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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: VIOLATIONS SPECIFIED IN EARLIER SEBI/NSE ORDERS/CIRCULARS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person ASHOKA VINIYOGA LTD.

(PAN:AACCA4784G)  
  MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING SECTIONS 12(A)(A) TO 12A(B) OF SEBI ACT, 1992 READ WITH REGULATION 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.

DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.

DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.

DID NOT ADHERE TO VARIOUS SEBI CIRCULARS  
DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE

DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR

RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-MAR-2023 TILL COMPLYING WITH THE MPS REQUIREMENT

IMPOSED PENALTY RS.1,41,00,000

28-MAR-2023
SAT: SAT VIDE ITS ORDER DATED 26/04/2023 ALLOWED THE APPLICATIONS AND DIRECTED RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS. REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. DIRECTED THAT THE EFFECT AND OPERATION OF IMPUGNED ORDERS TO REMAIN STAYED DURING PENDENCY OF APPEAL AND APPELLANTS TO DEPOSITS 25% OF PENALTY AMOUNT BY WAY OF CASH OR BANK GUARANTEE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL

SAT: SAT VIDE ITS ORDER DATED 08/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS  
22
History of entity/person ASHOKA VINIYOGA LTD.

(PAN:AACCA4784G)  
  ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003

ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SAHU JAIN LTD.

ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAHU JAIN LTD.

ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015  
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,43,99,650 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-SEP-2024

07-SEP-2022
 
23
History of entity/person ASHOKA VINIYOGA LTD.

(PAN:AACCA4784G)  
  ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003

ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF COMBINE HOLDING LTD.

ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COMBINE HOLDING LTD.

ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015  
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,43,99,650 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-SEP-2024

07-SEP-2022
 
24
History of entity/person ASHOKA VINIYOGA LTD.

(PAN:AACCA4784G)  
  DID NOT ADHERE TO VARIOUS SEBI CIRCULARS   DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE

DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR

RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-MAR-2023 TILL COMPLYING WITH THE MPS REQUIREMENT

IMPOSED PENALTY RS.20,00,000

28-MAR-2023
SAT: SAT VIDE ITS ORDER DATED 26/04/2023 ALLOWED THE APPLICATIONS AND DIRECTED RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS. REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. DIRECTED THAT THE EFFECT AND OPERATION OF IMPUGNED ORDERS TO REMAIN STAYED DURING PENDENCY OF APPEAL AND APPELLANTS TO DEPOSITS 25% OF PENALTY AMOUNT BY WAY OF CASH OR BANK GUARANTEE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL

SAT: SAT VIDE ITS ORDER DATED 07/11/2024 DIRECTED APPELLANTS TO SUBMIT LETTER TO CGM, CORPORATE FINANCE DEPARTMENT, SEBI WITHIN TEN DAYS FROM DATE OF THIS ORDER AND SEBI TO REPLY/RESPOND WITHIN THIRTY DAYS FROM DATE OF SUBMISSION OF THEIR REQUEST BY THE APPELLANTS  
25
History of entity/person AXIS ASSET MANAGEMENT CO.LTD.

(PAN:AAHCA5892J)  
  ALLEGED INCUR THE EXCESS EXPENSES OF THE MUTUAL FUND SCHEME VIOLATING CLAUSE A(1) OF SEBI CIRCULARS DATED 22/10/2018   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,57,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

26-NOV-2024
 
26
History of entity/person BAJRANGLAL B.MALOO (HUF)

(PAN:AAAHB8633E)  
  DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MURLI INDUSTRIES LTD.

DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER  
IMPOSED PENALTY RS.11,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS

30-JUN-2020
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER BY SETTING ASIDE THE ATTACHMENT ORDER ALSO. REMITTED MATTER TO AO TO DECIDE AFRESH AFTER GRANTING OPPORTUNITY OF HEARING TO THE APPELLANTS

SEBI VIDE ITS ORDER DATED 30/08/2022 RE-IMPOSED PENALTY AMOUNT TO RS.10 CRORE U/S 15H(II) AND RS.1 CRORE U/S 15HB OF SEBI ACT PAYABLE JOINTLY AND SEVERALLY  
27
History of entity/person BASIL INTERNATIONAL LTD.

(PAN:AACCB0938K)  
Click here to view complete history of this specific entity/person MOHAMMED AFAQUE AHMAD

PAN:AJCPA6064F
DIN:05110815
Click here to view complete history of this specific entity/person NIRMALENDU BHOWMIK

PAN:ASFPB6456J
Click here to view complete history of this specific entity/person SUSANTA KUMAR JANA

PAN:AGJPJ1097K
 
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER   IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS

16-MAY-2019
SEBI VIDE ITS NOTICE DATED 07/01/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 22/03/2021 DIRECTED ALL THE BANKS TO REMIT RS.1,22,23,466.00 TO THE EXTENT LYING IN THE ACCOUNT OF BASIL INTERNATIONAL LTD., MR.SUSANTA KUMAR JANA & MR.NIRMALENDU BHOWMIK BY WAY OF EFT/NEFT/RTGS  
28
History of entity/person BASIL INTERNATIONAL LTD.

