| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
BRITANNIA INDUSTRIES LTD.
(PAN:AABCB2066P)
|
|
|
ALLEGED TRANSMISSION OF SHARES WITHOUT PROPER DOCUMENTS VIOLATING CLAUSES 11, 12 A AND 47(B) OF LISTING AGREEMENT READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SHAREPRO SERVICES (I) PVT.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.46,21,875 VIDE CONSENT ORDER)
17-SEP-2020
|
|
| 22 |
|
|
BRITANNIA INDUSTRIES LTD.
(PAN:AABCB2066P)
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AND CLARIFICATION TO STOCK EXCHANGES REGARDING SENTENCING OF ONE OF ITS PROMOTERS AND MANAGING DIRECTOR VIOLATING REGULATIONSS 4(1)(D), 4(1)(H) & 4(1)(J), 4(2)(D)(III), 5, 30(2) AND 30(4)(I)(B), OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 6 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 READ WITH PARA 6.1 OF ANNEXURE I OF SEBI CIRCULAR DATED 09/09/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,67,500 VIDE CONSENT ORDER)
28-APR-2020
|
|
| 23 |
|
|
COFFEE DAY ENTERPRISES LTD.
(PAN:AADCC3995L)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 30(1) READ WITH 30(2) AND 30(9) READ WITH CLAUSE 6 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,52,400 VIDE CONSENT ORDER)
13-AUG-2024
|
|
| 24 |
|
|
COFFEE DAY ENTERPRISES LTD.
(PAN:AADCC3995L)
|
|
|
ALLEGED FAILURE TO PLACE REVIEW REPORT BEFORE BOARD OF DIRECTORS AT ITS MEETING VIOLATING REGULATION 33(2)(C) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED INDULGENCE IN SUBMISSION OF UNAUDITED FINANCIAL RESULTS WHICH WERE NOT SUBJECTED TO LIMITED REVIEW BY ITS STATUTORY AUDITORS VIOLATING REGULATIONS 33(3)(C)(I) AND 33(3)(H) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES ABOUT RESIGNATION OF AUDITIRS AND DIRECTOR’S RESIGNATION VIOLATING REGULATION 30(2) AND 30(6) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES IN RESPECT OF DEFAULT ON PAYMENT OF INTERESTS/REPAYMENT OF PRINCIPAL AMOUNTS ON LOANS VIOLATING REGULATION 30(2) READ WITH SUB-PARA 6 OF PARA A PF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 READ WITH PARA 3(C2) OF SEBI CIRCULAR NO.SEBI/HO/CFD/CMD1/CIR/P/2019/140 DATED 21/11/2019
ALLEGED FAILURE IN MAKING DISCLOSURE OF DETAILS OF SALE OF WAY2WEALTH AS STIPULATED IN SEBI CIRCULAR NO CIR/CFD/CMD/4/2015 DATED 09/09/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.69,06,250 VIDE CONSENT ORDER)
09-SEP-2021
|
|
| 25 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH 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
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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,43,10,000 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
|
SAT: SAT VIDE ITS ORDER DATED 07/02/2023 CONDONED THE DELAY IN FILING OF APPEAL. APPEAL ALLOWED AND QUASHED IMPUGNED ORDERS. MATTER REMITTED TO AO TO PASS A FRESH ORDER IN THE LIGHT OF DECISION OF TRIBUNAL WITHIN THREE MONTHS
|
| 26 |
|
|
CUPID LTD.
(PAN:AAACC2389K)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF COURT ORDERS DATED 08/12/2023, 15/12/2023 AND 30/03/2024 VIOLATING REGULATION 30(2) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SUB-PARAGRAPHS 2 AND 20 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.SEBI/HO/CFD/CFD-POD-1/P/CIR/2023/123 DATED 13/07/2023
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.19,51,300 VIDE CONSENT ORDER)
20-DEC-2024
|
|
| 27 |
|
|
DELPHI WORLD MONEY LTD.
(PAN:AABCC7143A)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF RELATED PARTY TRANSACTIONS REQUIRED UNDER ACCOUNTING STANDARD 24 VIOLATING REGULATION 4(1)(A), 4(1)(B), 4(2)(E)(I), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.37,05,000 VIDE CONSENT ORDER)
20-FEB-2026
|
|
| 28 |
|
|
DIC INDIA LTD.
(PAN:AABCC0703C)
|
|
|
ALLEGED FAILURE IN TAKING RECOMMENDATIONS OF NOMINATION AND REMUNERATION COMMITTEE IN RELATION TO APPOINTMENT OF COMPANY’S HEAD OF SALES AND MARKETING VIOLATING REGULATION 19(4) READ WITH SUB-PARAGRAPH 4 OF PARAGRAPH A OF PART D OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015
ALLEGED DELAY IN MAKING DISCLOSURE IN RELATION TO CHANGES IN ITS SENIOR MANAGEMENT VIOLATING REGULATION 30 READ WITH SUB-PARAGRAPHS 7 AND 7C OF PARAGRAPH A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN DISCLOSING DETAILS OF REMUNERATION OF KEY MANAGERIAL PERSONNELS AND DID NOT PUBLISH THE SAME ON WEBSITE VIOLATING REGULATION 23(9) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.34,32,000 VIDE CONSENT ORDER)
21-MAR-2025
|
|
| 29 |
|
|
DIGITAL CONTENT PVT.LTD.
