| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
UNITECH ADVISORS (INDIA) PVT.LTD.
(PAN:AACCC5880D)
|
|
|
|
ANIL HARISH
PAN:AAAPH8876M
|
|
|
DEEPAK BAJAJ
PAN:AJIPB3941N
|
|
|
MAHESH KUMAR SHARMA
PAN:AYYPS1602E
|
|
|
RAKESH DHINGRA
PAN:AAHPD6226A
|
|
|
S.K.MISRA
PAN:ADQPM3235L
|
|
|
VIJAY TULSHYAN
PAN:ACFPT5009H
|
|
DID NOT WIND UP SCHEMES AND DID NOT RETURN MONIES TO INVESTORS EVEN AFTER EXPIRY OF TENURE AS PER PRIVATE PLACEMENT MEMORANDUM
INVESTED CORPUS OF SCHEME IV IN ASSOCIATE COMPANIES
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT COMMUNICATE NAMES, DESIGNATION AND ADDRESSES (INCLUDING EMAIL ADDRESSES) OF ‘PRINCIPAL OFFICER’ AND ‘DESIGNATED DIRECTOR’, INCLUDING ANY CHANGES THEREIN TO THE OFFICE OF THE DIRECTOR-FIU
DID NOT CAPTURE KYC DETAILS OF CERTAIN CLIENTS IN ACCOUNT OPENING FORM AS SPECIFIED, VERIFIED/DOWNLOADED AND MAINTAINED CLIENTS DETAILS FROM THE SYSTEM OF KRA AND DID NOT OBTAIN REGISTRATION WITH KRA
DID NOT REPORT ON QUARTERLY BASIS AS PRESCRIBED ON VENTURE CAPITAL ACTIVITY ON SEBI PORTAL WITHIN SEVEN DAYS FROM THE END OF CALENDAR QUARTER FOR QUARTERS ENDING
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-DEC-2023 TO 28-DEC-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-DEC-2023 TO 28-DEC-2024
29-DEC-2023
|
|
| 242 |
|
|
UNITECH ADVISORS (INDIA) PVT.LTD.
(PAN:AACCC5880D)
|
|
|
|
DEEPAK BAJAJ
PAN:AJIPB3941N
|
|
DID NOT WIND UP SCHEMES AND DID NOT RETURN MONIES TO INVESTORS EVEN AFTER EXPIRY OF TENURE AS PER PRIVATE PLACEMENT MEMORANDUM
INVESTED CORPUS OF SCHEME IV IN ASSOCIATE COMPANIES
DID NOT REPORT ON QUARTERLY BASIS AS PRESCRIBED ON VENTURE CAPITAL ACTIVITY ON SEBI PORTAL WITHIN SEVEN DAYS FROM THE END OF CALENDAR QUARTER FOR QUARTERS ENDING
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT COMMUNICATE NAMES, DESIGNATION AND ADDRESSES (INCLUDING EMAIL ADDRESSES) OF ‘PRINCIPAL OFFICER’ AND ‘DESIGNATED DIRECTOR’, INCLUDING ANY CHANGES THEREIN TO THE OFFICE OF THE DIRECTOR-FIU
DID NOT CAPTURE KYC DETAILS OF CERTAIN CLIENTS IN ACCOUNT OPENING FORM AS SPECIFIED, VERIFIED/DOWNLOADED AND MAINTAINED CLIENTS DETAILS FROM THE SYSTEM OF KRA AND DID NOT OBTAIN REGISTRATION WITH KRA
|
DIRECTED TO ENSURE THAT THE SCHEME OF FUND WOUND UP BY PROVIDING EXIT TO ITS INVESTORS/UNIT HOLDERS
DIRECTED TO OBTAIN TWO SEPARATE VALUATIONS OF ALL REMAINING ASSETS OF SCHEME OF FUND FROM TWO INDEPENDENT AND/OR REGISTERED VALUERS
DIRECTED TO DETERMINE NAV OF THE SCHEME OF THE FUND BASED ON VALUATION REPORTS BY ADOPTING HIGHER OF VALUATION ARRIVED AT IN TWO VALUATION REPORTS
DIRECTED TO PROVIDE EXIT TO INVESTORS/UNIT HOLDERS FIRST BY OFFERING OPTION TO EXISTING INVESTORS/UNIT HOLDERS TO TAKE EXIT BY WAY OF IN SPECIE DISTRIBUTION OF INTEREST/RIGHTS/STAKES/SHARES, ETC. IN INVESTEE COMPANIES/PROJECTS
DIRECTED INVESTORS/UNIT HOLDERS WHO DO NOT EXERCISE THEIR OPTION FOR IN SPECIE DISTRIBUTION, TO BE GIVEN EXIT ON BASIS OF NAV DETERMINED AS PER DIRECTIONS
