| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ALLAN REBELLO
(PAN:AABPR3932K)
|
|
|
|
IRIS MEDIAWORKS LTD.
CIN:L92412MH1992PLC067841
PAN:AAACB4506D
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IRIS MEDIAWORKS LTD. VIOLATING REGULATIONS 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF IRIS MEDIAWORKS LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF IRIS MEDIAWORKS LTD. VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(1) (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF IRIS MEDIAWORKS LTD.
|
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 17-NOV-2021 TO 16-MAY-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.2,00,000
17-NOV-2021
|
|
| 22 |
|
|
ALOK AGARWAL
(PAN:ACSPA4871B)
|
|
|
|
DALMIA INDUSTRIAL DEVELOPMENT LTD.
CIN:L74140WB1982PLC035394
PAN:AAACD9405B
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF DALMIA INDUSTRIAL DEVELOPMENT LTD. & SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II), (6)(7), 4(2)(F)(III) (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DALMIA INDUSTRIAL DEVELOPMENT LTD.
|
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 21-APR-2022 TO 20-APR-2023
IMPOSED PENALTY RS.11,00,000
21-APR-2022
|
|
| 23 |
|
|
AMAN MEHTA
(PAN:AAGPM5030J)
|
|
|
|
VEDANTA LTD.
PAN:AACCS7101B
|
|
DELAY IN PAYMENT OF DIVIDEND TO CAIRN UK HOLDINGS LTD.
|
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 12-MAR-2024 TO 11-APR-2024
12-MAR-2024
|
SAT: SAT VIDE ITS ORDER DATED 20/03/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER FOUR WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/06/2024 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK THEREAFTER TO FILE REJOINDER
|
| 24 |
|
|
AMAR SARIN
(PAN:ABLPS1470L)
|
|
|
|
NU TEK INDIA LTD.
CIN:L74899DL1993PLC054313
PAN:AAACN2270L
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NU TEK INDIA LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(A), 4(2)(E), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF NU TEK INDIA LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF NU TEK INDIA LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF NU TEK INDIA LTD.
|
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 21-DEC-2021 TO 20-JUN-2022
IMPOSED PENALTY RS.1,60,000
21-DEC-2021
|
SEBI VIDE ITS NOTICE DATED 15/06/2022 DIRECTED TO PAY RS.1,72,200.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 25 |
|
|
AMBARISH CHATTERJEE
(PAN:AAAPC3232E)
|
|
|
|
JAI MATA GLASS LTD.
CIN:L26101HP1981PLC004430
PAN:AAACJ3873F
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JAI MATA GLASS LTD. AND SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JAI MATA GLASS LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF JAI MATA GLASS LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(2) (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF JAI MATA GLASS LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF JAI MATA GLASS LTD.
|
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 23-NOV-2021 TO 22-MAY-2022
IMPOSED PENALTY RS.1,50,000
23-NOV-2021
|
|
| 26 |
|
|
AMBRISH BARSATI PAL
(PAN:APFPP2586L)
(Along with : KIRTI SALVI,
ANIL KOTHARI,
AAKESH CHOPRA)
|
|
|
|
MPF SYSTEMS LTD.
PAN:AADCM7896A
|
|
DID NOT FOLLOW PRINCIPLES OF CORPORATE GOVERNANCE TO PROTECT RIGHTS OF MINOR SHAREHOLDERS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (R) OF PFUTP REGULATIONS, 2003
DID NOT CLEAR STATUS REGARDING NUMBER OF INDEPENDENT DIRECTOR DURING INVESTIGATION PERIOD VIOLATING REGULATION 17 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE PROVISION OF INDEPENDENT DIRECTOR IN AUDIT COMMITTEE IN ANNUAL REPORT OF 2014 VIOLATING REGULATION 18(1) (B) OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED ACCOUNTING STANDARD AND FINANCIAL DISCLOSURE VIOLATING REGULATION 33(2) (A) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2020
|
SEBI VIDE ITS ORDER DATED 22/12/2020 ENHANCED PENALTY AMOUNT FROM RS.4.00 LACS TO RS.6.00 LACS AND DIRECTED TO PAY WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/03/2021 ALLOWED TWO WEEKS TIME TO FILE APPROPRIATE APPLICATION ALONG WITH AFFIDAVIT FOR CONDONING THE DELAY
|
| 27 |
|
|
AMBRISH BARSATI PAL
(PAN:APFPP2586L)
(Along with : KIRTI SALVI,
ANIL KOTHARI,
AAKESH CHOPRA)
|
|
|
|
MPF SYSTEMS LTD.
