| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ABL BIOTECHNOLOGIES LTD.
(CIN:L52599TN1992PLC022340
PAN:AAACA5463G)
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|
|
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KOLLENMARETH OOMMAN ISAAC
DIN:01421392
PAN:AAAPI2428J
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO RECOVER USD 6.64 MILLION FROM CLIFFORD CAPITAL PARTNERS A.G.S.A. AND BRING BACK MONEY INTO ABL’S BANK ACCOUNT IN INDIA WITHIN THREE MONTHS FROM DATE OF ORDER
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-MAY-2019 TO 30-MAY-2024
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAY-2019 TO 30-MAY-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAY-2019 TO 30-MAY-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-MAY-2019
|
|
| 2 |
|
|
ABL BIOTECHNOLOGIES LTD.
(CIN:L52599TN1992PLC022340
PAN:AAACA5463G)
|
|
|
|
G.SUBRAMANIAN
PAN:AARPS0953K
|
|
|
RAVEENDRAN SAPPANY
PAN:AAGPR8625Q
|
|
|
ROSEMARY ISAAC
PAN:AAEPR5705R
|
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INDULGED IN APPROVAL OF BOARD RESOLUTION VIOLATING SECTION 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 ABL BIOTECHNOLOGIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
31-MAY-2019
|
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| 3 |
|
|
AQUA LOGISTICS LTD.
(CIN:L63090MH1999PLC121803
PAN:AADCA0603M)
|
|
|
|
HARISH GOPALKRISHNA UCHIL
PAN:AAAPU1153C
|
|
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MOHAMMAD SABIR SAYAD
PAN:AFMPS3047J
|
|
|
RAJESH GOPALKRISHNA UCHIL
DIN:00156744
PAN:AAAPU1152D
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF 41.12 LAC GDRS FOR USD RS.62.38 MN. BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (AQUA) PLEDGED GDR WITH EURAM BANK VIOLATING SECTION 12A(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) AND 4(1),(2)(F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
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 22-JUL-2021 TO 21-JUL-2024
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
22-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 07/10/2021 DIRECTED CONDONED THE DELAY OF 371 DAYS IN FILING OF APPEAL AND ALLOWED THE APPLICATION
|
| 4 |
|
|
FARMAX INDIA LTD.
(PAN:AADCB1600R)
|
|
|
|
SRINIVASA REDDY MORTHALA
PAN:AFTPM5606G
|
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MADE FALSE AND MISLEADING CORPORATE ANNOUNCEMENT TO INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1), 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO BRING BACK OUTSTANDING USD 72.20 MN INTO ITS BANK ACCOUNT IN INDIA
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
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 14-JUL-2020 TO 13-JUL-2025
14-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 CONDONED THE DELAY IN FILING OF APPEAL. RESPONDENT MAY FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILED WITHIN THREE WEEKS THEREAFTER.
SAT: SAT VIDE ITS ORDER DATED 21/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 5 |
|
|
HIRAN ORGOCHEM LTD.
(PAN:AAACH0977J)
|
|
|
|
KANTILAL M.HIRAN
PAN:AAUPH7660P
|
|
|
MUKESH CHAURADIYA
PAN:AAVPC0966A
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (HIRAN) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2) (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
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-OCT-2021 TO 05-OCT-2024
DIRECTED TO CONTINUE TO PURSUE THE MEASURES OF BRING BACK OUTSTANDING USD 4.95 MN. INTO ITS BANK ACCOUNT IN INDIA
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
06-OCT-2021
|
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| 6 |
|
|
KAASHYAP TECHNOLOGIES LTD.
(CIN:U72300TN1997PLC038233
PAN:AAACK4451A)
|
|
|
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A.GANESAN
PAN:AACPG8259M
|
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A.SIVAKUMARAN
PAN:AIYPS4944H
|
|
|
ANNASWAMI VENKATRAMANI
PAN:AABPV3960F
|
|
|
GOPALAN RAMAMURTHY
DIN:00018966
|
|
|
R.DAKSHINAMURTHY
PAN:AAGPD2888M
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION OF GDR ISSUE VIOLATING SECTION 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 KASHYAP TECHNOLOGIES LTD.
|
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-APR-2019 TO 11-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-APR-2019 TO 11-APR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-APR-2019
|
|
| 7 |
|
|
MPS INFOTECNICS LTD.