DIRECTED TO COMPLETE ENTIRE PROCESS OF WINDING UP OF SCHEME OF FUND AND PROVIDING EXIT TO INVESTORS/UNIT HOLDERS
DIRECTED TO FILE REPORT CERTIFIED BY CHARTERED ACCOUNTANT DECLARING THAT ALL THE INVESTORS OF SCHEME HAVE BEEN PROVIDED EXIT AND SCHEME OF FUND STANDS WOUND UP AND REPORT TO BE FILED WITHIN THREE WEEKS AFTER COMPLETION OF THE EXIT AND REPAYMENT TO INVESTORS/UNIT HOLDERS OF SCHEME
DIRECTED NOT TO TAKE NEW ASSIGNMENTS AS INVESTMENT MANAGER
RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-DEC-2023 TO 28-DEC-2025
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 29-DEC-2023 TO 28-DEC-2025
IMPOSED PENALTY RS.1,20,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 19/03/2024 DIRECTED RESPONDENT TO FILE REPLY INCLUDING ON STAY APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 02/04/2025 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED EXEMPTION APPLICATION
|
| 243 |
|
|
UNITECH ADVISORS (INDIA) PVT.LTD.
(PAN:AACCC5880D)
|
|
|
|
AJAY CHANDRA
PAN:AACPC5803F
|
|
|
HITENDER MALHOTRA
PAN:CDUPM8087L
|
|
|
MAHESH KUMAR SHARMA
PAN:AYYPS1602E
|
|
|
RAKESH DHINGRA
PAN:AAHPD6226A
|
|
|
RAMESH CHANDRA
PAN:AACPC5805D
|
|
|
SANJAY CHANDRA
DIN:02616117
PAN:AACPC5804C
|
|
|
VIJAY TULSHYAN
PAN:ACFPT5009H
|
|
DID NOT WIND UP SCHEMES AND DID NOT RETURN MONIES TO INVESTORS EVEN AFTER EXPIRY OF TENURE AS PER PRIVATE PLACEMENT MEMORANDUM
INVESTED CORPUS OF SCHEME IV IN ASSOCIATE COMPANIES
DID NOT REPORT ON QUARTERLY BASIS AS PRESCRIBED ON VENTURE CAPITAL ACTIVITY ON SEBI PORTAL WITHIN SEVEN DAYS FROM THE END OF CALENDAR QUARTER FOR QUARTERS ENDING
DID NOT PROVIDE INFORMATION TO SEBI
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT COMMUNICATE NAMES, DESIGNATION AND ADDRESSES (INCLUDING EMAIL ADDRESSES) OF ‘PRINCIPAL OFFICER’ AND ‘DESIGNATED DIRECTOR’, INCLUDING ANY CHANGES THEREIN TO THE OFFICE OF THE DIRECTOR-FIU
DID NOT CAPTURE KYC DETAILS OF CERTAIN CLIENTS IN ACCOUNT OPENING FORM AS SPECIFIED, VERIFIED/DOWNLOADED AND MAINTAINED CLIENTS DETAILS FROM THE SYSTEM OF KRA AND DID NOT OBTAIN REGISTRATION WITH KRA
|
DIRECTED TO ENSURE THAT THE SCHEME OF FUND WOUND UP BY PROVIDING EXIT TO ITS INVESTORS/UNIT HOLDERS
DIRECTED TO OBTAIN TWO SEPARATE VALUATIONS OF ALL REMAINING ASSETS OF SCHEME OF FUND FROM TWO INDEPENDENT AND/OR REGISTERED VALUERS
DIRECTED TO DETERMINE NAV OF THE SCHEME OF THE FUND BASED ON VALUATION REPORTS BY ADOPTING HIGHER OF VALUATION ARRIVED AT IN TWO VALUATION REPORTS
DIRECTED TO PROVIDE EXIT TO INVESTORS/UNIT HOLDERS FIRST BY OFFERING OPTION TO EXISTING INVESTORS/UNIT HOLDERS TO TAKE EXIT BY WAY OF IN SPECIE DISTRIBUTION OF INTEREST/RIGHTS/STAKES/SHARES, ETC. IN INVESTEE COMPANIES/PROJECTS
DIRECTED INVESTORS/UNIT HOLDERS WHO DO NOT EXERCISE THEIR OPTION FOR IN SPECIE DISTRIBUTION, TO BE GIVEN EXIT ON BASIS OF NAV DETERMINED AS PER DIRECTIONS
DIRECTED TO COMPLETE ENTIRE PROCESS OF WINDING UP OF SCHEME OF FUND AND PROVIDING EXIT TO INVESTORS/UNIT HOLDERS
