| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ARTH UDYOG LTD.
(PAN:AAACA1256B)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,71,15,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO PROVIDE ANOTHER EXIT OFFER TO ITS PUBLIC SHAREHOLDERS AFTER SETTLEMENT ORDER AT SAME EXIT PRICE AS WAS OFFERED IN THE OFFER GIVEN BY IT IN 2019)
12-SEP-2022
|
|
| 2 |
|
|
ASHOKA MARKETING LTD.
(PAN:AACCA7616H)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,87,10,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO PROVIDE ANOTHER EXIT OFFER TO ITS PUBLIC SHAREHOLDERS AFTER SETTLEMENT ORDER AT SAME EXIT PRICE AS WAS OFFERED IN THE OFFER GIVEN BY IT IN 2019)
12-SEP-2022
|
|
| 3 |
|
|
ASHOKA VINIYOGA LTD.
(PAN:AACCA4784G)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,95,07,500 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-JUN-2024
07-SEP-2022
|
|
| 4 |
|
|
ASSOCIATED MANUFACTURING RANIA PVT.LTD.
|
|
|
ALLEGED DELAY IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT UNDER RULE 19A, PROVISO TO RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCR ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-JAN-2017
|
|
| 5 |
|
|
BHARAT NIDHI LTD.
(PAN:AAACB0195J)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,43,10,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO PROVIDE ANOTHER EXIT OFFER TO ITS PUBLIC SHAREHOLDERS AFTER SETTLEMENT ORDER AT SAME EXIT PRICE AS WAS OFFERED IN THE OFFER GIVEN BY IT IN 2019)
12-SEP-2022
|
|
| 6 |
|
|
CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT AND REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19A(1) OF SCRR, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH PROVISION OF 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING SECTIONS 12(A)(A) TO 12A(B) OF SEBI ACT, 1992 READ WITH REGULATION 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAMAC COMMERCIAL CO.LTD.
|
DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE
DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR
IMPOSED PENALTY RS.11,00,00,000
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 07/11/2024 DIRECTED APPELLANTS TO SUBMIT LETTER TO CGM, CORPORATE FINANCE DEPARTMENT, SEBI WITHIN TEN DAYS FROM DATE OF THIS ORDER AND SEBI TO REPLY/RESPOND WITHIN THIRTY DAYS FROM DATE OF SUBMISSION OF THEIR REQUEST BY THE APPELLANTS
|
| 7 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,43,10,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-SEP-2024
07-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 07/02/2023 CONDONED THE DELAY IN FILING OF APPEAL. APPEAL ALLOWED AND QUASHED IMPUGNED ORDERS. MATTER REMITTED TO AO TO PASS A FRESH ORDER IN THE LIGHT OF DECISION OF TRIBUNAL WITHIN THREE MONTHS
|
| 8 |
|
|
DHANSHREE AGRO CHEMICALS (NANDESARI) PVT.LTD.
|
|
|
ALLEGED DELAY IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT UNDER RULE 19A, PROVISO TO RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCR ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-JAN-2017
|
|
| 9 |
|
|
E-LAND APPAREL LTD.
(PAN:AACCM6461E)
(Along with : E-LAND ASIA HOLDING PTE LTD.)
|
|
|
|
MURARILAL BISHESHWAR AGARWAL
PAN:ADOPA8257C
|
|
|
RAVINDRA BISHESHWAR AGRAWAL
PAN:ADPPA1180R
|
|
|
VISHWAMBHARLAL KANAHIYALAL BHOOT
PAN:AENPB1243F
|
|
DELAY IN COMPLYING WITH MANDATED MINIMUM PUBLIC SHAREHOLDING REQUIREMENTS AS REQUIRED UNDER RULE 19 (2) (B) AND 19 A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957
|
IMPOSED PENALTY RS.5,00,000
29-SEP-2015
|
|
| 10 |
|
|
E-LAND ASIA HOLDING PTE LTD.
(PAN:AACCE8910A)
(Along with : E-LAND APPAREL LTD.)
|
|
|
DELAY IN COMPLYING WITH MANDATED MINIMUM PUBLIC SHAREHOLDING REQUIREMENTS AS REQUIRED UNDER RULE 19 (2) (B) AND 19 A OF SECURITIES CONTRACTS (REGULATION) RULES, 1957
|
IMPOSED PENALTY RS.5,00,000
29-SEP-2015
|
|
| 11 |
|
|
ELANTAS BECK INDIA LTD.
|
|
|
ALLEGED DELAY IN MEETING REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING OF 25% VIOLATING PROVISIONS OF SECTION 21 OF SCRA 1956 AND PROVISION TO RULE 19A (1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 IN MATTER OF ELANTAS BECK INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,84,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JUN-2016
|
|
| 12 |
|
|
ELANTAS GMBH
|
|
|
ALLEGED DELAY IN MEETING REQUIREMENT OF MINIMUM PUBLIC SHAREHOLDING OF 25% VIOLATING PROVISIONS OF SECTION 21 OF SCRA 1956 AND PROVISION TO RULE 19A (1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 IN MATTER OF ELANTAS BECK INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,84,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JUN-2016
|
|
| 13 |
|
|
HEXA TRADEX LTD.
