| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 221 |
|
SMS TECHSOFT (INDIA) LTD.
(CIN:L72200TZ1995PLC006017
PAN:AAECA1954G)
|
|
|
|
AKASH JAGADISH VITAL
PAN:ATYPA8648K
|
|
|
ANITA SRINIVASABHATT KADANTHALAI
PAN:ABUPA2184Q
|
|
|
RAJESH MANGILAL RANKA
PAN:ACUPR5573R
|
|
DID NOT DEPOSIT RS.6,00,11,512.00 IN ESCROW ACCOUNT AS DIRECTED BY SEBI VIDE ITS INTERIM ORDER DATED 05/11/2013 IN MATTER OF SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 28/04/2022 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 21/12/2022 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 28/04/2022
|
| 222 |
|
|
SPANDANA SPHOORTY FINANCIAL LTD.
(PAN:AAICS6213N)
|
|
|
ALLEGED THAT STATUTORY AUDITOR S.R.BATLIBOI & CO.LLP HAD RESIGNED WITHOUT ISSUING LIMITED REVIEW/AUDIT REPORTS AS THEY WERE INELIGIBLE TO CONTINUE AS STATUTORY AUDITORS VIOLATING PARA 6(A) OF SEBI CIRCULAR NO.CIR/CFD/CMD1/114/29 DATED 18/10/2019
ALLEGED THAT STATUTORY AUDITOR S.R.BATLIBOI & CO.LLP HAD RESIGNED WITHOUT ISSUING LIMITED REVIEW/AUDIT REPORTS AS THEY WERE INELIGIBLE TO CONTINUE AS STATUTORY AUDITORS VIOLATING REGULATIONS 18(3), 30(2) AND 36(5) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)
25-OCT-2022
|
|
| 223 |
|
|
SPNJ LAND PROJECT & DEVELOPERS INDIA LTD.
(CIN:U45201CT2009PLC021412
PAN:AANCS5416Q)
|
|
|
|
DOLLY BANERJEE
DIN:05105803
PAN:ANLPB5867A
|
|
|
MAUSAMI BANERJEE
DIN:03440442
PAN:AUZPB0556H
|
|
|
RAJ KUMAR BANERJEE
PAN:ANLPB5866B
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE INTERIM ORDER DATED 17/09/2014 VIDE WHICH IT WAS DIRECTED NOT TO MOBILIZE ANY MONEY FROM THE INVESTORS INCLUDING UNDER EXISTING SCHEME
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SEBI VIDE ITS ORDER DATED 13/12/2023 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 18/03/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.86,51,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 224 |
|
|
SREI ALTERNATIVE INVESTMENT MANAGERS LTD.
(PAN:AAGCS5232F)
|
|
|
INVESTED MORE THAN 25% OF TOTAL INVESTIBLE FUNDS COLLECTED FROM INVESTORS IN A SINGLE INVESTEE COMPANY VIOLATING REGULATION 15(1) (C) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
DID NOT MAINTAIN SPECIFIED CONTINUING INTEREST VIOLATING REGULATION 10(D) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
DIT NOT COMPLY WITH INVESTMENT COMMITTEE’S DECISION AND DID NOT FOLLOW INVESTMENT STRATEGY SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM (PPM) VIOLATING SEBI CIRCULAR NO.CIR/IMD/DF/7/2/2015 DATED 01/10/2015
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-NOV-2017
|
SAT: SAT VIDE ITS ORDER DATED 04/05/2018 GRANTED APPROVAL UNDER REGULATION 16(2) OF SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATION, 2014 FOR SETTLEMENT OF PROCEEDINGS. NO COSTS
|
| 225 |
|
|
SREI MULTIPLE ASSET INVESTMENT TRUST
(PAN:AANTS4505M)
|
|
|
INVESTED MORE THAN 25% OF TOTAL INVESTIBLE FUNDS COLLECTED FROM INVESTORS IN A SINGLE INVESTEE COMPANY VIOLATING REGULATION 15(1) (C) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
DID NOT MAINTAIN SPECIFIED CONTINUING INTEREST VIOLATING REGULATION 10(D) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
DIT NOT COMPLY WITH INVESTMENT COMMITTEE’S DECISION AND DID NOT FOLLOW INVESTMENT STRATEGY SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM (PPM) VIOLATING SEBI CIRCULAR NO.CIR/IMD/DF/7/2/2015 DATED 01/10/2015
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-NOV-2017
|
SAT: SAT VIDE ITS ORDER DATED 04/05/2018 GRANTED APPROVAL UNDER REGULATION 16(2) OF SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATION, 2014 FOR SETTLEMENT OF PROCEEDINGS. NO COSTS
|
| 226 |
|
|
SRU STEELS LTD.