(PAN:AACCB0938K)  
Click here to view complete history of this specific entity/person MOHAMMED AFAQUE AHMAD

PAN:AJCPA6064F
DIN:05110815
Click here to view complete history of this specific entity/person NIRMALENDU BHOWMIK

PAN:ASFPB6456J
Click here to view complete history of this specific entity/person SUSANTA KUMAR JANA

PAN:AGJPJ1097K
 
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER   IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS

16-MAY-2019
SEBI VIDE ITS NOTICE DATED 07/01/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 22/03/2021 DIRECTED ALL THE BANKS TO REMIT RS.12,23,247.00 TO THE EXTENT LYING IN THE ACCOUNT OF BASIL INTERNATIONAL LTD., MR.SUSANTA KUMAR JANA, MR.MOHAMMED AFAQUE AHMED & MR.NIRMALENDU BHOWMIK BY WAY OF EFT/NEFT/RTGS  
29
History of entity/person BASIL INTERNATIONAL LTD.

(PAN:AACCB0938K)  
Click here to view complete history of this specific entity/person NIRMALENDU BHOWMIK

PAN:ASFPB6456J
Click here to view complete history of this specific entity/person SUSANTA KUMAR JANA

PAN:AGJPJ1097K
 
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER   IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS

16-MAY-2019
SEBI VIDE ITS NOTICE DATED 07/01/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 22/03/2021 DIRECTED ALL THE BANKS TO REMIT RS.1,22,23,466.00 TO THE EXTENT LYING IN THE ACCOUNT OF BASIL INTERNATIONAL LTD., MR.SUSANTA KUMAR JANA & MR.NIRMALENDU BHOWMIK BY WAY OF EFT/NEFT/RTGS  
30
History of entity/person BASIL INTERNATIONAL LTD.

(PAN:AACCB0938K)  
Click here to view complete history of this specific entity/person NIRMALENDU BHOWMIK

PAN:ASFPB6456J
Click here to view complete history of this specific entity/person SUSANTA KUMAR JANA

PAN:AGJPJ1097K
 
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER   IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS

16-MAY-2019
SEBI VIDE ITS NOTICE DATED 07/01/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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 22/03/2021 DIRECTED ALL THE BANKS TO REMIT RS.12,23,247.00 TO THE EXTENT LYING IN THE ACCOUNT OF BASIL INTERNATIONAL LTD., MR.SUSANTA KUMAR JANA, MR.MOHAMMED AFAQUE AHMED & MR.NIRMALENDU BHOWMIK BY WAY OF EFT/NEFT/RTGS  
31
History of entity/person BEACON TRUSTEESHIP LTD.

(PAN:AAGCB5444C)  
  DID NOT TAKE PRIOR APPROVAL FROM STOCK EXCHANGES IN RESPECT OF RESTRUCTURING OF NCDS VIOLATING REGULATION 59(1) OF SEBI (LODR) REGULATIONS, 2015

DID NOT EXERCISE DUE DILIGENCE WITH RESPECT TO RESTRUCTURING OF NCDS OF AZEEM INFINITE DWELLING INDIAPVT.LTD. VIOLATING REGULATION 59 OF SEBI (LODR) REGULATIONS, 2015

DID NOT INFORM CREDIT RATING AGENCY ABOUT DEFAULT IN INTEREST PAYMENT DUE

DID NOT INTIMATE SEBI ABOUT INFORMATION ON NON-RECEIPT/DISCLOSURE OF INFORMATION ON PAYMENT  
IMPOSED PENALTY RS.3,00,000

27-MAR-2024
 
32
History of entity/person BEEJAY INVESTMENT & FINANCIAL CONSULTANTS PVT.LTD.

(PAN:AABCB0832B)  
Click here to view complete history of this specific entity/person RASHMI JAIN

PAN:ABBPL1283E
Click here to view complete history of this specific entity/person SUDHIR JAIN

PAN:AEUPJ6167K
 
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER   IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS

31-MAY-2022
SAT: SAT VIDE ITS ORDER DATED 20/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER

SEBI VIDE ITS NOTICE DATED 20/10/2022 DIRECTED TO PAY RS.53,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE  
33
History of entity/person BF UTILITIES LTD.