(PAN:AAACV4805B)
|
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO BRING BACK OUTSTANDING USD 8.90 MN INTO ITS BANK ACCOUNT IN INDIA
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-MAR-2020 TILL COMPLIANCE OF DIRECTIONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-MAR-2020 TILL COMPLIANCE OF DIRECTIONS
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 06-MAR-2020 TILL COMPLIANCE OF DIRECTIONS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
06-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 20/04/2022 CONDONED THE DELAY OF 538 DAYS IN FILING OF APPEAL. ALLOWED RESPONDENTS TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEK THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/06/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 8 |
|
|
NAKODA LTD.
(PAN:AAACN7282L)
|
|
|
|
BABULAL GUMANMAL JAIN
PAN:ABNPJ1251A
|
|
|
DEVENDRA NATH BABULAL JAIN
PAN:ADTPJ4655Q
|
|
|
MUKESH CHAURADIYA
PAN:AAVPC0966A
|
|
|
SURINDER KUMAR BHOAN
PAN:AAKPB0324N
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (NAKODA LTD.) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2) (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO CONTINUE TO PURSUE THE MEASURES OF BRING BACK OUTSTANDING USD 24,322,413.20 INTO ITS BANK ACCOUNT IN INDIA
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-OCT-2021 TO 13-OCT-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-OCT-2021 TO 13-OCT-2024
14-OCT-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/08/2022 GRANTED APPELLANTS TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/09/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 9 |
|
|
RAINBOW PAPERS LTD.
(CIN:L21010GJ1986PLC008772
PAN:AAACR5415K)
|
|
|
|
AJAYKUMAR RADHESHYAM GOENKA
PAN:AAZPG8113B
|
|
|
MUKESH CHAURADIYA
PAN:AAVPC0966A
|
|
|
SANGEETA AJAY GOENKA
PAN:AADPG0153F
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF 10,235,455 GDRS AMOUNTING TO USD 27.02 MN. GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (RAINBOW PAPERS LTD.) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
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 26-OCT-2021 TO 25-OCT-2024
DIRECTED TO CONTINUE TO PURSUE THE MEASURES OF BRING BACK OUTSTANDING USD 6,260,183 INTO ITS BANK ACCOUNT IN INDIA
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
26-OCT-2021
|
|
| 10 |
|
|
RANA SUGARS LTD.
(PAN:AABCR6744C)
|
|
|
|
RANA INDER PRATAP SINGH
PAN:AVNPS6106M
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION VIOLATING SECTION 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 RANA SUGARS LTD.
|
DIRECTED TO TAKE APPROPRIATE NECESSARY STEPS TO ENSURE COMPLIANCE OF THE DIRECTION TO BRING BACK USD 2.27 MN
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2020 TO 30-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2020 TO 30-JAN-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-JAN-2020
|
|
| 11 |
|
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RANA SUGARS LTD.
(PAN:AABCR6744C)
|
|
|
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RANA RANJIT SINGH
PAN:ADXPS5464N
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION VIOLATING SECTION 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 RANA SUGARS LTD.
|
DIRECTED TO TAKE APPROPRIATE NECESSARY STEPS TO ENSURE COMPLIANCE OF THE DIRECTION TO BRING BACK USD 2.27 MN
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2020 TO 30-JAN-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2020 TO 30-JAN-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-JAN-2020
|
|
| 12 |
|
|
RANA SUGARS LTD.
(PAN:AABCR6744C)
|
|
|
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A.S.SODHI
PAN:ALZPS2923G
|
|
|
BALJIT SINGH
PAN:AIJPS7302L
|
|
|
RANA VEER PRATAP SINGH
PAN:BAFPS9170M
|
|
|
S.A.S.BAJWA
PAN:ACDPB9217H
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION VIOLATING SECTION 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 RANA SUGARS LTD.
|
DIRECTED TO TAKE APPROPRIATE NECESSARY STEPS TO ENSURE COMPLIANCE OF THE DIRECTION TO BRING BACK USD 2.27 MN
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2020 TO 30-JAN-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2020 TO 30-JAN-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-JAN-2020
|
|
| 13 |
|
|
RANA SUGARS LTD.
