| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
DP COMMODITIES
(PAN:AAHFD8915C)
|
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
|
| 22 |
|
|
DP CURRENCIES
(PAN:AAHFD8916B)
|
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
|
| 23 |
|
|
DP ENTERPRISES
(PAN:AAHFD8919Q)
|
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
|
| 24 |
|
|
DP GEMS & DIAMONDS
(PAN:AAHFD8918R)
|
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
|
| 25 |
|
|
DP JEWELS
(PAN:AAHFD8917A)
|
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
|
| 26 |
|
|
DP SECURITIES
(PAN:AAHFD8920B)
|
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
|
| 27 |
|
|
DUNHIL HEALTHCARE PVT.LTD.
(PAN:AADCD3324Q
CIN:U85100WB2009PTC137714)
|
|
|
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60(1) AND 73 READ WITH 67 OF THE COMPANIES ACT, 1956 AND SECTION 465(2) OF THE COMPANIES ACT, 2013 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E) 5(1), 5(2), 5(5), 5(7), 6(1), 7, 26(1), 26(2), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1), 58(2), 63 AND 115(2) OF ICDR REGULATIONS, 2009 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
|
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 19-MAR-2020 TO 18-MAR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2020 TO 18-MAR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2020 TO 18-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2020
|
|
| 28 |
|
|
ECO FRIENDLY FOOD PROCESSING PARK LTD.
(CIN:L45209DL2008PLC181131
PAN:AACCE0416B)
|
|
|
|
AMAR SINGH BISHT
PAN:AKOPB4144J
|
|
|
BRIJ KISHORE SABHARWAL
PAN:AAXPS6830P
|
|
|
VINOD KUMAR GARG
PAN:AAAPG4116B
|
|
MISUTILIZED IPO PROCEEDS BY TRANSFERRING THE FUNDS TO CERTAIN FUNDING GROUP ENTITIES AND MADE FALSE & MISLEADING DISCLOSURES IN PROSPECTUS 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 IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF IPO OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND MADE WRONG DISCLOSURE TO STOCK EXCHANGES WITH RESPECT TO IPO PROCEEDS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF ECO FRIENDLY FOOD PROCESSING PARK LTD.
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND GAVE WRONG DISCLOSURES WITH RESPECT TO IPO PROCEED TO STOCK EXCHANGES VIOLATING CLAUSES 45 AND 46 OF THE LISTING AGREEMENT FOR SMES READ WITH SECTION 21 OF SCRA ACT, 1956
|
IMPOSED PENALTY RS.13,00,000
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 23/03/2023 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 01/05/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 29 |
|
|
EDSERV SOFTSYSTEMS LTD.
(CIN:L72200TN2001PLC046789
PAN:AAACL7131L)
|
|
|
|
GANAPATHY GITA
PAN:AAGPG2647F
|
|
|
IIANGO BALAKRISHNA
PAN:AAJPI0688K
|
|
|
S.ARVIND
PAN:AACPA7943E
|
|
|
S.GIRIDHARAN
PAN:AAGPG2646E
|
|
|
T.S.RAVICHANDRAN
PAN:AAJPR0108F
|
|
DID NOT MAKE DISCLOSURE OF FUNDS RAISED THROUGH ICDS IN THE NATURE OF A BRIDGE LOAN IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
DID NOT MAKE DISCLOSURE OF PLACING OF ORDERS WITH SUPPLIERS FOR THE ESTABLISHMENT OF HEAL LABORATORIES IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
INDULGED IN SIPHONING AND DIVERSION OF IPO PROCEEDS IN THE MATTER OF IPO OF EDSERV SOFTSYSTEMS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF EDSERV SOFTSYSTEMS LTD.
|
PROHIBITED FROM RAISING ANY FURTHER CAPITAL FROM SECURITIES MARKET, IN ANY MANNER WHATSOEVER FROM 11-APR-2016 TO 10-APR-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-APR-2016 TO 10-APR-2019
11-APR-2016
|
|
| 30 |
|
|
EDYNAMICS SOLUTIONS LTD.