PAN:AADCM7896A
|
|
DID NOT FOLLOW PRINCIPLES OF CORPORATE GOVERNANCE TO PROTECT RIGHTS OF MINOR SHAREHOLDERS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (R) OF PFUTP REGULATIONS, 2003
DID NOT CLEAR STATUS REGARDING NUMBER OF INDEPENDENT DIRECTOR DURING INVESTIGATION PERIOD VIOLATING REGULATION 17 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE PROVISION OF INDEPENDENT DIRECTOR IN AUDIT COMMITTEE IN ANNUAL REPORT OF 2014 VIOLATING REGULATION 18(1) (B) OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED ACCOUNTING STANDARD AND FINANCIAL DISCLOSURE VIOLATING REGULATION 33(2) (A) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2020
|
SEBI VIDE ITS ORDER DATED 22/12/2020 ENHANCED PENALTY AMOUNT FROM RS.4.00 LACS TO RS.6.00 LACS AND DIRECTED TO PAY WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/03/2021 ALLOWED TWO WEEKS TIME TO FILE APPROPRIATE APPLICATION ALONG WITH AFFIDAVIT FOR CONDONING THE DELAY
|
| 28 |
|
|
AMIT BAPNA
(PAN:AAYPB9659A)
|
|
|
|
RELIANCE HOME FINANCE LTD.
PAN:AAECR0305E
|
|
MISREPORTED FINANCIALS OF RELIANCE HOME FINANCE LTD. AND ITS BOOKS OF ACCOUNTS FOR FY. 2018-19 VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIANCE HOME FINANCE LTD.
DID NOT PROVIDE COMPLETE AND TIMELY INFORMATION REGARDING GENERAL PURPOSE CORPORATE LENDING/DISBURSAL TO BOARD OF DIRECTORS VIOLATING REGULATION 17(7) READ WITH SCHEDULE II PART A(I) AND (O) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RELIANCE HOME FINANCE LTD.
INDULGED IN FRAUDULENT SCHEME OF DIVERTING ASSETS AND FUNDS VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), (8), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF RELIANCE HOME FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-AUG-2024 TO 21-AUG-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-AUG-2024 TO 21-AUG-2029
RESTRAINED FROM BEING ASSOCIATED WITH SECURITIES MARKET INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 22-AUG-2024 TO 21-AUG-2029
IMPOSED PENALTY RS.27,00,00,000
22-AUG-2024
|
SEBI VIDE ITS NOTICE DATED 05/11/2024 DIRECTED TO PAY RS.28,08,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 19/11/2024 CONDONED THE DELAY OF 24 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE SEEKS THEREAFTER
|
| 29 |
|
|
AMIT BAPNA
(PAN:AAYPB9659A)
|
|
|
|
RELIANCE HOME FINANCE LTD.
PAN:AAECR0305E
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS OF RHFL BY PROMOTERS AND MANAGEMENT AND RECEIPT OF MULTIPLE FRAUD MONITORING RETURNS (FMRS) FROM BANKS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(D), 4(1)(G) TO 4(1)(J), 4(2)(B) 4(2)(E), 23(2), 30(1), 30(7), 33(1) AND 51(1) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF RELIANCE HOME FINANCE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-FEB-2022 UNTIL FURTHER ORDERS
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 11-FEB-2022 UNTIL FURTHER ORDERS
11-FEB-2022
|
|
| 30 |
|
|
AMIT GOENKA
(PAN:AAHPG1139M)
|
|
|
|
SHIRPUR GOLD REFINERY LTD.
