| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 441 |
|
TTL ENTERPRISES LTD.
(PAN:AAACT8908K)
|
|
|
DID NOT EXECUTE TRIPARTITE AGREEMENT BETWEEN ERSTWHILE REGISTRAR AND SHARE TRANSFER AGENT ACCURATE SECURITIES & REGISTRY PVT.LTD. VIOLATING REGULATION 7(4) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,00,000
31-DEC-2021
|
SAT: SAT VIDE ITS ORDER DATED 15/02/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 16/06/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 31/12/2021. DIRECTED APPELLANT TO ENTER INTO AGREEMENT WITH STA AS PER THE PRESCRIBED FORMAT PROVIDED IN LETTER OF SEBI DATED 28/11/2016 WITHIN SIX WEEKS FROM DATE OF THIS ORDER
|
| 442 |
|
|
TV 18 EMPLOYEES WELFARE TRUST
(PAN:AAAAT7678Q)
|
|
|
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
|
|
| 443 |
|
|
TV VISION LTD.
(PAN:AACCT7276Q)
|
|
|
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES FOR DELAYING THE DISCLOSURE OF INFORMATION OF DOWNGRADING OF RATING VIOLATING REGULATION 30(6) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF TV VISION LTD.
DID NOT PROVIDE EXPLANATION TO STOCK EXCHANGE FOR DELAY IN MAKING DISCLOSURE OF INFORMATION OF DOWNGRADING OF RATING VIOLATING CLAUSES 1 AND 4 OF SCHEDULE A READ WITH REGULATION 8(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TV VISION LTD.
|
IMPOSED PENALTY RS.6,00,000
31-MAR-2023
|
|
| 444 |
|
|
U.P.POWER CORP.LTD.
(PAN:AAACU5088M)
|
|
|
DELAY IN SUBMISSION OF STATEMENT OF INVESTOR'S COMPLAINTS TO STOCK EXCHANGES VIOLATING REGULATIONS 13(3) AND 13(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT STATEMENT OF INVESTOR'S COMPLAINTS TO STOCK EXCHANGES VIOLATING REGULATIONS 13(3) AND 13(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT INTIMATE IN ADVANCE TO STOCK EXCHANGES REGARDING THE MEETING OF BOARD OF DIRECTORS AT WHICH RECOMMENDATION OR DECLARATION OF ISSUE OF NCDS OR MATTER AFFECTING THE RIGHTS OR INTEREST OF HOLDERS VIOLATING REGULATION 50(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PREPARE HALF YEARLY FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(1), (2), (4), (5) AND (8) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF SECURITY CREATED AND MAINTAINED WITH RESPECT TO ITS LISTED NCDS TO STOCK EXCHANGES VIOLATING REGULATION 54(2) OF SEBI (LODR) REGULATIONS, 2015
ANNUAL REPORT OF THE COMPANY DID NOT CONTAIN THE DETAILS OF DEBENTURE TRUSTEE VIOLATING REGULATION 53 OF SEBI (LODR) REGULATIONS, 2015
DID NOT PROVIDE UNDERTAKING BY DEBENTURE TRUSTEE TO STOCK EXCHANGES VIOLATING REGULATION 57(2) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,00,000
04-DEC-2020
|
|
| 445 |
|
|
UNISHIRE URBANSCAPE PVT.LTD.
(PAN:AABCU2652A)
|
|
|
DELAY IN SUBMISSION OF HALF YEARLY FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(1), 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
28-JAN-2021
|
SEBI VIDE ITS NOTICE DATED 01/09/2021 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 28/09/2021 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 01/09/2021
|
| 446 |
|
|
UNITECH LTD.
(CIN:L74899DL1971PLC009720
PAN:AAACU1482H)
|
|
|
DID NOT PROVIDE COMPLAINANT A COPY OF STATEMENT ON IMPACT OF AUDIT QUALIFICATIONS OF COMPANY FOR FY 2015-16 VIOLATING REGULATION 13(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DID NOT SUBMIT STATEMENT ON IMPACT OF AUDIT QUALIFICATIONS OF COMPANY FOR FY 2015-16 VIOLATING REGULATIONS 33(3(D)) READ WITH 34(2) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DID NOT FURNISH INFORMATION TO SEBI BY NOT FILING ATR UNDER SCORES WITHIN 30 DAYS OF DATE OF RECEIPT OF INVESTOR GRIEVANCE VIOLATING CLAUSE 13 OF SEBI CIRCULAR NO. CIR/OIAE/1/2014 DATED 18/12/2014
|
IMPOSED PENALTY RS.6,00,000
28-MAR-2019
|
|
| 447 |
|
|
UNIVERSAL CREDIT & SECURITIES LTD.