(PAN:AABCR6744C)
|
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO BRING BACK USD 2.27 MN WHICH WAS DIVERTED TO SEAZUN LTD. WITHIN THREE MONTHS FROM DATE OF ORDER
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2020 TO 30-JAN-2025
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 31-JAN-2020 TO 30-JAN-2025
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-JAN-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/11/2020 DISMISSED AS WITHDRAWN THE APPEAL AND APPELLANTS TO FILE A SEPARATE APPEAL WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 DISMISSED THE APPEAL
|
| 14 |
|
|
RASOYA PROTEINS LTD.
(CIN:L15143MH1992PLC066662
PAN:AABCM1757C)
|
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|
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AJAY SINGH
PAN:AMOPS6983Q
|
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ANIL NARAYAN LONKAR
PAN:AAHPL2701Q
|
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PRASHANT GOVIND DUCHAKKE
PAN:AEGPD0977B
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SAMEER YESHVANTRAO DAMLE
PAN:AFKPD2850C
|
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INDULGED IN EMPLOYING FRAUDULENT PLAN/ARRANGEMENT, DEVICE, ARTIFICE AND CONTRIVANCE WITH REGARD TO SUBSCRIPTION OF GDRS AND CREATION OF UNDERLYING SHARES USING FAÇADE OF GDR ISSUE, MONETIZING THOSE GDRS THROUGH SALE OF UNDERLYING SHARES OF GDRS AND INDUCING AND ALLURING INDIAN INVESTORS TO DEAL IN SHARES OF RASOYA PROTEIN LTD.
INDULGED IN ISSUANCE OF FALSE & MISLEADING DISCLOSURES, MISREPRESENTATIONS AND ACTIVE CONCEALMENT OF MATERIAL INFORMATION WITH REGARD TO PLEDGE OF ENTIRE GDR SUBSCRIPTION AMOUNT OF RASOYA PROTEIN LTD.
DID NOT CO-OPERATE WITH SEBI DURING INVESTIGATIONS AND PROVIDED FALSE INFORMATION TO SEBI AND BSE IN MATTER OF RASOYA PROTEIN LTD.
DID NOT MAKE DISCLOSURES TO BSE AS REQUIRED UNDER CLAUSE 22 AND 36 OF LISTING AGREEMENT AND MADE FALSE & MISLESDING DISCLOSURES/REPRESENTATIONS IN ANNUAL REPORT OF RASOYA PROTIEN LTD.
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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 22-OCT-2021 TO 21-OCT-2024
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DIRECTED TO CONTINUE TO PURSUE THE MEASURES OF BRING BACK OUTSTANDING USD 31,999,589.86 INTO ITS BANK ACCOUNT IN INDIA
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT EXCHANGEABLE OR CONVERTIBLE INTO SECURITIES, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
24-SEP-2014
|
SEBI VIDE ITS ORDER DATED 23/03/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 24/09/2014
SAT: SAT VIDE ITS ORDER DATED 12/09/2017 DISPOSED OFF THE APPEAL AS THE COUNSEL FOR SEBI ON INSTRUCTION STATES THAT INVESTIGATION IN CASE OF APPELLANT WOULD BE COMPLETED WITHIN A PERIOD OF THREE MONTHS FROM DATE OF THIS ORDER AND IF DEEMED FIT SHOW CAUSE NOTICE WOULD BE ISSUED WITHIN A PERIOD OF TWO WEEKS THEREAFTER. NO COSTS
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| 15 |
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SANRAA MEDIA LTD.
(PAN:AAACS9093A)
|
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ANNASWAMI VENKATRAMANI
PAN:AABPV3960F
|
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KRISHNAN RAJAGOPAL
PAN:AEHPR7931J
|
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RAJEEV AGARWAL
DIN:00232816
PAN:AAJPA6719K
|
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RAJENDRAN SIVASHANKARAN
PAN:AVAPS0218D
|
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SUKUMAR SUBRAMANIAN
DIN:01835134
PAN:AOUPS4543L
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO RECOVER USD 27.244 MILLION FROM CLIFFORD CAPITAL PARTNERS A.G.S.A. AND BRING BACK MONEY INTO SML’S BANK ACCOUNT IN INDIA WITHIN THREE MONTHS FROM DATE OF ORDER
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JAN-2019 TO 01-JAN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2019 TO 01-JAN-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
02-JAN-2019
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| 16 |
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SECUNDERABAD HEALTH CARE LTD.