(PAN:AAGCS1193M)
|
|
|
DID NOT CHOOSE ONE OF STOCK EXCHANGE HAVING NATIONWIDE TRADING TERMINALS AS DESIGNATED STOCK EXCHANGE FOR PURPOSE OF COORDINATING WITH SEBI
|
IMPOSED PENALTY RS.1,00,000
30-NOV-2023
|
|
| 227 |
|
|
STANDARD CHARTISTS
(PAN:EWEPB1991R)
|
|
|
|
HEET MANISH BAFNA (AKA.HEET MANISH BAPNA)
PAN:EWEPB1991R
|
|
|
HEET MANISH BAPNA (AKA.HEET MANISH BAFNA)
PAN:EWEPB1991R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.2,50,000 ALONG WITH OTHER ENTITIES/PERSONS
26-MAR-2024
|
SEBI VIDE ITS NOTICE DATED 29/08/2024 DIRECTED TO PAY RS.5,31,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/09/2024 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
|
| 228 |
|
|
STAR INDIA MARKET RESEARCH
(PAN:AJZPL7369K)
|
|
|
|
DHARMENDRA KUMAR LODHI
PAN:AJZPL7369K
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT CARRY OUT RISK PROFILING OF CLIENTS
DID NOT ENSURE SUITABILITY ADVICE PROVIDE TO CLIENTS
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
LEADING QUESTIONS IN QUESTIONNAIRE FOR RISK PROFILING
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
OFFERED PRODUCTS/SERVICES WITHOUT ASSESSING APPROPRIATE RISK BEARING CAPACITY OF THE CLIENTS
SOLD HNI SERVICES TO NON-HNI CLIENTS
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
CHARGED SERVICE FEES DISPROPORTIONATE TO ANNUAL INCOME/PROPOSED INVESTMENT
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT RENDER SERVICE EVEN AFTER RECEIPT OF FEES
OBTAINED REGISTRATION FROM SEBI AS AN INVESTMENT ADVISER BY SUBMITTING INCORRECT INFORMATION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH REQUISITE INFORMATION TO SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
29-DEC-2023
|
|
| 229 |
|
|
STAR INDIA MARKET RESEARCH
(PAN:AJZPL7369K)
|
|
|
|
DHARMENDRA KUMAR LODHI
PAN:AJZPL7369K
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
DID NOT CARRY OUT RISK PROFILING OF CLIENTS
DID NOT ENSURE SUITABILITY ADVICE PROVIDE TO CLIENTS
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
LEADING QUESTIONS IN QUESTIONNAIRE FOR RISK PROFILING
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
OFFERED PRODUCTS/SERVICES WITHOUT ASSESSING APPROPRIATE RISK BEARING CAPACITY OF THE CLIENTS
SOLD HNI SERVICES TO NON-HNI CLIENTS
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
CHARGED SERVICE FEES DISPROPORTIONATE TO ANNUAL INCOME/PROPOSED INVESTMENT
CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS
DID NOT RENDER SERVICE EVEN AFTER RECEIPT OF FEES
OBTAINED REGISTRATION FROM SEBI AS AN INVESTMENT ADVISER BY SUBMITTING INCORRECT INFORMATION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH REQUISITE INFORMATION TO SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-AUG-2023
|
|
| 230 |
|
|
STUPENDORS TRADERS PVT.LTD.
(PAN:AADCS7524F)
|
|
|
|
PRATIVA KOTHARI
PAN:AWCPK5030E
|
|
|
VICKY KOTHARI
PAN:AKQPK4594D
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 20/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 20/10/2022 DIRECTED TO PAY RS.53,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 231 |
|
|
SUBH TEX (INDIA) LTD.
(PAN:AABCS3969E)
|
|
|
DID NOT SUBMIT AUDIT REPORT IN RESPECT OF RECORDS & SYSTEMS OF SHAREPRO AND DID NOT SHIFT OPERATION RELATED TO RTA FROM SHAREPRO
|
IMPOSED PENALTY RS.3,00,000
28-NOV-2018
|
|
| 232 |
|
|
SUMANGAL INDUSTRIES LTD.
