| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
TELLME.COM
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH REGULATION 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF HOME TRADE LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
31-DEC-2015
|
|
| 202 |
|
|
THERM FLOW ENGINEERS PVT.LTD.
(PAN:AABCT7264M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) READ WITH 3(3) AND 13(1) OF SAST REGULATIONS, 2011 IN MATTER OF PATELS AIRTEMP (INDIA) LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
25-JUL-2018
|
SAT: SAT VIDE ITS ORDER DATED 01/05/2019 PARTLY ALLOWED THE APPEAL BY SET ASIDING ORDER DATED 25/07/2018 TO MAKE PUBLIC ANNOUNCEMENT AND TO PAY 10% INTEREST AND DIRECTED APPELLANT TO TRANSFER 2000 SHARES IN OPEN MARKET WITHIN FOUR WEEKS AND DEPOSIT RS.3,60,300.00 IN INVESTOR PROTECTION AND EDUCATION FUND WITHIN SIX WEEKS FROM DATE OF THIS ORDER
|
| 203 |
|
|
TIMBER HILL ENGINEERS PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT WHICH WAS TO BE MADE WITHIN FOUR WORKING DAYS W.E.F.01.04.97
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-OCT-2002
|
SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED
|
| 204 |
|
|
TIRUPATI NIKET PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GREMACH INFRASTRUCTURE EQUIPMENTS & PROJECTS LTD. (PRESENTLY KNOWN AS SANCIA GLOBAL INFRAPROJECTS LTD.)
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-FEB-2019 UNTIL DISCHARGE LIABILITY BY MAKING PUBLIC ANNOUNCEMENT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-FEB-2019 UNTIL DISCHARGE LIABILITY BY MAKING PUBLIC ANNOUNCEMENT
06-FEB-2019
|
|
| 205 |
|
|
TOTAL NETWORK SOLUTIONS LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT WHICH WAS TO BE MADE WITHIN FOUR WORKING DAYS W.E.F.01.04.97
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-OCT-2002
|
SAT: IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED
|
| 206 |
|
|
TRAFIKSOL ITS TECHNOLOGIES PVT.LTD.
(PAN:AAGCT6473R)
|
|
|
DID NOT SUBMIT COPIES OF AUDITED FINANCIAL STATEMENTS OF THIRD-PARTY VENDOR FOR FY22, FY23 AND FY24 AND NOTED THAT FINANCIALS FOR ALL THREE YEARS WERE SIGNED BY MURMURIA & ASSOCIATES ON SAME DATE 02/09/2024 A WEEK PRIOR TO OPENING OF IPO
AUDITED ACCOUNTS DID NOT HAVE UNIQUE DOCUMENT IDENTIFICATION NUMBER (UDIN) FOR AUDIT FINANCIALS, MANDATORY AS PER ICAI FOR FINANCIAL DOCUMENTS/CERTIFICATES ATTESTED BY PRACTICING CHARTERED ACCOUNTANTS
OBTAINED GST REGISTRATION CERTIFICATE OF THIRD PARTY VENDOR ONLY ON 05/01/2024 WHILE AS PER GST TAXPAYER DETAILS AVAILABLE ON GST WEBSITE, NATURE OF BUSINESS OF SAID ENTITY WAS TRADE-RETAILER/ RETAIL BUSINESS
SITE VISIT INSPECTION FOR THE THIRD-PARTY VENDOR WAS CARRIED OUT BY STOCK EXCHANGE AND FOUND THAT THE OFFICE WAS CLOSED AND THERE WAS NO ONE AVAILABLE AT THE SAID ADDRESS
|
DIRECTED SEBI TO MAKE DETAILED EXAMINATION INTO THE DISCLOSURES MADE BY TRAFIKSOL ITS TECHNOLOGIES LTD. IN DRHP FILED WITH BSE ON 30/05/2024 INCLUDING THE ISSUES IDENTIFIED IN THIS ORDER
DIRECTED BSE TO NOT TO PROCEED WITH LISTING OF SHARES OF THE COMPANY
DIRECTED BSE TO TAKE APPROPRIATE STEPS TO ENSURE THAT PROCEEDS FROM IPO OF TRAFIKSOL ITS TECHNOLOGIES LTD. ARE PLACED IN INTEREST-BEARING ESCROW ACCOUNT AND NO ACCESS TO THESE FUNDS TO BE GRANTED TO TRAFIKSOL ITS TECHNOLOGIES LTD. OR ITS AFFILIATES
DIRECTED SEBI TO COMPLETE THE INVESTIGATION WITHIN THIRTY DAYS FROM THE DATE OF THIS ORDER
DIRECTED TRAFIKSOL ITS TECHNOLOGIES LTD. AND EKADRISHT CAPITAL PVT.LTD. TO FULLY COOPERATE WITH EXAMINATION TO BE CONDUCTED BY SEBI
11-OCT-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/12/2024 ALLOWED EXEMPTION APPLICATION AND DIRECTED RESPONDENT NO 2 TO CONVEY ICICI BANK THAT NO DISBURSEMENT TO BE MADE TO INVESTORS TILL FURTHER ORDERS
|
| 207 |
|
|
TROUPE INTERNATIONAL LTD.
|
|
|
|
C.V.KAMANI
|
|
|
D.C.KAMANI
|
|
|
R.C.KAMANI
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 5.17 % SHARES/VOTING RIGHTS AND CONTROL OF RAJATH FINANCE LTD.
|
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
30-APR-2003
|
|
| 208 |
|
|
TUTIS TECHNOLOGIES LTD.