(CIN:L33100TG1991PLC013380
PAN:AACCS8246B)
|
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ISSUED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT WITHOUT RECEIPT OF FULL CONSIDERATION VIOLATING SECTION 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
|
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-APR-2021 TO 29-APR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2021 TO 29-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2021 TO 29-APR-2023
DIRECTED TO COLLECT BALANCE CONSIDERATION FROM NOTICEES NO.2 TO 8 AND 10
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-APR-2021
|
SEBI VIDE ITS ORDER DATED 20/10/2022 DISPOSED OFF SCN DATED 19/07/2019 WITHOUT ANY DIRECTION
|
| 17 |
|
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SOUTHERN ISPAT & ENERGY LTD.
(CIN:L45309KL1995PLC009171
PAN:AAECS6476P)
|
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|
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MUKESH CHAURADIYA
PAN:AAVPC0966A
|
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R.SIVARAMAKRISHNAN
PAN:BGIPS6010B
|
|
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VIVEK AGARWAL
DIN:00104952
PAN:ADAPA2289E
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INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (SOUTHERN ISPAT & ENERGY LTD.) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2) (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
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DIRECTED TO TAKE MEASURES OF BRING BACK OUTSTANDING USD 13.679 MN. INTO ITS BANK ACCOUNT IN INDIA
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-OCT-2021 TO 21-OCT-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-OCT-2021 TO 21-OCT-2024
22-OCT-2021
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| 18 |
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TEXMO PIPES & PRODUCTS LTD.
(PAN:AACCT9780D)
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MUKESH CHAURADIYA
PAN:AAVPC0966A
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SANJAY KUMAR AGRAWAL
PAN:ADAPA0132C
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VIJAY PRASAD PAPPU
PAN:ASRPP0392H
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DID NOT MAKE DISCLOSURE TO STOCK EXCHANGE ABOUT ALLOWING GDR PROCEEDS TO USED AS SECURITY FOR A LOAN AVAILED BY VINTAGE FZE, UAE TOWARDS SUBSCRIPTION OF GDRS ISSUED BY
TEXMO PIPES & PRODUCTS LTD. VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
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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 28-FEB-2023 TO 27-FEB-2026
DIRECTED TO CONTINUE TO PURSUE THE MEASURES OF BRING BACK OUTSTANDING USD 3.49 MN. INTO ITS BANK ACCOUNT IN INDIA
DIRECTED TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
28-FEB-2023
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SAT: SAT VIDE ITS ORDER DATED 06/12/2023 CONDONED THE DELAY OF 165 DAYS IN FILING OF APPEAL AND RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE THE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 03/04/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
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| 19 |
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VIKASH METAL & POWER LTD.
(CIN:L27109WB1996PLC080353
PAN:AAACV8850A)
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INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (VIKASH) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2) (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
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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 29-SEP-2021 TO 28-SEP-2024
DIRECTED TO CONTINUE TO PURSUE THE MEASURES OF BRING BACK OUTSTANDING USD 11,463,211.63 INTO ITS BANK ACCOUNT IN INDIA
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
29-SEP-2021
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| 20 |
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WINSOME YARNS LTD.
(CIN:L17115CH1990PLC010566
PAN:AAACW1911H)
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INDULGED IN FACILITATING SUBSCRIPTION OF 19,94,125 GDRS AMOUNTING TO USD 13.24 MN. GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (WINSOME) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
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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 26-OCT-2021 TO 25-OCT-2024
DIRECTED TO CONTINUE TO PURSUE THE MEASURES OF BRING BACK OUTSTANDING USD 6.05 MN.
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
26-OCT-2021
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SAT: SAT VIDE ITS ORDER DATED 16/12/2021 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/02/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
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