(CIN:L74900DL2000PLC106755
PAN:AAACE7849N)
|
|
|
|
ANITA GUPTA
DIN:06501012
PAN:AOFPG8504E
|
|
|
BHARAT GUPTA
DIN:06507664
PAN:ALFPG6480L
|
|
|
VIKAS SAINI
DIN:06503769
PAN:BEZPS2003H
|
|
MOBILIZED RS.6.92 CRORES FROM PUBLIC THROUGH ISSUANCE OF 69,20,000 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 365 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 READ WITH 67 OF THE COMPANIES ACT, 1956
MOBILIZED RS.6.92 CRORES FROM PUBLIC THROUGH ISSUANCE OF 69,20,000 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 365 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E), 5, 6, 7, 25, 26, 36, 37,46, 47, 57 AND 59 OF SEBI (ICDR) REGULATIONS, 2009
|
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 22-APR-2021 TO 21-APR-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-APR-2021 TO 21-APR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-APR-2021 TO 21-APR-2022
22-APR-2021
|
|
| 31 |
|
|
EDYNAMICS SOLUTIONS LTD.
(CIN:L74900DL2000PLC106755
PAN:AAACE7849N)
|
|
|
|
ANITA GUPTA
DIN:06501012
PAN:AOFPG8504E
|
|
|
BHARAT GUPTA
DIN:06507664
PAN:ALFPG6480L
|
|
|
VIKAS SAINI
DIN:06503769
PAN:BEZPS2003H
|
|
MADE APPLICATION TO ONE OR MORE RECOGNISED STOCK EXCHANGES FOR LISTING OF SPECIFIED SECURITIES
ENTERED INTO AGREEMENT WITH A DEPOSITORY FOR DEMATERIALIZATION OF SPECIFIED SECURITIES
DID NOT APPOINT MERCHANT BANKER AND OTHER INTERMEDIARIES
DID NOT FILE DRAFT OFFER DOCUMENTS WITH SEBI, DESIGNATED STOCK EXCHANGE AND ROC
DID NOT OBTAIN IN-PRINCIPLE APPROVAL FROM RECOGNISED STOCK EXCHANGE IN WHICH SPECIFIED SECURITIES TO BE LISTED
DID NOT SATISFY CONDITIONS OF INITIAL PUBLIC OFFER
DID NOT SPECIFY SECURITIES HELD BY PROMOTERS TO BE LOCKED-IN FOR A CERTAIN PERIOD IN CASE OF IPO
DID NOT LOCK-IN ENTIRE PRE-ISSUE CAPITAL HELD BY PERSONS OTHER THAN PROMOTERS FOR ONE YEAR IN CASE OF IPO
DID NOT KEEP PUBLIC ISSUE OPEN FOR SPECIFIED PERIOD
DID NOT DO PRE ISSUE ADVERTISEMENT FOR PUBLIC ISSUE
DID NOT MAKE DISCLOSURES IN OFFER DOCUMENT
OFFERED INCENTIVE FOR MAKING APPLICATION FOR ALLOTMENT OF SPECIFIED SECURITIES
|
IMPOSED PENALTY RS.5,00,000
21-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 11/04/2023 DIRECTED TO PAY RS.5,26,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 05/06/2023 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
|
| 32 |
|
|
ELCID INVESTMENTS LTD.
(PAN:AAACE1611Q)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING REGULATION 2(1)(PP) OF SEBI (ICDR) REGULATIONS, 2018 READ WITH REGULATION 2(1)(ZB) OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING CLAUSE 2 OF LISTING AGREEMENT DATED 28/12/2015 SIGNED BETWEEN EIL AND BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,11,775 VIDE CONSENT ORDER)
01-SEP-2021
|
|
| 33 |
|
|
ELECTROSTEEL STEELS LTD.
(PAN:AABCE6875H)
|
|
|
DID NOT MAKE DISCLOSURE IN RHP REGARDING REJECTION OF PROPOSAL OF FOREST DIVERSION OF ITS IRON ORE MINE BY MINISTRY OF ENVIRONMENT AND FOREST (MOEF) VIOLATING REGULATIONS 57(1) AND 57(2)(A)(II) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF ELECTROCSTEEL CASTINGS LTD.
|
IMPOSED PENALTY RS.50,00,000
31-MAR-2016
|
SAT: SAT VIDE ITS ORDER DATED 14/11/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.50 LACS FROM RS.1.0 CRORE
|
| 34 |
|
|
ESTEEM BIO ORGANIC FOOD PROCESSING LTD.
(CIN:L74899DL1995PLC071220
PAN:AAACE1925D)
|
|
|
|
BRIJ KISHORE SABHARWAL
PAN:AAXPS6830P
|
|
|
VINOD KUMAR GARG
PAN:AAAPG4116B
|
|
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND GAVE WRONG DISCLOSURES WITH RESPECT TO IPO PROCEED TO STOCK EXCHANGES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
MISUTILIZED IPO PROCEEDS FOR REPAYING LOANS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF ESTEEM BIO ORGANIC FOOD PROCEESING LTD.