(CIN:U70100WB2010PLC150956
PAN:AAPCS1196R)
|
|
|
|
ASTICK KUMAR ROY
|
|
|
DEBIKA ADHIKARY
|
|
|
GOPAL CHANDRA ADHIKARY
PAN:ACWPA7524R
|
|
|
INDUSHEKHAR CHAKRABOTY
DIN:03578355
PAN:ARLPC7486N
|
|
|
MADHUMITA ADHIKARY
PAN:ANNPA0414E
|
|
|
SAJAL BHATTACHARYA
|
|
|
SARBANI ADHIKARY
|
|
|
SOMNATH ADHIKARY
PAN:AIHPA8279L
|
|
|
SUBRATA ADHIKARY
PAN:AFCPA5220R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-SEP-2018
|
SEBI VIDE ITS NOTICE DATED 05/09/2022 DIRECTED TO PAY RS.1,49,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 07/09/2022 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
|
| 233 |
|
|
SUNSHINE INFRABUILD CORP.LTD.
(CIN:U45400DL2008PLC183645
PAN:AAMCS9355B)
|
|
|
|
DHARM SINGH KUSHWAH
DIN:02656013
PAN:ASCPK7713Q
|
|
|
MUKESH SINGH
DIN:03410478
PAN:CCBPS5904G
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-AUG-2018
|
SEBI VIDE ITS NOTICE DATED 06/03/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 ORDER DATED 26/07/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF SUNSHINE INFRABUILD CORP.LTD., MR.DHARM SINGH KUSHWAH AND MR.MUKESH SINGH JOINTLY AND SEVERALLY TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 234 |
|
|
SUNSHINE INFRABUILD CORP.LTD.
(CIN:U45400DL2008PLC183645
PAN:AAMCS9355B)
|
|
|
|
BANWARI LAL BAGHEL
DIN:01750579
PAN:AMUPB0580E
|
|
|
DHARM SINGH KUSHWAH
DIN:02656013
PAN:ASCPK7713Q
|
|
|
MUKESH SINGH
DIN:03410478
PAN:CCBPS5904G
|
|
|
SURENDRA SINGH BAGHEL
PAN:AQDPB0485F
DIN:02604750
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JUL-2022
|
|
| 235 |
|
|
T.M.INVESTMENTS LTD.
(PAN:AABCT0548G)
|
|
|
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
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING 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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 236 |
|
|
T.M.INVESTMENTS LTD.
(PAN:AABCT0548G)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING 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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 237 |
|
|
TAITAN MANAGEMENT SERVICES PVT.LTD.
(PAN:AACCT2473R)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MURLI INDUSTRIES LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.11,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
|
| 238 |
|
|
TECHNOJET CONSULTANTS LTD.
(CIN:L74210MH1982PLC027651)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,00,000
27-SEP-2018
|
SAT: SAT VIDE ITS ORDER DATED 21/01/2020 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 22/03/2016. NO COSTS
|
| 239 |
|
|
TOP TELEMEDIA LTD.
|
|
|
|
DEEP KUMAR BHANUPRASAD TRIVEDI
PAN:ABVPT2409C
|
|
|
INDERJEET SINGH VAGHELA LAKHAJI
PAN:ABUPV6306R
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ITS ORDER DATED 10/08/2012
|
IMPOSED PENALTY RS.50,00,000
06-JUN-2016
|
SAT: SAT VIDE ITS ORDER DATED 06/04/2018 REDUCED PENALTY AMOUNT TO RS.50 LACS FROM RS.1.10 CRORE IMPOSED VIDE IMPUGNED ORDER DATED 06/06/2016. NO COSTS
|
| 240 |
|
|
TRANSMISSION CORP.OF ANDHRA PRADESH LTD.
(PAN:AABCT0088P)
|
|
|
DID NOT SUBMIT FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT ANNUAL REPORT TO STOCK EXCHANGES VIOLATING REGULATION 53(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT ANNUAL REPORT ALONG WITH COPY OF CERTIFICATE FROM AUDITORS IN RESPECT OF UTILIZATION OF FUNDS TO DEBENTURE TRUSTEE VIOLATING REGULATION 56(1)(A) OF SEBI (LODR) REGULATIONS, 2015
DID NOT INTIMATE DEFAULT IN TIMELY PAYMENT OF INTEREST AND REDEMPTION TO DEBENTURE TRUSTEE VIOLATING REGULATIONS 56(1)(C)(II) OF SEBI (LODR) REGULATIONS, 2015
DID NOT CREATE AND/OR MAINTAIN RECOVERY EXPENSE FUND VIOLATING SEBI CIRCULAR NO.SEBI/HO/MIRSD/CRADT/CIR/P/2020/207 DATED 22/10/2020
|
IMPOSED PENALTY RS.1,00,000
17-NOV-2022
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 12 of 13
|