(PAN:AAACA7948L)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MINDVISION CAPITAL LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
07-APR-2020
|
|
| 209 |
|
|
UDDHAV KEJRIWAL (HUF)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SAST REGULATIONS, 2011 IN MATTER OF ELECTROSTEEL CASTING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
26-SEP-2019
|
|
| 210 |
|
|
UNICORN HOLDINGS PVT.LTD.
|
|
|
|
C.V.KAMANI
|
|
|
D.C.KAMANI
|
|
|
R.C.KAMANI
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 5.17 % SHARES/VOTING RIGHTS AND CONTROL OF RAJATH FINANCE LTD.
|
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
30-APR-2003
|
|
| 211 |
|
|
UNIVERSAL CREDIT & SECURITIES LTD.
(PAN:AAACU2627G)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) OF SEBI (SAST) REGULATIONS, 2011 IN MATTER OF INSTA FINANCE LTD. (FORMERLY SDFC FINANCE LTD.)
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-OCT-2019
|
|
| 212 |
|
|
UNNAO TRADING PVT.LTD.
(PAN:AAACU3544Q)
|
|
|
|
LALITA AGARWAL
PAN:ACLPA2107R
|
|
|
RISHIRAJ AGARWAL
PAN:AEQPA0755E
|
|
|
SANGEETA RISHIRAJ AGARWAL
PAN:ADAPA1962G
|
|
|
VATSAL AGARWAL
PAN:APOPA5772J
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GREMACH INFRASTRUCTURE EQUIPMENTS & PROJECTS LTD. (PRESENTLY KNOWN AS SANCIA GLOBAL INFRAPROJECTS LTD.)
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-FEB-2019 UNTIL DISCHARGE LIABILITY BY MAKING PUBLIC ANNOUNCEMENT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-FEB-2019 UNTIL DISCHARGE LIABILITY BY MAKING PUBLIC ANNOUNCEMENT
06-FEB-2019
|
|
| 213 |
|
|
UTKARSH AGRO MARKETING PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KWALITY CREDIT & LEASING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
04-MAR-2015
|
|
| 214 |
|
|
UTTAM COMMERCIAL CO.LTD.
(PAN:AAACU2823Q)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SAST REGULATIONS, 2011 IN MATTER OF ELECTROSTEEL CASTING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
26-SEP-2019
|
|
| 215 |
|
|
VAKRANGEE HOLDINGS PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) AND 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF VAKRANGEE LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
09-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 08/06/2021 PARTLY ALLOWED THE APPEAL BY SET ASIDING ORDER DATED 09/08/2018. DIRECTED APPELLANTS TO TRANSFER SALE PROCEEDS OF THE SHARES IN QUESTION DISPOSED AFTER ACQUISITION BY IT IN VIOLATION OF THE REGULATION WITH INTEREST @ 8% P.A. FROM DATE OF ACQUISITION OF SHARES TO THE EXTENT ACQUIRED IN VIOLATION OF THE REGULATIONS, WITHIN IN SIX WEEKS FROM DATE OF THE ORDER
SAT: SAT VIDE ITS ORDER DATED 12/07/2021 DISMISSED THE APPEAL
|
| 216 |
|
|
VARIABLE PLAZA PVT.LTD.
(PAN:AAACV8935A)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PH TRADING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
24-APR-2015
|
|
| 217 |
|
|
VARJU INVESTMENT PVT.LTD.
(PAN:AAACV7157L)
|
|
|
|
BABULAL GUMANMAL JAIN
PAN:ABNPJ1251A
|
|
|
DEVENDRA NATH BABULAL JAIN
PAN:ADTPJ4655Q
|
|
|
KARTIK B.JAIN
PAN:AEXPJ6838A
|
|
|
NEETU D.JAIN
|
|
|
PUSHPADEVI BABULAL JAIN
PAN:AAQPJ6966L
|
|
|
SHILPA B.JAIN
PAN:AEXPJ6837R
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 3(2) OF SEBI (SAST) REGULATIONS, 2011 IN MATTER OF NAKODA LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
08-JUL-2013
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 218 |
|
|
VAS EDUCOMP PVT.LTD.
(PAN:AABCV2889C)
|
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
|
MADHAV JAYESH VALIA
PAN:AENPV8401P
|
|
|
RAJ JAYESH VALIA
PAN:AENPV8400N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SAST REGULATIONS, 2011 IN MATTER OF VAS INFRASTRUCTURE LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
30-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 19/04/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/05/2021 ALLOWED APPELLANT THREE WEEKS FURTHER TIME TO FILE REJOINDER
|
| 219 |
|
|
VASANTH COLOR LABORATORIES LTD.
|
|
|
|
BINDIGANAVALE RANGA VASANTH KUMAR
|
|
|
VISHNU VASANTH
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11 (1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VISION ORGANICS LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
13-MAY-2015
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 220 |
|
|
VASPARR SHELTER LTD.
(PAN:AABCV2888D)
|
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
|
MADHAV JAYESH VALIA
PAN:AENPV8401P
|
|
|
RAJ JAYESH VALIA
PAN:AENPV8400N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SAST REGULATIONS, 2011 IN MATTER OF VAS INFRASTRUCTURE LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
30-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 19/04/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/05/2021 ALLOWED APPELLANT THREE WEEKS FURTHER TIME TO FILE REJOINDER
|
| 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 11 of 12
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