(PAN:AAACU2627G)
|
|
|
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(D), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING REGULATION 4(1)(B), (C), (G), (J), 33(1)(D), 33(3)(D), (E), 34(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING CLAUSE 41(I)(D)(IV), AND (V) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.11,00,000
21-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 26/10/2023 DIRECTED TO PAY RS.12,44,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 11/12/2023 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
|
| 448 |
|
|
UPL LTD.
(PAN:AABCS1698G)
|
|
|
ALLEGED FAILURE IN ENSURING MODIFICATION THE TERMS OF APPOINTMENT OF AUDITOR (KPMG MAURITIUS) OF ITS MATERIAL SUBSIDIARY, UPL MAURITIUS
ALLEGED FAILURE IN OBTAINING LIMITED REVIEW OF ITS MATERIAL SUBSIDIARY, UPL MAURITIUS UPON RESIGNATION OF ITS AUDITOR, KPMG MAURITIUS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.19,50,000 VIDE CONSENT ORDER)
06-MAY-2022
|
|
| 449 |
|
|
URJA GLOBAL LTD.
(PAN:AAACC0367M)
|
|
|
|
AVINASH KUMAR AGARWAL
PAN:ALQPA4274P
|
|
|
PRIYA BHALLA
PAN:AGPPB9884L
|
|
|
SUNIL KUMAR MITTAL
PAN:AXSPM4529P
|
|
|
YOGESH KUMAR GOYAL
PAN:ASXPG1218M
|
|
DID NOT PUBLISH THE DETAILS PERTAINING TO THE CORPORATE ANNOUNCEMENTS RELATED TO PURPORTED MOU WITH NIPPON SHINYAKU ON ITS WEBSITE VIOLATING REGULATION 30(8) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PROVIDE SPECIFIC AND ADEQUATE REPLY TO THE QUERIES RAISED BY BSE VIOLATING REGULATION 30(10) OF SEBI (LODR) REGULATIONS, 2015
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-MAY-2022 TO 12-MAY-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-MAY-2022 TO 12-MAY-2024
PROHIBITED FROM RAISING MONEY FROM PUBLIC FROM 13-MAY-2022 TO 12-MAY-2024
13-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 04/01/2023 DISMISSED THE APPEAL
|
| 450 |
|
|
URJA GLOBAL LTD.
(PAN:AAACC0367M)
|
|
|
|
ADITYA VENKETESH
PAN:AGHPV8923A
|
|
|
DHEERAJ SISODIA
PAN:BCTPS9910B
|
|
|
HONEY GUPTA
PAN:ALLPG7605D
|
|
|
MITA SINHA
PAN:AGOPS8899K
|
|
|
MOHAN JAGDISH AGARWAL
PAN:AGMPA0728K
|
|
|
PAYAL SHARMA
PAN:ANUPS3895G
|
|
|
RAJIV GUPTA
PAN:AEQPG3549A
|
|
|
SUNIL KUMAR MITTAL
PAN:AXSPM4529P
|
|
|
YOGESH KUMAR GOYAL
PAN:ASXPG1218M
|
|
MADE INCOMPLETE DISCLOSURE WITH RESPECT TO ENTERING INTO MOU/JOINT VENTURE AGREEMENTS WITH OTHER ENTITIES AND LACKED NECESSARY DETAILS VIOLATING REGULATION 30(2) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR DATED 09/09/2015
DID NOT ADHERE TO OBJECT CLAUSE WHILE ENTERING IMPUGNED AGREEMENTS VIOLATING REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015
DID NOT ADHERE TO DIRECTIONS OF SEBI ORDER DATED 13/05/2022 VIOLATING REGULATION 5 OF SEBI (LODR) REGULATIONS, 2015
DID NOT GIVE MATERIAL UPDATES TO MEMORANDUM OF UNDERSTANDING (MOUS) AND STOCK EXCHANGES TILL THEIR CONCLUSION VIOLATING REGULATION 30(7) READ WITH SCHEDULE V PARA 2 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF INFORMATION IN ANNUAL REPORT VIOLATION REGULATION 34 READ WITH SCHEDULE V PARA 2 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF COMPLETE AND ACCURATE INFORMATION TO SHAREHOLDERS VIOLATION REGULATION 34(3) READ WITH SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015
DISSEMINATED FALSE AND MISLEADING INFORMATION IN ANNOUNCEMENT VIOLATING REGULATIONS 4(1)(C), 4(1)(D), 4(1)(E), 4(1)(G), 4(1)(H), 4(1)(I) AND 4(1)(J) OF SEBI (LODR) REGULATIONS, 2015
DID NOT PLACE MINIMUM INFORMATION BEFORE BOARD OF DIRECTORS VIOLATING REGULATION 17(7) READ WITH SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF URJA GLOBAL LTD.
