| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 421 |
|
SHIPRA FABRICS PVT.LTD.
(PAN:AAACS5527M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNRISE ASIAN 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 06-SEP-2021 TO 05-MAR-2022
06-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/02/2023 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
|
| 422 |
|
|
SHIVI HOLDINGS PVT.LTD.
(PAN:AAACO2664H)
|
|
|
INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES 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-JUL-2022 TO 27-JUL-2024
IMPOSED PENALTY RS.5,00,00,000
28-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 03/01/2023 DIRECTED TO PAY RS.5,35,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 01/02/2023 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
|
| 423 |
|
|
SHIVI HOLDINGS PVT.LTD.
(PAN:AAACO2664H)
|
|
|
AIDED IN MISUSE AND DIVERSION OF PUBLIC SHAREHOLDERS FUNDS THROUGH BORROWER COMPANIES (BEST, FERN AND MODLAND) FOR BENEFIT OF RHC HOLDING PVT.LTD. VIOLATING SECTION 12(C) OF SEBI ACT, 1992 AND REGULATIONS 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FORTIS HEALTHCARE 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 19-APR-2022 TO 18-APR-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
IMPOSED PENALTY RS.2,50,00,000
19-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 08/07/2022, DIRECTED RESPONDENT TO FILE REPLY ON OR BEFORE NEXT DATE. DIRECTED APPELLANTS TO DEPOSIT 50% PENALTY AMOUNT WITHIN SIX WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, DIRECTED RESPONDENT NOT TO MAKE FURTHER RECOVERY
SAT: SAT VIDE ITS ORDER DATED 01/08/2022 ALLOWED RESPONDENT FURTHER THREE WEEKS TO FILE REPLY
|
| 424 |
|
|
SHIVKORI CONSTRUCTION PVT.LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF MYSTIC ELECTRONICS LTD. (EARLIER KNOWN AS PEARL ELECTRONICS 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 26-JUN-2020 TO 25-JUN-2021
26-JUN-2020
|
|
| 425 |
|
|
SHIVOM INVESTMENT & CONSULTANCY LTD.
(PAN:AAACG9355K)
|
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF SHIVOM INVESTMENT & CONSULTANCY LTD. VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(3) (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAINTAIN FUNCTIONAL WEBSITE VIOLATING REGULATION 46 OF SEBI (LODR) REGULATIONS, 2015
CONSTITUTED INCORRECT AUDIT COMMITTEE, NOMINATION AND REMUNERATION COMMITTEE VIOLATING REGULATION 19 OF SEBI (LODR) REGULATION, 2015
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY LTD.
DID NOT SIGN UNIFORM LISTING AGREEMENT WITH STOCK EXCHANGES VIOLATING SEBI LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
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 24-FEB-2023 TO 23-FEB-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.20,00,000
24-FEB-2023
|
|
| 426 |
|
|
SHIVOM INVESTMENT & CONSULTANCY LTD.
(PAN:AAACG9355K)
|
|
|
|
GAURI BHAGAT
PAN:AQGPB6603E
|
|
|
KOMAL ANANTRAI PAREKH
PAN:BYQPP0681P
|
|
|
MAHESH SHARMA
PAN:DPSPS8381L
|
|
|
SASHI PANDEY
PAN:BROPP5797B
|
|
|
SHARAD YASHWANT HAREKAR
PAN:ADDPH7341B
|
|
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF SHIVOM INVESTMENT & CONSULTANCY LTD. VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(2), (3) (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY 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 24-FEB-2023 TO 23-MAY-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.6,00,000
24-FEB-2023
|
|
| 427 |
|
|
SHIVOM INVESTMENT & CONSULTANCY LTD.
(PAN:AAACG9355K)
|
|
|
|
PRADIP KUMAR SULTANIA
PAN:ALOPS8525P
|
|
|
VARUN PRAVINCHANDRA AGHARA
PAN:AEYPA1563J
|
|
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY LTD.
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF SHIVOM INVESTMENT & CONSULTANCY LTD. VIOLATING REGULATIONS 4(2)(F)(II)(1), (6), (7), 4(2)(F)(III)(2), (3) (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SHIVOM INVESTMENT & CONSULTANCY 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 24-FEB-2023 TO 23-AUG-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.18,00,000
24-FEB-2023
|
|
| 428 |
|
|
SHRADDHA ENTERTAINMENT PVT.LTD.
(PAN:AAKCS8199P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIPS OF VERTEX SPINNING LTD. AND DMC INTERNATIONAL 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 29-OCT-2019 TO 28-OCT-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
29-OCT-2019
|
|
| 429 |
|
|
SHREYA STOCKS & SHARES PVT.LTD.
(PAN:AAHCS4970M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & 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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 430 |
|
|
SHRI RAM TRADERS
(PAN:ACDFS3492D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF YAMINI INVESTMENTS CO.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 04-SEP-2023 TO 03-SEP-2025
04-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. STAYED EFFECT AND OPERATION OF THE IMPUGNED ORDER
|
| 431 |
|
|
SHRIPAL SHARES & SECURITIES LTD.
