| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ABHIRAJ TRADING & INVESTMENTS PVT.LTD.
(PAN:AAACA5685Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(4) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SUNSHIELD CHEMICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,37,404 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 22 |
|
|
ABHYUDYA INDUSTRIAL CONSULTANTS PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 34,00,000 SHARES IN PREFERENTIAL ALLOTMENT OF GANESH POLYTEX LTD. MAKING IT IN ALL 43.47% OF THE SHARE CAPITAL
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
05-FEB-2007
|
|
| 23 |
|
|
ABM INTERNATIONAL LTD.
(PAN:AAACD4075H)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
11-JUL-2014
|
|
| 24 |
|
|
ACHAL ANIL BAKERI (HUF)
(PAN:AABHA6839A)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SYMPHONY LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-JUL-2017
|
PENALTY AMOUNT OF RS.50 LACS PAID BY APPELLANTS ON 06/09/2017 VIDE DD NO.530159 DATED 06/09/2017 DRAWN ON ICICI BANK LTD. FOR RS.25 LACS AND RS.25 LACS VIDE DD NO.126240 DATED 06/09/2017 DRAWN ON THE KALUPUR COMMERCIAL CO-OPERATIVE BANK
SAT: SAT VIDE ITS ORDER DATED 16/02/2021 REJECTED THE APPLICATION FOR CONDONED THE DELAY IN FILING OF APPEAL AND DISMISSED THE APPEAL. NO COSTS
|
| 25 |
|
|
ACI INFOCOM LTD.
(PAN:AADCA2262Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) AND 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,50,000 VIDE CONSENT ORDER)
05-DEC-2012
|
|
| 26 |
|
|
ACM EDUCATIONAL FOUNDATION
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 READ WITH REGULATION 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,97,33,551 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-JAN-2017
|
|
| 27 |
|
|
ACME CONSULTANTS PVT.LTD.
(PAN:AACCA2649C)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF JUGGILAL KAMLAPAT JUTE MILLS CO.LTD.
|
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DIRECTED TO PROVIDE EXIT OPPORTUNITY TO OTHER SHAREHOLDERS OF TARGET COMPANY
10-JAN-2017
|
|
| 28 |
|
|
ACME CONSULTANTS PVT.LTD.
(PAN:AACCA2649C)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 READ WITH 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF JUGGILAL KAMLAPAT JUTE MILLS CO.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF JUGGILAL KAMLAPAT JUTE MILLS CO.LTD.
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
12-DEC-2017
|
SEBI VIDE ITS NOTICE DATED 20/03/2020 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
SEBI VIDE ITS ORDER DATED 29/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.33,69,877.00 TO THE EXTENT LYING IN THE ACCOUNT OF ACME CONSULTANTS PVT.LTD., NAMOKAR VINIMAY PVT.LTD. & MOOLDHAN ADVISORY SYSTEMS PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 29 |
|
|
ACROW CONSTRUCTIONS PVT.LTD.
(PAN:AAGCA2721D)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 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
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 30 |
|
|
ACROW REALCON PVT.LTD.
(PAN:AAGCA4035L)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 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
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
|
| 31 |
|
|
ADAM COMSOF LTD.
|
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
NITIN SAWANT
|
|
|
RAJA YADAV
|
|
|
RAJESH SAKHARIE
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VILAS CHOWGLE
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
30-SEP-2011
|
|
| 32 |
|
|
ADAMJI INVESTMENTS PVT.LTD.
(PAN:AADCA0614Q)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5) AND 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2021
|
|
| 33 |
|
|
ADANI PROPERTIES PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 1,20,00,000 (45.28%) SHARES/VOTING RIGHTS OF SEALORD CONTAINERS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
28-OCT-2009
|
|
| 34 |
|
|
ADARSH PLANT PROTECT LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES UNDER REGULATIONS 6(2),6(4) FOR YEAR 1997 AND 8(3) FOR YEARS 1998 AND 2004 OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
15-MAY-2009
|
|
| 35 |
|
|
ADARSH PLANT PROTECT LTD.
|
|
|
|
ARUNA R.PATEL
|
|
|
HASMUKH A.PATEL
|
|
|
RASIK A.PATEL
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) FOR YEARS 1998 TO 2004 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 20.25% SHARES OF ADARSH PLANT PROJECT LTD.
|
IMPOSED PENALTY RS.75,000 ALONG WITH OTHER ENTITIES/PERSONS
05-DEC-2008
|
|
| 36 |
|
|
ADARSH TRUST
(PAN:AABTA7344L)
|
|
|
FACILITATED FUNDING THROUGH ITS RELATED/CONNECTED ENTITIES TO PREFERENTIAL ALLOTMENT BY PREFERENTIAL ALLOTTEES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JMD TELEFILMS INDUSTRIES LTD. (NOW JMD VENTURES LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/ CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF JMD TELEFILMS INDUSTRIES LTD. (NOW JMD VENTURES LTD.)
|
IMPOSED PENALTY RS.7,00,000
28-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 20/03/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE APPLICATIONS
SAT: SAT VIDE ITS ORDER DATED 29/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 37 |
|
|
ADB TRADE SERVICES PVT.LTD.
(PAN:AAFCA1109A)
(Along with : A.V.COTTEX LTD.)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF A.V.COTTEX LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF A.V.COTTEX LTD.
|
IMPOSED PENALTY RS.18,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-SEP-2011
|
SAT: SAT VIDE ITS ORDER DATED 15/02/2012 HAS MODIFIED SEBI'S ORDER DATED 19/09/2011 BY REDUCING THE PENALTY AMOUNT TO RS.10 LACS FROM RS.18 LACS. NO ORDER AS TO COSTS
|
| 38 |
|
|
ADHIKASH FINANCE & TRADING PVT.LTD.
|
|
|
|
ANANTNARAYAN GOPAL IYER
|
|
|
NALINESH R.DALAL
|
|
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 13.90% SHARES OF KRISHNA FILAMENTS LTD. WHILE ACTING IN CONCERT WITH OTHER ENTITIES
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
20-JUN-2005
SETTLEMENT ( SETTLEMENT CHARGES RS.75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-APR-2008~
|
SAT: APPEAL DISPOSED OFF, AS APPLICANTS AGREED TO PAY A SUM OF RS. 75,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER
|
| 39 |
|
|
ADHUNIK FINANCE PVT.LTD.
(PAN:AACCA3263G)
(Along with : ATLANTA LTD.)
|
|
|
|
SADHANA DILIP NABERA
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
|
|
| 40 |
|
|
ADIHAN CONSULTANTS PVT.LTD.
(PAN:AACCA8867A)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CORE EMBALLAGE LTD.(PRESENTLY KNOWN AS “AUSOM ENTERPRISE LTD.”)
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 116
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