| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
MEHAR DAIRY INDUSTRIES LTD.
|
|
|
VIOLATED SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-MAY-1999
20-MAY-1999
|
|
| 22 |
|
|
MILLION INVESTRADE LTD.
|
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 23 |
|
|
OTCO INTERNATIONAL LTD.
(PAN:AAACO5429Q)
|
|
|
ALLEGED DELAY IN COMPLETION OF BONUS ISSUE OF 5,18,624 SHARES WITHIN SIX MONTHS FROM THE DATE OF APPROVAL AS PRESCRIBED UNDER GUIDELINE 15.1.7 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 24 |
|
|
PANNA AGROFINE PVT.LTD.
|
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 25 |
|
|
PATWA AGRIMPEX PVT.LTD.
|
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 26 |
|
|
PYRAMID SAIMIRA THEATRE LTD.
|
|
|
|
P.S.SAMINATHAN
PAN:ABHPS7396D
|
|
INDULGED IN ISSUANCE OF MISLEADING PUBLIC ANNOUNCEMENTS TO CREATE PUBLIC INTEREST IN SCRIP OF PYRAMID SAIMIRA THEATRE LTD.
ALLOTTED CONVERTIBLE WARRANTS BY PYRAMID SAIMIRA THEATRE LTD.ON PREFERENTIAL BASIS WITHOUT RECEIVING ANY CONSIDERATION VIOLATING CLAUSE 13.1.2.3 (A) AND CLAUSE 13.1.2.3 (B) OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH REGULATIONS 77(2) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009
|
IMPOSED PENALTY RS.1,10,00,000
27-JUL-2011
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 27 |
|
|
RBL BANK LTD.
(PAN:AABCT3335M)
|
|
|
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SECTIONS 56, 60 AND 73 OF THE COMPANIES ACT, 1956
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.2, 4.11, 4.14, 5.3.1, 5.4.1, 5.6A, 5.6.2, 6 TO 6.15 AND 8.8.1 OF SEBI (DISCLOSURE & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
ALLEGED INDULGENCE IN RAISING OF RS.18.18 CRORE THROUGH ISSUANCE OF 18.19 LACS SHARES TO 4,892 INVESTORS UNDER PREFERENTIAL BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ALLEGED INDULGENCE IN RAISING OF RS.601.12 CRORE THROUGH ISSUANCE OF SHARES TO 12,285 INVESTORS ON RIGHTS BASIS VIOLATING SEBI (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-MAY-2016
|
|
| 28 |
|
|
RUCHI SOYA INDUSTRIES LTD.
(PAN:AAACR2892L)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES FOR YEARS 1998 TO 2005 AS REQUIRED UNDER REGULATIONS 6(2),6(4) AND 8(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PARAM INDUSTRIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PARAM INDUSTRIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF PREFERENTIAL ALLOTMENT OF 32,82,480 SHARES REQUIRED UNDER SEBI (DISCLOSURES & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 TO BE FURNISHED TO SHAREHOLDERS DURING AGM
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,00,000 VIDE CONSENT ORDER)
24-JUN-2010
|
|
| 29 |
|
|
SECURITY & INTELLIGENCE SERVICES (INDIA) LTD.
|
|
|
ALLEGED INDULGENCE IN ISSUANCE & ALLOTMENT OF EQUITY SHARES TO MORE THAN 49 PERSONS DURING APRIL, 1998 TILL FEBRUARY, 2012 VIOLATING CLAUSES 2.1.1, 2.1.4, 2.1.5, 2.2, 4.1, 4.11, 4.14, 5.3.1, 5.6A, 5.6.2, 6.0 TO 6.33, 8.8.1 AND 8.13 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES READ WITH REGULATION 4(2) (D) & (E), 5(1), 5(2), 5(5), 5(7), 6(1), 7, 26(1), 26(2), 26(6), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1) & (2), 63 AND 115 OF SEBI (ICDR) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.36,56,250 VIDE CONSENT ORDER)
30-MAY-2019
|
|
| 30 |
|
|
SIYA-RAM AGRO INDUSTRIES LTD.