(PAN:AADCN6172E)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(3) AND 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN COMPLIANCE OF CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 31(1) AND 103(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.31,60,374 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-AUG-2018
|
|
| 30 |
|
|
DISH TV INDIA LTD.
(PAN:AAACA5478M)
|
|
|
ALLEGED FAILURE TO OBTAIN PRIOR APPROVAL FROM SHAREHOLDERS FOR CONTINUATION OF MR.JAWAHAR LAL GOEL AS A NON-EXECUTIVE DIRECTOR VIOLATING REGULATION 7(1C) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,72,500 VIDE CONSENT ORDER)
14-NOV-2025
|
|
| 31 |
|
|
DISH TV INDIA LTD.
(PAN:AAACA5478M)
|
|
|
|
ANIL KUMAR DUA
PAN:ADWPD7220N
|
|
|
ASHOK MATHAI KURIEN
PAN:AADPK4942J
|
|
|
JAWAHAR LAL GOEL
PAN:AAHPL1244J
|
|
|
RANJIT SINGH
PAN:ASXPS7712E
|
|
ALLEGED VIOLATION OF REGULATIONS 4(1)(C) TO 4(1)(E), 4(1)(G) TO 4(1)(I), 5, 30(6) READ WITH PARA D OF PART A OF SCHEDULE III AS WELL AS 30(7), 30(12) AND 44(3) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,54,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-OCT-2022
|
|
| 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 |
|
|
ELCID INVESTMENTS LTD.
(PAN:AAACE1611Q)
|
|
|
ALLEGED FAILURE TO MAINTAIN STRUCTURED DIGITAL DATABASE DURING INVESTIGATION PERIOD VIOLATING REGULATIONS 3(5) READ WITH 3(6) OF SEBI (PIT) REGULATIONS, 2015
ALLEGED FAILURE TO DISCLOSE MR.JATIN SARAIYA’S (ONE AMONG THE PROMOTER AND PROMOTER GROUP OF APPLICANT) JOINT SHAREHOLDING OF 50 SHARES WITH HIS SPOUSE AS PART OF PROMOTER AND PROMOTER GROUP, FOR QUARTERS ENDING DECEMBER 2021 TO JUNE 2022 VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR DATED 30/11/2015
ALLEGED FAILURE TO DISCLOSE MR.JATIN SARAIYA’S (ONE AMONG THE PROMOTER AND PROMOTER GROUP OF APPLICANT) JOINT SHAREHOLDING OF 50 SHARES WITH HIS SPOUSE AS PART OF PROMOTER AND PROMOTER GROUP, FOR QUARTERS ENDING DECEMBER 2021 TO JUNE 2022 VIOLATING REGULATION 2(1)(PP) OF SEBI (ICDR) REGULATIONS, 2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.17,31,510 VIDE CONSENT ORDER)
24-JUN-2024
|
|
| 34 |
|
|
EMMBI INDUSTRIES LTD.
(PAN:AAACE3423G)
|
|
|
ALLEGED TO SHOW DIRECTOR AS AN INDEPENDENT DIRECTOR IN CORPORATE GOVERNANCE REPORT VIOLATING REGULATION 16(1)(B)(III) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED INCLUSION OF INDEPENDENT DIRECTOR IN THE LIST OF PROMOTER AND PROMOTER GROUP IN SHAREHOLDING PATTERN REPORT VIOLATING REGULATION 31(1)(B) READ WITH REGULATION 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,35,000 VIDE CONSENT ORDER)
16-OCT-2025
|
|
| 35 |
|
|
FINO PAYMENTS BANK LTD.
(PAN:AABCF1125D)
|
|
|
ALLEGED FAILURE IN MAKING TIMELY AND COMPLETE DISCLOSURE OF A MATERIAL EVENT REGARDING FRAUDS PERPETRATED BY ITS EMPLOYEE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,88,921 VIDE CONSENT ORDER)
06-OCT-2025
|
|
| 36 |
|
|
GENUS PRIME INFRA LTD.
(PAN:AABCG3955E)
|
|
|
ALLEGED VIOLATION OF REGULATION 38 OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATIONS) ACT, 1956
ALLEGED VIOLATION OF RULE 19A OF SCRA RULES, 1956
ALLEGED FAILURE IN MAINTAINING MINIMUM PUBLIC SHAREHOLDING VIOLATING REGULATION 7(4) OF SAST REGULATIONS, 2011
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,92,000 VIDE CONSENT ORDER)
23-JAN-2020
|
|
| 37 |
|
|
GO INVESTMENTS & TRADING PVT.LTD.
(PAN:AACCS2156G)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 38 |
|
|
HEERA HOLDINGS & LEASING PVT.LTD.
(PAN:AAACH7902B)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 39 |
|
|
HERO FINCORP LTD.
(PAN:AAACH0157J)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF CLAUSE 29A(A) AND (C) OF DEBT LISTING AGREEMENT DATED 24/11/2012 READ WITH SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,90,000 VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 40 |
|
|
HEXA TRADEX LTD.
(PAN:AACCH5334B)
|
|
|
ALLEGED FAILURE IN DISCLOSING APPLICANT 4 AS PART OF PROMOTER GROUP VIOLATING REGULATION 31 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
ALLEGED FILING OF INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN BY INCLUDING APPLICANT 4 AS PUBLIC SHAREHOLDER VIOLATING CLAUSE 35 OF READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF JINDAL SAW LTD., HEXA TRADEX LTD. AND JITF INFRALOGISTICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,48,550 VIDE CONSENT ORDER)
01-DEC-2023
|
|
| 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 6
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