PAN:AAACA4896K
|
|
MISREPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SHIRPUR GOLD REFINERY LTD.
MISPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING REGULATIONS 4(1)(C) TO 4(1)(D) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SHIRPUR GOLD REFINERY LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING SECTIONS 27(1) AND/OR 27(2) READ WITH REGULATIONS 30(2) AND 30(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SHIRPUR GOLD REFINERY LTD.
|
DIRECTED TO FILE PUBLIC DISCLOSURE TO THE STOCK EXCHANGES AS WELL AS PUBLISH ON COMPANY’S WEBSITE THE CONTENTS OF THIS ORDER-CUM-SHOW CAUSE NOTICE WITHIN THREE DAYS FROM DATE OF RECEIPT THIS ORDER
DIRECTED TO DISCLOSE UPDATED STATUS OF ALL UNDISCLOSED MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES WITHIN FIFTEEN DAYS FROM DATE OF RECEIPT OF THIS ORDER
DIRECTED NOT TO SELL/DISPOSE OF/DILUTE SHAREHOLDING IN COMPANY, HELD DIRECTLY OR INDIRECTLY THROUGH FAMILY MEMBERS OR THROUGH COMPANIES IN WHICH THEY OR THEIR FAMILY MEMBERS DIRECTORS
25-APR-2023
|
|
| 31 |
|
|
AMIT JAISWAL
(PAN:ADMPJ0732H)
|
|
|
|
ROYAL ORCHID HOTELS LTD.
PAN:AABCR0111M
|
|
MISREPRESENTED / MISSTATED / MANIPULATED ITS CONSOLIDATED FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ROYAL ORCHID HOTELS LTD.
MISREPRESENTED / MISSTATED / MANIPULATED ITS CONSOLIDATED FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 33(1)(A), 33(1)(C), 33(3)(B), 34(2)(B), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2003 IN MATTER OF ROYAL ORCHID HOTELS LTD.
ISSUED FALSE AND MISLEADING CERTIFICATE UNDER REGULATIONS 17(8) OF SEBI (LODR) REGULATION, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ROYAL ORCHID HOTELS LTD.
|
DIRECTED TO MAKE DISCLOSURE OF FINANCIAL STATEMENTS OF KSHEERSAGAR DEVELOPERS PVT.LTD. TO STOCK EXCHANGES ALONG WITH AUDIT REPORT FOR FY. 2021-22, FY.2022-23 AND FY.2023-24 WITHIN ONE MONTH FROM DATE OF ORDER
DIRECTED TO FILE A REPORT DULY CERTIFIED BY PER REVIEWED CHARTERED ACCOUNTANT DETAILING IMPACT ON CONSOLIDATED FINANCIAL STATEMENTS OF ROYAL ORCHID HOTELS LTD. FOR FY.2021-22, FY.2022-23 AND FY.2023-24 TO STOCK EXCHANGES
IMPOSED PENALTY RS.6,00,000
11-OCT-2024
|
SAT: SAT VIDE ITS ORDER DATED 08/01/2025 CONDONED THE DELAY IN FILING OF APPEAL AND GRANTED TWO WEEKS TO FILE REJOINDER
|
| 32 |
|
|
AMIT JAISWAL
(PAN:ADMPJ0732H)
|
|
|
|
ROYAL ORCHID HOTELS LTD.
PAN:AABCR0111M
|
|
MISREPRESENTED / MISSTATED / MANIPULATED ITS CONSOLIDATED FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ROYAL ORCHID HOTELS LTD.
MISREPRESENTED / MISSTATED / MANIPULATED ITS CONSOLIDATED FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 33(1)(A), 33(1)(C), 33(3)(B), 34(2)(B), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2003 IN MATTER OF ROYAL ORCHID HOTELS LTD.