DIRECTED TO FILE REPORT CERTIFIED BY CHARTERED ACCOUNTANT DECLARING THAT ALL THE INVESTORS OF SCHEME HAVE BEEN PROVIDED EXIT AND SCHEME OF FUND STANDS WOUND UP AND REPORT TO BE FILED WITHIN THREE WEEKS AFTER COMPLETION OF THE EXIT AND REPAYMENT TO INVESTORS/UNIT HOLDERS OF SCHEME
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-DEC-2023 TILL THE COMPLETION OF WINDING UP THE SCHEMES
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-DEC-2023 TILL THE COMPLETION OF WINDING UP THE SCHEMES
29-DEC-2023
|
|
| 244 |
|
|
UNITECH LTD.
(CIN:L74899DL1971PLC009720
PAN:AAACU1482H)
|
|
|
DID NOT PROVIDE COMPLAINANT A COPY OF STATEMENT ON IMPACT OF AUDIT QUALIFICATIONS OF COMPANY FOR FY 2015-16 VIOLATING REGULATION 13(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DID NOT SUBMIT STATEMENT ON IMPACT OF AUDIT QUALIFICATIONS OF COMPANY FOR FY 2015-16 VIOLATING REGULATIONS 33(3(D)) READ WITH 34(2) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DID NOT FURNISH INFORMATION TO SEBI BY NOT FILING ATR UNDER SCORES WITHIN 30 DAYS OF DATE OF RECEIPT OF INVESTOR GRIEVANCE VIOLATING CLAUSE 13 OF SEBI CIRCULAR NO. CIR/OIAE/1/2014 DATED 18/12/2014
|
IMPOSED PENALTY RS.6,00,000
28-MAR-2019
|
|
| 245 |
|
|
VARDHAMAN WIRES & POLYMERS LTD.
(CIN:L31300GJ1991PLC015174)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
IMPOSED PENALTY RS.1,00,000
25-OCT-2019
|
SEBI VIDE ITS NOTICE DATED 04/08/2022 DIRECTED TO PAY RS.1,34,337.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 12/12/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.5283 OF 2022 DATED 04/08/2022
|
| 246 |
|
|
VIBGYOR ALLIED INFRASTRUCTURE LTD.
(PAN:AACCV5843R)
|
|
|
|
RABINDRA NATH DEY
DIN:00646404
PAN:ADEPD0040N
|
|
|
RAJA BHADRA
PAN:AGVPB3263D
|
|
|
RANA BHADRA
PAN:AIDPB1831B
|
|
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
31-OCT-2018
|
SEBI VIDE ITS NOTICE DATED 01/11/2019 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
SAT: SAT VIDE ITS ORDER DATED 01/02/2022 DISMISSED THE APPEAL.NO COSTS
|
| 247 |
|
|
VINAMRA UNIVERSAL TRADERS PVT.LTD.
(PAN:AACCV5090J)
|
|
|
TOOK SEPARATE POSITION LIMITS OF OPEN INTEREST ON ITS BEHALF BY EXECUTING SEPARATE AGREEMENTS WITH EACH OF THEM AND CORNERED 93.63% OF NOVEMBER FUTURES OF RELIANCE PETROLEUM LTD. VIOLATING SECTION 12A OF SEBI ACT, 1992 READ WITH REGULATIONS 3, 4(1) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003
VIOLATED SEBI CIRCULAR NO. SMDRP/DC/CIR-10/01 DATED 02/11/2001 AND NSE CIRCULAR NO. NSE/CMPT/2982 DATED 07/11/2001 IN MATTER OF RELIANCE PETROLEUM LTD.
|
PROHIBITED FROM DEALING IN EQUITY DERIVATIVES IN F&O SEGMENT OF STOCK EXCHANGES, DIRECTLY OR INDIRECTLY FROM 24-MAR-2017 TO 23-MAR-2018
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
24-MAR-2017
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 DISMISSED THE APPEAL WITH NO ORDER AS TO COSTS
|
| 248 |
|
|
VISTRA ITCL (INDIA) LTD.
