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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

COMPANIES: INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person OUDH FINANCE & INVESTMENTS PVT.LTD.

(PAN:AAACO3597K)  
  INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET   DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 21-SEP-2011 TO 20-SEP-2016

DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES

DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-SEP-2011 TO 20-SEP-2016

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-SEP-2011 TO 20-SEP-2016

21-SEP-2011 		SEBI VIDE ITS ORDER DATED 25/04/2012 MODIFIED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/09/2011 TO THE LIMITED EXTENT BY ALLOWING TO SELL SECURITIES HELD IN ITS DEPOSITORY ACCOUNTS AND DEPOSIT THE SALE PROCEEDS IN BANK FIXED DEPOSIT EARNING INTEREST. FURTHER IT SHALL NOT BE ALLOWED TO WITHDRAW ANY MONIES INCLUDING INTEREST THEREON WITHOUT PRIOR PERMISSION OF SEBI

SAT: SAT VIDE ITS ORDER DATED 08/04/2014 DIRECTED SEBI TO ISSUE A SHOW CAUSE NOTICE TO APPELLANT WITHIN A PERIOD OF FOUR WEEKS FROM DATE OF THIS ORDER AND APPELLANT SHALL FILE THEIR REPLY WITH A PERIOD OF FOUR WEEKS OF RECEIVING THE SHOW CAUSE NOTICE. DIRECTED SEBI TO PASS FINAL ORDER WITHIN A PERIOD OF THREE MONTHS FROM THE DATE OF RECEIVING REPLY TO SHOW CAUSE NOTICE  
22
History of entity/person PAN ASIA ADVISORS LTD.  
Click here to view complete history of this specific entity/person ARUN RAMSWAROOP PANCHARIYA

PAN:AEVPP6125N
  		INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET   BARRED FROM RENDERING SERVICES IN CONNECTION WITH INSTRUMENTS THAT ARE DEFINED AS SECURITIES (AS IN SECTION 2 (H) OF SCRA ACT, 1956) IN INDIAN MARKET OR IN ANY WAY DEALING WITH THEM

DIRECTED THAT NONE OF THE INTERMEDIARIES REGISTERED WITH SEBI SHALL DEAL WITH PAN ASIA ADVISORS LTD.AND MR.ARUN PANCHARIA IN ANY CAPACITY WITH REGARD TO OR IN CONNECTION WITH DEALING OF SECURITIES AS DEFINED IN INDIAN MARKET

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2013 TO 20-OCT-2021

21-SEP-2011 		DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 21/09/2011 CONFIRMED

SAT: SAT VIDE ITS ORDER DATED 09/11/2011 DIRECTED SEBI TO AFFORD AN OPPORTUNITY OF HEARING WITHIN A WEEK THEREAFTER AND THEN PASS FINAL ORDER WITHIN TWO WEEKS  
23
History of entity/person SOPHIA GROWTH

(PAN:AABCI9518D)  
  INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET   DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 21-SEP-2011 TILL FURTHER ORDERS

DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES

DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

21-SEP-2011 		SEBI VIDE ITS ORDER DATED 17/05/2012 MODIFIED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/09/2011 TO THE LIMITED EXTENT BY ALLOWING TO SELL SECURITIES HELD IN ITS DEPOSITORY ACCOUNTS AND DEPOSIT THE SALE PROCEEDS IN BANK FIXED DEPOSIT EARNING INTEREST. FURTHER IT SHALL NOT BE ALLOWED TO WITHDRAW ANY MONIES INCLUDING INTEREST THEREON WITHOUT PRIOR PERMISSION OF SEBI

SEBI VIDE ITS ORDER DATED 05/05/2017 REVOKED THE DIRECTIONS ISSUED VIDE INTERIM ORDER AS MODIFIED VIDE ORDER DATED 17/05/2012 WITH IMMEDIATE EFFECT  
24
History of entity/person SV ENTERPRISES

(PAN:ACRPP5552H)  
Click here to view complete history of this specific entity/person SARFARAZKHAN SARVARKHAN PATHAN

PAN:ACRPP5552H
  		INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET

DID NOT CO-OPERATE WITH SEBI IN INSPECTION   		DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 21-SEP-2011 TO 20-SEP-2016

DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES

DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-SEP-2011 TO 20-SEP-2016

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-SEP-2011 TO 20-SEP-2016

21-SEP-2011 		SEBI VIDE ITS ORDER DATED 19/09/2014 PROHIBITED NOTICEES FROM ACCESSING THE CAPITAL MARKET DIRECTLY OR INDIRECTLY, AND DEALING IN SECURITIES OR INSTRUMENTS WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FIVE YEARS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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