(PAN:AACCH5334B)
|
|
|
ALLEGED FAILURE IN DISCLOSING APPLICANT 4 AS PART OF PROMOTER GROUP VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
ALLEGED FILING OF INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN BY INCLUDING APPLICANT 4 AS PUBLIC SHAREHOLDER VIOLATING CLAUSE 35 OF READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,48,550 VIDE CONSENT ORDER)
01-DEC-2023
|
|
| 14 |
|
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HIRA AUTOMOBILES LTD.
(PAN:AAACH4691M)
|
|
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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
|
IMPOSED PENALTY RS.14,00,000
16-APR-2024
|
|
| 15 |
|
|
IL&FS SECURITIES SERVICES LTD.
(PAN:AABCI5580K)
|
|
|
ALLEGED INDULGENCE IN RISK PARTICIPANTS ARRANGEMENTS WITH IL&FS FINANCIAL SERVICES LTD. VIOLATING RULES 8(1)(F) AND 8(3)(F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,80,000 VIDE CONSENT ORDER)
28-OCT-2020
|
|
| 16 |
|
|
IMTSONS INVESTMENTS LTD.
(CIN:U65993GJ2009PLC058732
PAN:AACCI1780J)
|
|
|
|
IMITIYAZHUSAIN SAIYED MOHMED SAIYED
DIN:02783229
PAN:ACCPS4868C
|
|
ENTERED INTO AGREEMENTS WITH CLIENTS/INVESTORS FOR INVESTMENTS IN SECURITIES MARKET, COLLECTING & MANAGING THEIR FUNDS FOR SUCH INVESTMENTS AND PROMISED ASSURED RETURNS ON THEIR INVESTMENTS VIOLATING SECTION 12(1) OF SEBI ACT, RULE 8(3)(F) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE AND INDULGED IN MANIPULATIVE ACTIVITIES VIOLATING REGULATION 15 READ WITH CLAUSES A(1), A(2), D(1) AND D(4) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (SUB BROKERS) REGULATIONS, 1992
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-OCT-2017 TO 05-OCT-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-OCT-2017 TO 05-OCT-2020
DIRECTED TO REPAY/REFUND TO INVESTORS / CLIENTS MONEY WITH INTEREST @15% P.A. FROM THE DATE OF REPAYMENT DUE TILL THE DATE OF ACTUAL PAYMENT
DIRECTED TO PROVIDE CERTIFICATE FROM CHARTERED ACCOUNTANT IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
06-OCT-2017
|
|
| 17 |
|
|
INTERNATIONAL CONSTRUCTIONS LTD.
(PAN:AAACI5686F)
|
|
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DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT WITHIN STIPULATED TIME VIOLATING CLAUSE 40A OF ERSTWHILE LISTING AGREEMENT READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT WITHIN STIPULATED TIME VIOLATING RULE 19A OF SEBI SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
|
IMPOSED PENALTY RS.5,00,000
24-DEC-2019
|
|
| 18 |
|
|
JINDAL SAW LTD.
(PAN:AABCS7280C)
|
|
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ALLEGED FILING OF INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN VIOLATING CLAUSE 35 OF READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
ALLEGED FAILURE IN DISCLOSING APPLICANT 4 AS PART OF PROMOTER GROUP VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.26,30,550 VIDE CONSENT ORDER)
01-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/07/2024 DISMISSED THE APPEAL AS WITHDRAWN
|
| 19 |
|
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MOONGIPA INVESTMENTS LTD.
(CIN:U74899DL1994PLC059535
PAN:AAACM5584A)
|
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|
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SUBHASH CHANDER SINGAL
PAN:AALPS3587R
|
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DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT REFUND TO CLIENTS FUNDS AND SECURITIES
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-SEP-2015 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2015 TILL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 10-SEP-2015 TILL FURTHER ORDERS
DIRECTED TO IMPOUND FINANCIAL ASSETS
DIRECTED TO UTILIZE ASSETS ONLY FOR THE PURPOSE OF REFUND OF MONEY AND/OR DELIVERY OF SECURITIES
DIRECTED NOT TO DEBIT BANK ACCOUNTS/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY EXCEPT FOR REFUND AND AFTER CONFIRMATION FROM CONCERNED STOCK EXCHANGE
DIRECTED STOCK EXCHANGES, BANKS AND DEPOSITORIES TO ENSURE COMPLIANCE OF THE DIRECTIONS
10-SEP-2015
|
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| 20 |
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NANDESARI AGROCHEMICALS PVT.LTD.
|
|
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ALLEGED DELAY IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING REQUIREMENT UNDER RULE 19A, PROVISO TO RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH CLAUSE 40A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCR ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-JAN-2017
|
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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