(PAN:AAACI6832K)
|
|
|
STARTED CARRYING OUT ACTIVITIES ASSOCIATED WITH TRUSTEESHIP PRIOR TO EXECUTION OF WRITTEN AGREEMENT VIZ. DEBENTURE TRUSTEE AGREEMENT VIOLATING REGULATION 13(A) OF SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993
ISSUED DUE DILIGENCE CERTIFICATE WHICH WAS ALLEGEDLY COMPROMISED INDEPENDENCE OF DUE DILIGENCE EXERCISED BY DEBENTURE TRUSTEE VIOLATING REGULATIONS 13(A) AND 15(6) OF SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993 AND CLAUSE 4 OF CODE OF CONDUCT OF SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993 AND CLAUSE B(6) OF SEBI CIRCULAR NO.SEBI/HO/MIRSD/CRADT/CIR/P/2020/218 DATED 03/11/2020
DID NOT CARRYOUT DUE DILIGENCE INDEPENDENTLY AND INFLUENCED BY ISSUER FOR PREPARATION OF ASSET COVER CERTIFICATE VIOLATING REGULATIONS 15(1)(T) AND 15(1)(S) OF SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993 AND CLAUSE B(6) OF SEBI CIRCULAR NO.SEBI/HO/MIRSD/CRADT/CIR/P/2020/218 DATED 03/11/2020
DID NOT ASCERTAIN STATUS OF PAYMENT OF INTEREST/PRINCIPAL FROM INDEPENDENT SOURCES ON TIMELY BASIS VIOLATING CLAUSE 2 OF SEBI CIRCULAR NO.SEBI/HO/MIRSD/MIRSD3/CIR/P/2017/72 DATED 30/06/2017 AND CLAUSES 1, 3 AND 4 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 16 OF SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993
DID NOT UPDATE DEFAULT HISTORY OF ISSUER NAMED BLUE HORIZON HOTELS PVT.LTD. FOR INTEREST DUE DATES OF 31/10/2020 TO 31/12/2020 AND 30/06/2021 IN CENTRALIZED DATABASE FOR CORPORATE BONDS/DEBENTURES VIOLATING CLAUSE C OF ANNEXURE-I OF SEBI CIRCULAR NO.CIR/IMD/DF/17/2013 22/10/2013 AND CLAUSE-10 OF ANNEXURE-III OF SEBI CIRCULAR NO.SEBI/HO /DDHS/DDHS1/P/CIR/2021/572 DATED 04/06/2021 AND CLAUSE 2.5 OF CHAPTER XIV OF SEBI CIRCULAR NO.SEBI/HO/DDHS/P/CIR/2021/613 DATED 10/08/2021
|
IMPOSED PENALTY RS.6,00,000
22-AUG-2024
|
|
| 249 |
|
|
VIVID GLOBAL INDUSTRIES LTD.
(CIN:L24100MH1987PLC043911)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,00,000
28-SEP-2018
|
|
| 250 |
|
|
VKJ INFRADEVELOPERS LTD.
(CIN:L45400DL2010PLC200014)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,50,000
30-OCT-2018
|
SEBI VIDE ITS NOTICE DATED 18/01/2024 DIRECTED TO PAY RS.2,47,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/02/2024 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
|
| 251 |
|
|
W H BRADY & CO.LTD.
(Along with : BRADY & MORRIS ENGINEERING CO.LTD.)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 252 |
|
|
WASANKAR INVESTMENTS
(PAN:AAIPW1864A)
|
|
|
|
ABHIJEET JAYANT CHAUDHARI
PAN:AIUPC8611M
|
|
|
BHAGYASHREE PRASHANT WASANKAR
PAN:AALPW3274H
|
|
|
MITHILA VINAY WASANKAR
DIN:02772484
PAN:ANFPM0123J
|
|
|
VINAY JAIDEV WASANKAR
PAN:AALPW3215A
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DEALT WITH OTHER STOCK BROKERS FOR PROPRIETARY TRADING WITHOUT OBTAINING PRIOR PERMISSION FROM STOCK EXCHANGES VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 DATED 13/01/2004
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 21-SEP-2022 TO 20-MAR-2023
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
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 21-SEP-2022 TO 20-MAR-2023
27-AUG-2014
|
|
| 253 |
|
|
WASANKAR WEALTH MANAGEMENT LTD.