(CIN:U01117KA2006PLC040732
PAN:AAKCS2215E)
|
|
|
|
AMRITENDU BHATTACHARYYA
DIN:01742819
PAN:AJRPB1543M
|
|
|
ASLAM SAYEED
DIN:00873273
PAN:AMJPS7534C
|
|
MOBILIZED RS.90.14 LACS THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 157 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60(1), 73(1), 73(2) READ WITH SECTION 67 OF COMPANIES ACT, 1956 AND SECTION 465(2) OF COMPANIES ACT, 2013
MOBILIZED RS.90.14 LACS THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 157 INVESTORS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.1.5, 2.5, 2.8, 5.3.1, 5.6A, 6.0 TO 6.33 AND 10.0 TO 10.9 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 02-NOV-2020 TILL COMPLIANCE OF ORDERS
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
DIRECTED TO REFUND MONEY COLLECTED TOWARDS ALLOTMENT OF NON-CONVERTIBLE DEBENTURES ALONGWITH INTEREST @15% PER ANNUM
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 02-NOV-2020 TILL COMPLIANCE OF ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-NOV-2020 TILL COMPLIANCE OF ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-NOV-2020 TILL COMPLIANCE OF ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
02-NOV-2020
|
|
| 31 |
|
|
SOUNDCRAFT INDUSTRIES LTD.
|
|
|
|
BABU PARSU BASAN
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
RAMESH TULSIRAM VERMA
|
|
|
VISHNU PARSU BASAN
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 32 |
|
|
STRUCTURE HOUSING & FINANCE PVT.LTD.
|
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 33 |
|
|
SUDIPTI ESTATES PVT.LTD.
(PAN:AAKCS3888F)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF FIR AGAINST ITS GROUP COMPANY SUDIPTI ESTATES PVT.LTD.FOR TRANSACTION OF RS.34 CRORE IN ITS DRAFT RED HEARING PROSPECTUS (DRHP) DATED 02/01/2007
|
ORDERED FOR INVESTIGATION
20-OCT-2011
|
|
| 34 |
|
|
TRANSGENE BIOTEK LTD.
(PAN:AABCT3840P)
|
|
|
|
KOLLIPARA KOTESWARA RAO
PAN:AHOPK5487E
|
|
VIOLATED SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
REFUSED LISTING OF EQUITY SHARES
27-NOV-2003
|
SAT: IMPUGNED ORDER SET ASIDE WITH NO ORDER AS TO COSTS
|
| 35 |
|
|
VISHWARAJ SUGAR INDUSTRIES LTD.
(PAN:AABCV1727H)
|
|
|
DID NOT FILE PROSPECTUS AND DID NOT MAKE APPLICATION TO STOCK EXCHANGES FOR LISTING OF SHARES VIOLATING REGULATIONS 4(2) (D) & (E), 5(1),(2), (5) & (7), 6(1), 7, 26(1),(2) & (6), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1) & (2) AND 63 OF ICDR REGULATIONSM 2009
DID NOT ADHERE TO PUBLIC ISSUE REQUIREMENTS VIOLATING CLAUSES 2.1.4, 2.1.5, 5.3.1, 2.1.1, 5.6.2, 2.2, 4.1, 4.11, 4.14, 8.8.1, 5.6A, 8.6.1, 6.0 TO 6.33 AND 5.12 OF DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
IMPOSED PENALTY RS.7,00,000
23-MAR-2020
|
|
| 36 |
|
|
VISU INTERNATIONAL LTD.
(PAN:AABCV1500A)
|
|
|
ALLEGED PREFERENTIAL ALLOTMENT OF FIVE LAC SHARES TO PERSONS WHO WERE NOT HOLDING A PART OF SHARES HELD BY THEM, PRIOR TO PREFERENTIAL ALLOTMENT IN DEMATERIALISED FORM
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO LOCK-IN OF ONE YEAR ON FIVE LAC SHARES ALLOTTED PURSUANT TO CONVERSION OF WARRANTS ALLOTTED ON PREFERENTIAL BASIS)
13-JUL-2011
|
|
| 37 |
|
|
VITTHAL CORP.LTD.
(CIN:U17120PN1998PLC012939
PAN:AACCV5742M)
|
|
|
MOBILIZED RS.18.04 CRORE THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) BY WAY OF PRIVATE PLACEMENT TO 5,470 INVESTORS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.1.5, 2.8, 4.1, 4.11, 4.14, 5.3.1, 5.3.3, 5.3.5, 5.3.6, 5.4, 5.6, 5.6A, 5.7, 5.8, 5.9, 5.9.1, 5.10, 5.12.1, 5.13, 6.0, 6.1 TO 6.15, 6.16 TO 6.34, 8.3, 8.8.1, 9, 10.1 AND 10.5 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
IMPOSED PENALTY RS.5,00,000
30-NOV-2022
|
|
| 38 |
|
|
YOGI PHARMACY LTD.
|
|
|
|
ATUL MAGAN
|
|
|
AVINASH MAGAN
|
|
|
K.K.DAWAN
|
|
VIOLATED SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-DEC-1998 TO 30-NOV-2003
04-DEC-1998
|
|
| 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 2
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