| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
BANK OF BARODA
(PAN:AAACB1534F)
|
|
|
SPONSORED MORE THAN ONE MUTUAL FUND AND HOLD MORE THAN 10% SHAREHOLDING IN MORE THAN ONE AMC AND TRUSTEE COMPANY VIOLATING REGULATION 7B OF SEBI (MF) REGULATIONS, 1996
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/01/2021 PARTLY ALLOWED THE APPEAL BY SUBSTITUTING PENALTY OF RS.10 LACS TO WARNING. NO COSTS
|
| 22 |
|
|
BHAIJEE COMMODITIES PVT.LTD.
(PAN:AAACB8905G)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-OCT-2026
09-SEP-2026
|
|
| 23 |
|
|
BHARAT BHUSAN FINANCE & COMMODITY BROKERS LTD.
(PAN:AAACB0554H)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 24 |
|
|
BIRLA SUN LIFE ASSET MANAGEMENT CO.LTD.
|
|
|
|
A.BALASUBRAMANIAN
|
|
DID NOT ADHERE TO ALL PROVISIONS OF THE DIRECTIVES/INSTRUCTIONS/GUIDELINES, CIRCULARS IN MATTER OF ADVERTISEMENT THROUGH NEWSPAPERS AND HOARDINGS AS REQUIRED UNDER REGULATION 25(6A) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-FEB-2010
|
|
| 25 |
|
|
BLUE CREST COMMODITIES PVT.LTD.
(PAN:AADCB0142L)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,30,332 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 26 |
|
|
BOEING INVESTMENTS PVT.LTD.
|
|
|
|
ASHOK KUMAR CHATURVEDI
|
|
INDULGED IN CREATION OF SYNCHRONIZED TRANSACTIONS IN SCRIP OF FLEX INDUSTRIES LTD. (NOW KNOWN AS UFLEX LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-JAN-2009
|
|
| 27 |
|
|
BONANZA COMMODITY BROKERS PVT.LTD.
(PAN:AACCB1987C)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-OCT-2026
09-SEP-2026
|
|
| 28 |
|
|
CAPVISION INVESTMENT ADVISOR
(PAN:AAJFC0782A)
|
|
|
|
REKHA MISHRA
PAN:CFQPM0385H
|
|
ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-FEB-2023
|
|
| 29 |
|
|
CARDINAL CAPITAL PARTNERS
|
|
|
INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF FARMAX VIOLATING SECTIONS 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 FARMAX INDIA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 21/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 30 |
|
|
CARDINAL CAPITAL PARTNERS
|
|
|
INDULGED IN FRAUDULENT SCHEME WITHOUT PAYING REAL CONSIDERATION TO TRANSFERRED AND RECEIVED GDRS VIOLATING SECTIONS 12A(A) OF SEBI ACT. 1992 AND REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TELEDATA TECHNOLOGY SOLUTIONS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-AUG-2021
|
|
| 31 |
|
|
CARDINAL CAPITAL PARTNERS LTD.
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(A), 4(2)(C) AND 4(2)(E) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
VIOLATED REGULATION 13A(1) OF FII REGULATIONS READ WITH CLAUSES 1,2,8 AND 10 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 7A OF FII REGULATIONS IN MATTER OF GDR ISSUES IN ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 32 |
|
|
CHROMATIC INDIA LTD.
(PAN:AAACC6220B)
|
|
|
|
VIPIN SHARMA
PAN:ABHPS7947N
|
|
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES ABOUT SUBSCRIPTION OF GDR ISSUE VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF CHROMATIC INDIA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-SEP-2019
|
|
| 33 |
|
|
CIL COMMODITIES PVT.LTD.
(PAN:AAACC8186G)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,40,081 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 34 |
|
|
CNB COMMODITIES PVT.LTD.
(PAN:AACCC2440D)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,05,788 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 35 |
|
|
COMTRADE COMMODITIES SERVICES LTD.
(PAN:AABCA2781N)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,61,261 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 36 |
|
|
CREDO CAPITAL PLC.
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(A), 4(2)(C) AND 4(2)(E) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
VIOLATED REGULATION 13A(1) OF FII REGULATIONS READ WITH CLAUSES 1,2,8 AND 10 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 7A OF FII REGULATIONS IN MATTER OF GDR ISSUES IN ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 37 |
|
|
DAGA COMMODITIES PVT.LTD.
(PAN:AABCS5420N)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 38 |
|
|
DALMIA PRAMOD KUMAR (HUF)
(PAN:AABHD3494G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 39 |
|
|
DELICIOUS DIAMONDS PVT.LTD.
(CIN:U51909DL2011PTC227534
PAN:AAECD0600N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF RAM MINERALS & CHEMICALS LTD. (FORMERLY KNOWN AS IVCL CHEMICALS LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
04-JUN-2019
|
|
| 40 |
|
|
DHANLAXMI COTEX LTD.
(PAN:AABCD2387H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
21-APR-2015
|
|
| 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 2 of 8
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