DID NOT ADHERE TO REGULATION 14(1) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND GAVE WRONG DISCLOSURES WITH RESPECT TO IPO PROCEED TO STOCK EXCHANGES VIOLATING CLAUSES 45 AND 46 OF THE LISTING AGREEMENT FOR SMES READ WITH SECTION 21 OF SCRA ACT, 1956
DID NOT SUBMIT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF ESTEEM BIO FOOD PROCESSING LTD.
|
IMPOSED PENALTY RS.17,00,000
28-APR-2022
|
SEBI VIDE ITS NOTICE DATED 16/08/2023 DIRECTED TO PAY RS.19,90,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/09/2023 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
|
| 35 |
|
|
FRONTIER CAPITAL LTD.
(CIN:L65990MH1984PLC033128)
|
|
|
DELAY IN IMPLEMENTATION OF BONUS ISSUE VIOLATING REGULATION 95(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
|
IMPOSED PENALTY RS.1,50,000
29-MAY-2018
|
|
| 36 |
|
|
G3 COMMODITIES PVT.LTD.
(CIN:U74900DL2010PTC210956
PAN:AAECG0383M)
|
|
|
|
LOKESHWAR DEV
DIN:02981601
PAN:ARXPD5428P
|
|
|
PRIYANKA DEV
DIN:02981620
PAN:BCIPD7293J
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
|
| 37 |
|
|
GAJPAL BUILDINFRA PVT.LTD.
(PAN:AADCG5699R)
|
|
|
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING SECTION 12A (A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING REGULATIONS 77(1) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2021 TO 29-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2021 TO 29-APR-2023
DIRECTED TO PAY BALANCE CONSIDERATION TO SECUNDERABAD HEALTHCARE LTD.
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/07/2021 ALLOWED RESPONDENT TO FILE REPLY TO THE MEMO OF APPEALS WITHIN THREE WEEKS FROM DATE OF THIS ORDER. REJOINDER MAY BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED THE APPEAL AND SET ASIDE MATTER AND REMITTED APPEALS TO WTM FOR RECONSIDERATION OF THE ISSUE AFTER CONSIDERING THE ANNUAL REPORTS AND SUCH OTHER EVIDENCE
|
| 38 |
|
|
GAVIS PHARMA LLC.
(PAN:AAECG9973B)
|
|
|
ALLEGED ACQUISITION OF 40 LACS (39.90%) EQUITY SHARES UNDER PREFERENTIAL ISSUE, PRIOR TO DUE DATE VIOLATING REGULATION 74(3) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 READ WITH REGULATION 22(1) OF SAST REGULATIONS, 2011 IN MATTER OF WINTEC LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
17-NOV-2014
|
|
| 39 |
|
|
GCM SECURITIES LTD.
(CIN:L67120WB1995PLC071337
PAN:AABCG1469K)
|
|
|
|
ALOK KUMAR DAS
PAN:ADWPD5317L
|
|
|
AMITABH SHUKLA
PAN:AIWPS5518B
|
|
|
ASHOK BOTHRA
PAN:AADPB5818Q
|
|
|
INDER CHAND BAID
PAN:ACXPB4769Q
DIN:00235263
|
|
|
MANISH BAID
PAN:ADWPB8817D
DIN:00239347
|
|
|
SAMIR BAID
PAN:AEIPB5692K
DIN:00243521
|
|
DID NOT MAKE TRUE AND ADEQUATE DISCLOSURE IN OFFER DOCUMENT VIOLATING REGULATIONS 57 AND 58 READ WITH SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF GCM SECURITIES LTD.
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IMPOSED PENALTY RS.2,00,000
28-FEB-2023
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| 40 |
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HAMRAJ FASHION CONSULTANTS PVT.LTD.
(PAN:AACCH2998F)
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RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING SECTION 12A (A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING REGULATIONS 77(1) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2021 TO 29-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2021 TO 29-APR-2023
DIRECTED TO PAY BALANCE CONSIDERATION TO SECUNDERABAD HEALTHCARE LTD.
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-APR-2021
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SAT: SAT VIDE ITS ORDER DATED 14/06/2021 DISPOSED OFF THE EXEMPTION APPLICATION. DIRECTED RESPONDENT TO PROVIDE CERTIFIED COPY OF IMPUGNED ORDER WITHIN ONE WEEK FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 12/07/2021 DISMISSED THE APPEAL AS INFRUCTUOUS
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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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