ISSUED FALSE AND MISLEADING CERTIFICATE UNDER REGULATIONS 17(8) OF SEBI (LODR) REGULATION, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ROYAL ORCHID HOTELS LTD.
|
DIRECTED TO FILE PUBLIC DISCLOSURE TO STOCK EXCHANGES WITHIN SEVEN DAYS FROM DATE OF RECEIPT THIS ORDER
DIRECTED AUDIT COMMITTEE AND BOARD OF DIRECTORS TO REVIEW THE DECISION OF CLASSIFICATION OF KSDPL AND CONSOLIDATED FINANCIAL STATEMENTS FOR F.Y.2021-22
DIRECTED TO FILE A REPORT DETAILING CHANGES TO CONSOLIDATED FINANCIAL STATEMENTS FOR F.Y. 2021-22 AND ITS IMPACT WITHIN ONE MONTH FROM DATE OF THIS ORDER TO STOCK EXCHANGES
DIRECTED AUDIT COMMITTEE OF ROYAL ORCHID HOTELS LTD. TO ENHANCE THE OVERSIGHT OF FINANCIAL REPORTING PROCESS AND DISCLOSURE OF ITS FINANCIAL INFORMATION
31-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/05/2023 ALLOWED URGENCY APPLICATION. DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER AND STAYED EFFECT AND OPERATION OF IMPUGNED ORDER TILL NEXT DATE OF LISTING
SAT: SAT VIDE ITS ORDER DATED 17/08/2023 DISPOSED OF THE APPEAL AND DIRECTED APPELLANT TO FILE REPLY TO SCN WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 33 |
|
|
AMIT JAJODIA
(PAN:ACXPJ4921E)
|
|
|
|
QUEST FINANCIAL SERVICES LTD.
CIN:L65993WB1980PLC033060
PAN:AAACQ0461C
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF QUEST FINANCIAL SERVICES LTD. AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF QUEST FINANCIAL SERVICES LTD.
DID NOT ADHERE TO REGULATION 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF QUEST FINANCIAL SERVICES LTD.
|
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 21-MAR-2022 TO 20-SEP-2022
IMPOSED PENALTY RS.3,00,000
21-MAR-2022
|
SAT: SAT VIDE ITS ORDER DATED 16/09/2022 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 01/11/2022 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
|
| 34 |
|
|
AMIT KHANDELWAL
(PAN:AGTPK7842F)
|
|
|
|
HIT KIT GLOBAL SOLUTIONS LTD.
CIN:L70100MH1988PLC049929
PAN:AAACR2929Q
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF HIT KIT GLOBAL SOLUTIONS LTD. VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(1)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OFHIT KIT GLOBAL SOLUTIONS LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF HIT KIT GLOBAL SOLUTIONS LTD.
|
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-FEB-2022 TO 27-AUG-2022
IMPOSED PENALTY RS.3,00,000
28-FEB-2022
|
SEBI VIDE ITS ORDER DATED 07/06/2022 DIRECTED TO PAY RS.3,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 24/06/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE APPLICATION. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
|
| 35 |
|
|
AMIT SATISHCHAND TYAGI
(PAN:AGRPT0973A)
(Along with : PANDOO PRABHAKAR NAIG,
SOWMYA GAUTAM DESHPANDE,
GAUTAM MOHAN DESHPANDE)
|
|
|
|
FAMILY CARE HOSPITALS LTD.
PAN:AAACP2883M
|
|
MISREPRESENTED/MISSTATED IN FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F), 4(2)(K), 4(2)(R) READ WITH 2(1)(B) AND (C)(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FAMILY CARE HOSPITALS LTD.
MISREPRESENTED/MISSTATED IN FINANCIAL STATEMENTS VIOLATING REGULATIONS
4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 23(2), 23(4), 23(9), 30(2) READ WITH PART A OF SCHEDULE III, 33(1)(C), 34(3) AND/OR 33(2)(A) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FAMILY CARE HOSPITALS LTD.