(PAN:AAECS9253L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH CIRCULAR TRADES TRANSACTIONS IN SCRIP OF SUNTECK REALTY LTD. (EARLIER KNOWN AS INSUL ELECTRONICS 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 24-DEC-2019 TO 23-DEC-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
24-DEC-2019
|
SAT: SAT VIDE ITS ORDER DATED 01/02/2021 CONDONED THE DELAY IN FILING OF APPEAL. APPEAL DISMISSED AS WITHDRAWN
|
| 432 |
|
|
SHRISHTI E SYSTEMS PVT.LTD.
(PAN:AANCS0940H)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & 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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/04/2022 DISMISSED THE APPEAL. NO COSTS
|
| 433 |
|
|
SHUBHANG EXPORTS LTD.
(CIN:307203
PAN:AAJCS1526R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & 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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 434 |
|
|
SHYAM ALCOHOL & CHEMICALS LTD.
(PAN:AAGCS6595M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAMPADA CHEMICALS LTD.
|
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
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 27-AUG-2021 TO 26-AUG-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-AUG-2021
|
|
| 435 |
|
|
SHYAM ALCOHOL & CHEMICALS LTD.
(PAN:AAGCS6595M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SUNRISE ASIAN 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 06-SEP-2021 TO 05-MAR-2022
06-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/02/2023 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
|
| 436 |
|
|
SIDDHI INVESTMENTS
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SAI TELEVISION 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 30-MAY-2023 TO 29-MAY-2026
30-MAY-2023
|
|
| 437 |
|
|
SIGNET VINIMAY PVT.LTD.
(PAN:AAMCS1712Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & 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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 11/01/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE APPLICATION. ORDER RESERVED AND WRITTEN SUBMISSIONS MAY BE FILED WITHIN A WEEK FROM DATE OF THIS ORDER
|
| 438 |
|
|
SITARAM MAHARAJ SAKHAR KARKHANA (KHARDI) LTD.
(PAN:AAOCS0492B
CIN:U15424PN1999PLC013656)
|
|
|
|
BABAN SADASHIV SONAWALE
PAN:APGPS2196N
DIN:02484205
|
|
|
DILIP PRALHAD KALE
PAN:AIFPK3164N
DIN:02496057
|
|
|
GANESH MOHANRAO THIGALE
PAN:ACKPT7370A
DIN:03103084
|
|
|
GORAKH NARHARI TAD
PAN:AAIPT4907F
DIN:03144254
|
|
|
JAYASHREE VILASRAO KALE
PAN:BRPPK7489C
DIN:03198678
|
|
|
MAHADEV MALLIKARJUN DETHE
PAN:AUZPD4131A
DIN:03092257
|
|
|
NANA NARAYAN KALE
DIN:02495898
PAN:AGAPK8515C
|
|
|
SHAHAJI NAMDEO SHENDGE
PAN:CUWPS2796B
DIN:03103151
|
|
|
SHANKAR KISAN BAGAL
DIN:02529528
|
|
|
SHOBHA RUPESH PAWAR
PAN:APPPP2546K
DIN:02484233
|
|
|
UTTAM RAMCHANDRA NAIKNAVARE
PAN:AKPPN7345E
DIN:03144279
|
|
|
VILAS VASANTRAO KALE
PAN:ALQPK2357M
DIN:02373942
|
|
MOBILIZED RS.17.10 CRORES THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) BY WAY OF PRIVATE PLACEMENT TO 5,696 INVESTORS VIOLATING SECTIONS 56, 60, 67 AND 73 OF COMPANIES ACT, 1956 AND SECTIONS 26, 33, 40 AND 42 OF COMPANIES ACT, 2013 AND REGULATIONS 4(2)(A), 4(2)(B), 4(2)(C), 4(2)(D), 4(5), 5 TO 9, 13, 15, 16, 16(B)(1) AND 22 OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-NOV-2022 TO 29-NOV-2025
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 30-NOV-2022 TO 29-NOV-2025
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 30-NOV-2022 TO 29-NOV-2025
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
DIRECTED TO FURNISH COMPLETE DETAILS, INFORMATION, DOCUMENTS, ETC. SOUGHT BY SEBI
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
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 30-NOV-2022 TO 29-NOV-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-NOV-2022 TO 29-NOV-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-NOV-2022 TO 29-NOV-2025
31-MAR-2021
|
SEBI VIDE ITS ORDER DATED 30/11/2022 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) WITH INTEREST @ 15% P.A. FROM DATE OF COLLECTION OF FUNDS, TILL DATE OF ACTUAL PAYMENT B) PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES, BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM C) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE VERNACULAR DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FROM DATE OF THIS ORDER TILL EXPIRY OF THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS G) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM THE DATE OF THIS ORDER TILL EXPIRY OF THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS FOR FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 439 |
|
|
SKYLIGHT DISTRIBUTORS PVT.LTD.
(PAN:AAMCS8390J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF NOUVEAU GLOBAL VENTURES 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 19-MAR-2021 TO 18-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2021
|
|
| 440 |
|
|
SMC POWER GENERATION LTD.
(PAN:AAGCS3066B)
|
|
|
INDULGED IN CREATION OF MISLEADING APPEARANCE OF RECEIPT OF CONSIDERATION TOWARDS PREFERENTIAL ALLOTMENT OF NON-CONVERTIBLE PREFERENCE SHARES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(A) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PANKAJ PIYUSH TRADE & INVESTMENTS 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 15-JAN-2021 TO 14-JUL-2022
15-JAN-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 22 of 27
|
