-AUG-2002
|
|
| 8 |
|
|
CHICAGO SOFTWARE INDUSTRIES LTD.
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
12-AUG-2002
|
|
| 9 |
|
|
CONSORTEX KARL DOELITZSCH (INDIA) LTD.
(CIN:L31909AP1984PLC004953)
|
|
|
|
G.KRISHNA MOHAN
|
|
|
K.SATYANARAYAN
|
|
|
M.SUDHAKAR RAO
|
|
|
S.SURYA PRAKASA RAO
|
|
|
V.MANOHAR
|
|
INTRODUCED FAKE SHARES
FAILED TO RECONCILE RECORDS OF DEMATERIALISED SECURITIES WITH THE SECURITIES ISSUED ON DAILY BASIS
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
|
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 29-SEP-2005 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-SEP-2005 TILL FURTHER ORDERS
DIRECTED TO SUBMIT CERTIFIED REPORT ON THE RECORDS OF DEMATERIALISED SECURITIES WITH THE SECURITIES ISSUED
29-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 29/09/2005
SEBI VIDE ITS ORDER DATED 19/07/2011 RESTRAINED COMPANY FROM 1.ISSUING FURTHER SHARES OR ALTERING ITS SHARE CAPITAL IN ANY MANNER 2.ACCESSING SECURITIES MARKET 3.PROHIBITED FROM DEALING IN SECURITIES IN ANY MANNER, DIRECTLY OR INDIRECTLY, TILL SUCH TIME COMPANY RECONCILES ITS SHARES HELD IN PHYSICAL AND DEMATERIALISED MODE WITH ITS ISSUED CAPITAL
|
| 10 |
|
|
D.R.SOFTECH & INDUSTRIES LTD.
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
12-AUG-2002
|
|
| 11 |
|
|
DAEWOO MOTORS INDIA LTD.
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
27-JAN-2005
|
|
| 12 |
|
|
DCL FINANCE LTD.
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
12-AUG-2002
|
|
| 13 |
|
|
DOVE INVESTMENTS PVT.LTD.
|
|
|
DELAYED DEMATERILIZATION OF SHARES OF STERLING HOLIDAY RESORTS (INDIA) LTD.
|
DIRECTED TO DEMATERIALIZE SHARES IMMEDIATELY
10-NOV-2009
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS AND DIRECTED THAT PARAGARAPH 12(B) OF IMPUGNED ORDER SHALL NOT BE ENFORCED TILL 31/01/2010 TO ENABLE THEM TO APPROACH THE SUPREME COURT
|
| 14 |
|
|
ENKAY TEXOFOOD INDUSTRIES LTD.
(PAN:AAACE0833A)
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
12-AUG-2002
|
|
| 15 |
|
|
EUROPEAN SOFTWARE ALLIANCES LTD.
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
12-AUG-2002
|
|
| 16 |
|
|
FEDDERS LLOYD CORP.LTD.
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
12-AUG-2002
|
|
| 17 |
|
|
GARLON POLYFAB INDUSTRIES LTD.
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
IMPOSED PENALTY RS.15,000
10-NOV-2008
|
|
| 18 |
|
|
GUINESS SECURITIES LTD.
(PAN:AAACG9843L)
|
|
|
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
INDULGED IN IRREGULARITIES IN ACCOUNT OPENING PROCESS AND POWER OF ATTORNEY EXECUTED BY CLIENTS IN FAVOUR OF NOTICEE VIOLATING CLAUSES 10 AND 13 OF CODE OF CONDUCT AS SPECIFIED UNDER THIRD SCHEDULE READ WITH REGULATION 20AA OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
IMPOSED PENALTY RS.11,00,000
12-DEC-2018
|
SEBI VIDE ITS NOTICE DATED 23/03/2021 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 15/12/2022 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 23/03/2021
|
| 19 |
|
|
HARYANA PETROCHEMICALS LTD.
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
12-AUG-2002
|
|
| 20 |
|
|
ICES SOFTWARE LTD.
|
|
|
VIOLATED SEBI REGULATION REGARDING PROCESSING OF DEMATERIALISATION REQUESTS WITHIN THE STIPULATED PERIOD
|
DIRECTED TO COMPLETE PENDING DEMATERIALISATION REQUESTS
12-AUG-2002
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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