MISREPRESENTED/MISSTATED IN FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6) TO (8), 4(2)(F)(III)(1)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF FAMILY CARE HOSPITALS LTD.
FURNISHED FALSE CERTIFICATE WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FAMILY CARE HOSPITALS LTD.
|
IMPOSED PENALTY RS.13,00,000 ALONG WITH OTHER ENTITIES/PERSONS
03-JUN-2025
|
|
| 36 |
|
|
AMIT TARACHAND SHAH
(PAN:ACRPS5394L)
|
|
|
|
KAVIT INDUSTRIES LTD.
CIN:L23100GJ1990PLC014692
PAN:AAACJ4907C
|
|
INDULGED IN MANIPULATION IN ANNUAL REPORTS AND BOOKS OF ACCOUNTS VIOLATING SECTION 21 OF SCRA READ WITH REGULATIONS 4(1)(A) TO (C) & (G), 4(2)(F)(I)(2), 4(2)(F)(II)(6) & (7) AND 4(2)(F)(III)(1),(3),(6) & (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF KAVIT INDUSTRIES LTD.
MISUSED COMPANY’S FUND INCLUDING THROUGH GRANT OF LOANS IN MATTER OF KAVIT INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-SEP-2018 TO 27-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2018 TO 27-SEP-2021
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 28-SEP-2018 TO 27-SEP-2021
28-SEP-2018
|
|
| 37 |
|
|
AMOL SHIVAJI AUTADE
(PAN:ANCPA3607Q)
|
|
|
|
ONELIFE CAPITAL ADVISORS LTD.
PAN:AAACO9540L
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DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH CLAUSES A(1) AND A(4) UNDER PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
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IMPOSED PENALTY RS.5,00,000
28-MAR-2025
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AMRIT ASHOK RAJANI
(PAN:AESPR7990G)
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SEYA INDUSTRIES LTD.
PAN:AABCS4522R
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MISREPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEYA INDUSTRIES LTD.
SIPHONED OFF FUNDS/ASSETS TO PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS (VIZ. WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD.) ON PRETEXT OF PURCHASES/SALES FROM/TO THEM AND/OR THROUGH UNDISCLOSED FUND TRANSFERS VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEYA INDUSTRIES LTD.
MISPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), (G), (J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS (VIZ. WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD.) AND DID NOT TAKE AUDIT COMMITTEE AND/OR SHAREHOLDER’S APPROVAL FOR UNDISCLOSED RELATED PARTY TRANSACTIONS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(B), 4(2)(E)(I), 23(2), 23(4), 23(9), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D) TO 4(1)(J) AND 30(2) AND 30(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
SHOWN WRONG DETAILS OF ATTENDEES OF BOARD MEETINGS, AUDIT AND RISK MANAGEMENT COMMITTEE MEETINGS IN ANNUAL REPORT VIOLATING REGULATIONS 4(1)(C) AND 34(3) READ WITH CLAUSE 2(B) AND 3(C) OF PART C OF SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
APPOINTED AUDITORS WHO DID NOT HAVE VALID PEER REVIEW CERTIFICATE ISSUED BY ICAI AS STATUTORY AUDITOR VIOLATING REGULATION 33(1)(D) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT PROVIDE INFORMATION AND/OR SUBMITTED WRONG AND MISLEADING INFORMATION TO SEBI IN MATTER OF SEYA INDUSTRIES LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II AND REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT DISCLOSE MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING REGULATION 8(1) READ WITH CLAUSE 1 OF SCHEDULE A OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