(PAN:AABCB7711M)  
  ALLEGED FAILURE IN MAKING DISCLOSURE OF NAMES OF PROMOTER GROUP ENTITIES IN SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(4) READ WITH 31(1) OF SEBI (LODR) REGULATIONS, 2015

ALLEGED FAILURE IN MAKING DISCLOSURE OF NAMES OF PROMOTER GROUP ENTITIES IN SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF ERSTWHILE LISTING AGREEMENT

ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS  
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,27,010 VIDE CONSENT ORDER)

24-JAN-2023
 
34
History of entity/person BHARAT NIDHI LTD.

(PAN:AAACB0195J)  
  ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003

ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOKA MARKETING LTD.

ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA MARKETING LTD.

ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015  
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024

12-SEP-2022
 
35
History of entity/person BHARAT NIDHI LTD.

(PAN:AAACB0195J)  
  ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024

12-SEP-2022
 
36
History of entity/person BHARATIYA GLOBAL INFOMEDIA LTD.

(CIN:L74999DL1994PLC062967
PAN:AABCB8175B)  
Click here to view complete history of this specific entity/person RAJEEV KUMAR AGARWAL

PAN:AGGPA0436L
Click here to view complete history of this specific entity/person RAKESH BHATIA

PAN:AHYPB7406Q
Click here to view complete history of this specific entity/person SANJEEV KUMAR MITTAL

PAN:AIVPM0122A
 
MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.23.46 CRORE FOR THE PURPOSES AND/OR IN MANNER OTHER THAN THOSE DISCLOSED IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.12.50 CRORE IN GRAB OF ICD INVESTMENTS IN THREE COMPANIES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

MIS-UTILIZED/DIVERTED IPO PROCEEDS BY MAKING PAYMENTS TO PROMOTER/PROMOTER RELATED ENTITIES WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

MISUTILIZED/DIVERTED IPO PROCEEDS BY TRANSFERRING FUNDS TO TRADERS WHO INDULGED IN SYNCHRONIZED AND ARTIFICIAL TRADING ON THE DAY OF LISTING OF SHARES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT PROVIDE INFORMATION RELATING TO ICD LOANS TAKEN PRIOR TO FILING OF RHP AND REPAID THE SAME WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT PROVIDE CORRECT INFORMATION OF TRANSACTIONS ENTERED INTO WITH VENDORS WHICH WERE PRE DECIDED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT PROVIDE CORRECT DISCLOSURES RELATED TO PERCENTAGE OF PURCHASE ORDER PLACED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT PROVIDE INFORMATION OF RELATED PARTY TRANSACTIONS WITH GADEO IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT CALL BACK RS.11.15 CRORE OUT OF PURPORTED ICD INVESTMENTS OF RS.12.50 CRORE AS DIRECTED VIDE SEBI ORDER DATED 28/12/2011 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DISOBEYED SEBI’S ORDER BY NOT DEPOSITING UNUTILIZED IPO PROCEEDS AND ICD INVESTMENTS RECOVERED IN INTEREST BEARING ESCROW ACCOUNT AND MIS-UTILIZED AMOUNT SO RECOVERED IN GRAB OF WORKING CAPITAL REQUIREMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

MISLED SEBI BY PROVIDING THREE DIFFERENT VERSIONS OF ICD, LOANS AND INVESTMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.  
DIRECTED TO ENSURE COMPLIANCE OF DIRECTIONS OF CALL BACK OF RS.23.46 CRORES AND RS.11.15 CRORES

DIRECTED TO FURNISH COMPLIANCE REPORT TO SEBI DULY CERTIFIED BY INDEPENDENT SEBI REGISTERED MERCHANT BANKER WITHIN TWO WEEKS OF THE DATE OF COMPLIANCE

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-AUG-2014 TO 07-AUG-2019

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-AUG-2014 TO 07-AUG-2019

08-AUG-2014
SAT: APPEAL ALLOWED TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER I.E. 18/09/2014

SAT: SAT VIDE ITS ORDER DATED 08/09/2016 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEAL ON OR BEFORE 18/11/2016 AS REQUESTED BY THE COUNSEL FOR APPELLANTS. NO COSTS  
37
History of entity/person BHARATIYA GLOBAL INFOMEDIA LTD.

