| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 421 |
|
YASHODHAN DIGVIJAYSINH GAEKWAD
(PAN:AESPG6472Q)
|
|
|
|
GAEKWAD PLANTATIONS LTD.
PAN:AAACG7786L
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 27-FEB-2023 TO 26-FEB-2028
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-FEB-2023 TO 26-FEB-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-FEB-2023 TO 26-FEB-2028
DIRECTED NOT TO COLLECT ANY FRESH MONEY FROM THE INVESTORS UNDER ITS EXISTING SCHEMES
27-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 21/07/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. FURTHER, DIRECTED THAT EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED TILL NEXT DATE OF LISTING
SAT: SAT VIDE ITS ORDER DATED 29/09/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 422 |
|
|
YEZDI KHARIWALA
(PAN:AACPK8707E)
|
|
|
|
HDFC ASSET MANAGEMENT CO.LTD.
PAN:AAACH7614L
|
|
ALLEGED VIOLATION OF REGULATIONS 18(4)(D), 33(4) AND 39(1) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF REGULATIONS 2(B), 18(4)(D), 31 AND 33(4) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 423 |
|
|
YOGENDRA PRATAP SHAHI
(DIN:03453495
PAN:ATBPS3325E)
|
|
|
|
LIFE CARE INFRATECH LTD.
PAN:AACCL1319G
CIN:U70102UP2011PLC047389
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ITS ORDER DATED 14/09/2015 TO REFUND ALL THE MONEY COLLECTED THROUGH RPS ALONG WITH INTEREST
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2018
|
SEBI VIDE ITS NOTICE DATED 05/02/2021 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
|
| 424 |
|
|
YOGENDRA PRATAP SHAHI
(DIN:03453495
PAN:ATBPS3325E)
|
|
|
|
LIFE CARE REAL DEVELOPERS LTD.
PAN:AABCL8415G
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.65,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JAN-2019
|
SEBI VIDE ITS NOTICE DATED 01/09/2020 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
|
| 425 |
|
|
YUDHISHTHIR DILIP KHATAU
(DIN:00103650
PAN:AAHPK2447A)
|
|
|
ALLOTTED EQUITY SHARES TO PROMOTERS OF VARUN GLOBAL LTD. AND VARUN RESOURCES LTD. WHICH WERE NOT COVERED UNDER THE SCHEME OF ARRANGEMENT APPROVED BY BOMBAY HIGH COURT VIOLATING PARAGRAPH NO.1(D) OF PART A IN ANNEXURE TO SEBI CIRCULAR DATED 03/09/2009
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
11-APR-2022
|
SEBI VIDE ITS NOTICE DATED 05/03/2024 DIRECTED TO PAY RS.10,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 27/03/2024 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
|
| 426 |
|
|
ZAFAR YUNUS SARESHWALA
(DIN:00123536
PAN:ANYPS8494D)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ITS ORDER DATED 27/07/2010
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-JUN-2018
|
SAT: SAT VIDE ITS ORDER DATED 14/07/2021 DIRECTED RESPONDENT TO FILE APPLICATION FOR CONDONATION OF DELAY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/09/2021 ALLOWED APPELLANT TWO WEEKS TO FILE REJOINDER TO APPLICATION FOR CONDONATION OF DELAY
|
| 427 |
|
|
ZAFAR YUNUS SARESHWALA
(DIN:00123536
PAN:ANYPS8494D)
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
|
|
DID NOT REMOVE PINNACLE SHARES REGISTRY PVT. LTD. AS REGISTRAR & TRANSFER AGENT (RTA) AND APPOINT ANOTHER RTA WITHIN SIX MONTHS AS PER SEBI’S ORDER DATED 20/02/2009
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUL-2010 TO 21-JAN-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUL-2010 TO 21-JAN-2011
22-JUL-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
SAT: APPEAL DISMISSED
|
| 428 |
|
|
ZAFAR YUNUS SARESHWALA
(DIN:00123536
PAN:ANYPS8494D)
|
|
|
|
PARSOLI CORP.LTD.
PAN:AABCP9030F
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
DIRECTED TO COMPLETE THE PROCESS OF PUBLIC OFFER BY PAYING CONSIDERATION AMOUNT OF RS.22.82 PER EQUITY SHARE ALONG WITH SIMPLE INTEREST @12% P.A.FROM 27/07/2010 TILL THE DATE OF ACTUAL PAYMENT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
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-SEP-2024 TO 26-SEP-2027
IMPOSED PENALTY RS.25,00,000
27-SEP-2024
|
|
| 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 22 of 22
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