(PAN:AAACW8073C)
|
|
|
|
ABHIJEET JAYANT CHAUDHARI
PAN:AIUPC8611M
|
|
|
BHAGYASHREE PRASHANT WASANKAR
PAN:AALPW3274H
|
|
|
MITHILA VINAY WASANKAR
DIN:02772484
PAN:ANFPM0123J
|
|
|
PRASHANT JAIDEV WASANKAR
DIN:02222183
PAN:AAIPW1864A
|
|
|
VINAY JAIDEV WASANKAR
PAN:AALPW3215A
|
|
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES FOR REFUND AND REFUND RELATED DIRECTIVES/INSTRUCTIONS/GUIDELINES AND DID NOT SUBMIT INFORMATION AS PER DIRECTIVES/INSTRUCTIONS/GUIDELINES VIDE SEBI ORDER DATED 18/05/2015
|
IMPOSED PENALTY RS.1,00,00,000
19-MAR-2018
|
|
| 254 |
|
|
WASANKAR WEALTH MANAGEMENT LTD.
(PAN:AAACW8073C)
|
|
|
|
ABHIJEET JAYANT CHAUDHARI
PAN:AIUPC8611M
|
|
|
BHAGYASHREE PRASHANT WASANKAR
PAN:AALPW3274H
|
|
|
MITHILA VINAY WASANKAR
DIN:02772484
PAN:ANFPM0123J
|
|
|
VINAY JAIDEV WASANKAR
PAN:AALPW3215A
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DEALT WITH OTHER STOCK BROKERS FOR PROPRIETARY TRADING WITHOUT OBTAINING PRIOR PERMISSION FROM STOCK EXCHANGES VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/CIR-06/2004 DATED 13/01/2004
|
DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 21-SEP-2022 TO 20-MAR-2023
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET
DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES
PROHIBITED FROM TRANSFERRING FUNDS / DEPOSITS MOBILISED FROM THE CLIENTS OR OTHER INVESTORS OR FROM DISPOSING OF OR ALIENATING ANY ASSET THAT HAS BEEN CREATED FROM THE FUNDS/DEPOSITS RECEIVED FROM THEIR CLIENTS OR OTHER INVESTORS
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
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 21-SEP-2022 TO 20-MAR-2023
27-AUG-2014
|
|
| 255 |
|
|
WEALTHIT GLOBAL
(PAN:CXGPM4395H)
|
|
|
|
MOHIT MANGHNANI
PAN:CXGPM4395H
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT RENEW NISM REGISTRATION
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT REDRESS INVESTOR COMPLAINTS
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DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-OCT-2023 TO 19-OCT-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-OCT-2023 TO 19-OCT-2028
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 20-OCT-2023 TO 19-OCT-2028
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-OCT-2023
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SEBI VIDE ITS NOTICE DATED 05/02/2025 DIRECTED TO PAY RS.35,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 05/02/2025 DIRECTED TO PAY RS.8,54,24,836.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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| 256 |
|
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WELL PACK PAPERS & CONTAINERS LTD.
(CIN:L17119GJ1994PLC023307)
|
|
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DID NOT SUBMIT AUDIT REPORT IN RESPECT OF RECORDS & SYSTEMS OF SHAREPRO AND DID NOT SHIFT OPERATION RELATED TO RTA FROM SHAREPRO
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IMPOSED PENALTY
21-DEC-2018
|
|
| 257 |
|
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ZEN SECURITIES LTD.
|
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ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI CIRCULAR NO.MIRSD/SE/CIR-19/2009 DATED 03/12/2009
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 VIDE CONSENT ORDER)
22-MAY-2017
|
|
| 258 |
|
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ZILLION PHARMA CHEM LTD.
(CIN:L24231GJ1992PLC017496)
|
|
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DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
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IMPOSED PENALTY RS.5,00,000
25-OCT-2019
|
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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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| Page 13 of 13
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