(CIN:L74999DL1994PLC062967
PAN:AABCB8175B)  
  MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.23.46 CRORE FOR THE PURPOSES AND/OR IN MANNER OTHER THAN THOSE DISCLOSED IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

MIS-UTILIZED/DIVERTED IPO PROCEEDS OF RS.12.50 CRORE IN GRAB OF ICD INVESTMENTS IN THREE COMPANIES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

MIS-UTILIZED/DIVERTED IPO PROCEEDS BY MAKING PAYMENTS TO PROMOTER/PROMOTER RELATED ENTITIES WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

MISUTILIZED/DIVERTED IPO PROCEEDS BY TRANSFERRING FUNDS TO TRADERS WHO INDULGED IN SYNCHRONIZED AND ARTIFICIAL TRADING ON THE DAY OF LISTING OF SHARES IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT PROVIDE INFORMATION RELATING TO ICD LOANS TAKEN PRIOR TO FILING OF RHP AND REPAID THE SAME WITHOUT MAKING ANY DISCLOSURE IN RHP/PROSPECTUS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT PROVIDE CORRECT INFORMATION OF TRANSACTIONS ENTERED INTO WITH VENDORS WHICH WERE PRE DECIDED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT PROVIDE CORRECT DISCLOSURES RELATED TO PERCENTAGE OF PURCHASE ORDER PLACED IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT PROVIDE INFORMATION OF RELATED PARTY TRANSACTIONS WITH GADEO IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DID NOT CALL BACK RS.11.15 CRORE OUT OF PURPORTED ICD INVESTMENTS OF RS.12.50 CRORE AS DIRECTED VIDE SEBI ORDER DATED 28/12/2011 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

DISOBEYED SEBI’S ORDER BY NOT DEPOSITING UNUTILIZED IPO PROCEEDS AND ICD INVESTMENTS RECOVERED IN INTEREST BEARING ESCROW ACCOUNT AND MIS-UTILIZED AMOUNT SO RECOVERED IN GRAB OF WORKING CAPITAL REQUIREMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.

MISLED SEBI BY PROVIDING THREE DIFFERENT VERSIONS OF ICD, LOANS AND INVESTMENTS IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.  
DIRECTED TO CALL BACK RS.23.46 CRORES AND RS.11.15 CRORES MIS-UTILIZED / DIVERTED

DIRECTED TO UTILIZE FUNDS RAISED IN IPO FOR THE PURPOSES DISCLOSED IN PROSPECTUS DATED JULY 16, 2011

08-AUG-2014
SAT: APPEAL ALLOWED TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER I.E. 18/09/2014

SAT: SAT VIDE ITS ORDER DATED 08/09/2016 PERMITTED APPELLANTS TO WITHDRAW THE APPEAL WITH LIBERTY TO FILE FRESH APPEAL ON OR BEFORE 18/11/2016 AS REQUESTED BY THE COUNSEL FOR APPELLANTS. NO COSTS  
38
History of entity/person BIRLA GLOBAL FINANCE LTD.  
  ALLEGED FAILURE IN COMPLIANCE WITH AD-INTERIM EX PARTE ORDER DATED 12/01/2006 IN MATTER OF RESTRAIN OF MANOJDEV SEKSARIA FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET DIRECTLY OR INDIRECTLY TILL FURTHER ORDERS   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,000 VIDE CONSENT ORDER)

17-NOV-2008
 
39
History of entity/person BLUE PEARL TEXSPIN LTD.

(PAN:AAACE2845A)  
  DID NOT COMPLY WITH 100% DEMATERIALIZATION OF PROMOTER SHAREHOLDING VIOLATING SEBI CIRCULAR CIR/ISD/3/2011 DATED 17/06/2011 READ WITH SEBI/CIR/ISD/05/2011 DATED 30/09/2011 IN MATTER OF BLUE PEARL TEXSPIN LTD.

DID NOT COMPLY WITH 100% DEMATERIALIZATION OF PROMOTER SHAREHOLDING VIOLATING REGULATIONS 31(2) READ WITH 31(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BLUE PEARL TEXSPIN LTD.  
IMPOSED PENALTY RS.5,00,000

27-APR-2022
SAT: SAT VIDE ITS ORDER DATED 14/06/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER AND DIRECTED APPELLANT TO DEPOSIT RS.2 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER

SAT: SAT VIDE ITS ORDER DATED 03/08/2022 GRANTED THREE WEEKS TO FILE REJOINDER  
40
History of entity/person BONAZ CAPITAL INVESTMENT ADVISER

(PAN:AHPPR9284D)  
Click here to view complete history of this specific entity/person RAJESH SINGH RATHORE

PAN:AHPPR9284D
 
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

INDULGED IN INVESTMENT ADVISORY SERVICES WITHOUT POSSESSING REQUISITE QUALIFICATIONS

CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS

SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS

SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE

DID NOT MAKE DISCLOSURE TO CLIENTS ABOUT DETAILS OF INVESTMENT ADVISORY SERVICES/PRODUCTS

DID NOT PROVIDE RECORD OF INVESTMENT ADVICE TO CLIENTS AND SIGNED RATIONALE FOR ARRIVING INVESTMENT ADVICE

DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT ADHERE TO VARIOUS SEBI CIRCULARS  
SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 30-NOV-2022 TO 28-FEB-2023

30-NOV-2022
 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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