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DIRECTED TO FILE PUBLIC DISCLOSURE TO THE STOCK EXCHANGES AS WELL AS PUBLISH ON COMPANY’S WEBSITE THE CONTENTS OF THIS ORDER-CUM-SHOW CAUSE NOTICE WITHIN THREE DAYS FROM DATE OF RECEIPT THIS ORDER
DIRECTED TO DISCLOSE UPDATED STATUS OF ALL UNDISCLOSED MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES WITHIN FIFTEEN DAYS FROM DATE OF RECEIPT OF THIS ORDER
DIRECTED NOT TO SELL/DISPOSE OF/DILUTE SHAREHOLDING IN COMPANY, HELD DIRECTLY OR INDIRECTLY THROUGH FAMILY MEMBERS OR THROUGH COMPANIES IN WHICH THEY OR THEIR FAMILY MEMBERS DIRECTORS
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 02-MAY-2025 TO 01-MAY-2030
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 02-MAY-2025 TO 01-MAY-2030
DIRECTED TO ENSURE THAT FUNDS/VALUE OF ASSETS SIPHONED OFF BY WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD. AMOUNTING TO RS.81.26 CRORE BROUGHT BACK TO SEYA INDUSTRIES LTD. ALONG WITH INTEREST @12 % P.A. FROM DATE OF TRANSFER OF FUNDS/ASSETS AS PER BANK ACCOUNT TRANSACTIONS/GST RETURNS TILL DATE OF BRINGING BACK FUNDS WITHIN SIX MONTHS FROM DATE OF ORDER
IMPOSED PENALTY RS.28,00,00,000
20-MAR-2023
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SEBI VIDE ITS ORDER DATED 02/05/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR 5 YEARS, FROM DATE OF THIS ORDER B) RESTRAINED FROM BEING ASSOCIATED WITH SECURITIES MARKET INCLUDING AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI, FOR 5 YEARS, FROM DATE OF THIS ORDER C) ENSURE THAT FUNDS/ VALUE OF ASSETS SIPHONED OFF BY WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD. AMOUNTING TO RS.81.26 CRORE BROUGHT BACK TO SEYA INDUSTRIES LTD. ALONG WITH INTEREST @12 % P.A. FROM DATE OF TRANSFER OF FUNDS/ASSETS AS PER BANK ACCOUNT TRANSACTIONS/GST RETURNS TILL DATE OF BRINGING BACK FUNDS WITHIN SIX MONTHS FROM DATE OF THIS ORDER D) PAY PENALTY TO RS.1 CRORE U/S 15A(A), RS.1 CRORE U/S 15A(B), RS.25 CRORE U/S 15HA AND RS.RS.1 CRORE U/S 15HB OF SEBI ACT
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| 39 |
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AMRITA AMAR VAKIL
(PAN:ABYPV2897F)
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ALLEGED VIOLATION OF REGULATION 10(4)(C) OF SEBI (DELISTING) REGULATIONS, 2021 IN THE MATTER OF ELCID INVESTMENTS LTD.
ALLEGED VIOLATION OF REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015 IN THE MATTER OF ELCID INVESTMENTS LTD.
ALLEGED VIOLATION OF REGULATIONS 4(2)(F)(III)(3) AND (6) OF SEBI (LODR) REGULATIONS, 2015 IN THE MATTER OF ELCID INVESTMENTS LTD.
ALLEGED VIOLATION OF SECTION 166(2) AND 166(3) OF COMPANIES ACT, 2013 IN THE MATTER OF ELCID INVESTMENTS LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,12,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-MAY-2024
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ANAND PADMANABHA PALAYE
(PAN:AADPP2479D)
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LANDMARC LEISURE CORP.LTD.
CIN:L65990MH1991PLC060535
PAN:AAACL5117A
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INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LANDMARC LEISURE CORP.LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF LANDMARC LEISURE CORP.LTD. VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF LANDMARC LEISURE CORP.LTD.
DID NOT ADHERE TO REGULATION 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF LANDMARC LEISURE CORP.LTD.
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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 20-JAN-2022 TO 19-JUL-2022
IMPOSED PENALTY RS.1,12,500
20-JAN-2022
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