DISCLOSED FALSE INFORMATION VIOLATING REGULATIONS 3(D), 4(1), 4(2)(K) AND 4(2)(R) READ WITH REGULATIONS 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF URJA GLOBAL LTD.
|
IMPOSED PENALTY RS.40,00,000
29-JAN-2025
|
SAT: SAT VIDE ITS ORDER DATED 05/05/2025 GRANTED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER. STAYED RECOVERY SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 451 |
|
|
UTKARSH SMALL FINANCE BANK LTD.
(PAN:AABCU9355J)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 7(1), 7(3), 13(3), 13(4), 50(1) TO 50(3), 51(1), 51(2), 52(1) TO 52(3), 52(5), 53, 57(1), 57(2) AND 60(2) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,24,23,600 VIDE CONSENT ORDER)
10-APR-2024
|
|
| 452 |
|
|
V.B.INDUSTRIES LTD.
(CIN:L51909WB1982PLC035222
PAN:AAACV9152B)
|
|
|
|
JAGANNATH PANDIT
PAN:BEBPP5358E
|
|
|
VIKASH KOTHARI
PAN:AQWPK3687R
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF VBIL AND SUBSIDIARIES VIOLATING SECTIONS 12A (A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF VBIL AND SUBSIDIARIES VIOLATING REGULATIONS 30(4)(II), 33(1)(D), 33(2)(A), 33(3)(A), 34(2)(C) AND 46(2)(I) OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956
DID NOT FURNISH INFORMATION SOUGHT BY FORENSIC AUDITOR
|
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 08-JUL-2021 TO 07-JUL-2022
08-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 13/01/2022 CONDONED OF DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/03/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 453 |
|
|
V.B.INDUSTRIES LTD.
(CIN:L51909WB1982PLC035222
PAN:AAACV9152B)
|
|
|
|
RAJ KUMAR SHARMA
PAN:BMIPS9482B
|
|
|
SANDIP RAY
PAN:ANQPR2065K
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF VBIL 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 V.B.INDUSTRIES 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 08-JUL-2021 TO 07-JAN-2022
08-JUL-2021
|
|
| 454 |
|
|
V.B.INDUSTRIES LTD.
(CIN:L51909WB1982PLC035222
PAN:AAACV9152B)
|
|
|
|
JAGANNATH PANDIT
PAN:BEBPP5358E
|
|
|
RAJ KUMAR SHARMA
PAN:BMIPS9482B
|
|
|
SANDIP RAY
PAN:ANQPR2065K
|
|
|
VIKASH KOTHARI
PAN:AQWPK3687R
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF VBIL AND SUBSIDIARIES VIOLATING SECTIONS 12A (A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF VBIL AND SUBSIDIARIES VIOLATING REGULATIONS 30(4)(II), 33(1)(D), 33(2)(A), 33(3)(A), 34(2)(C) AND 46(2)(I) OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956
DID NOT FURNISH INFORMATION SOUGHT BY FORENSIC AUDITOR
|
IMPOSED PENALTY RS.40,00,000
08-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 13/01/2022 CONDONED OF DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/03/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 455 |
|
|
VALIANT ORGANICS LTD.
(PAN:AACCV0024A)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF CLAUSE I (A)(3)(B) OF ANNEXURE – I OF SEBI CIRCULAR NO.CFD/DIL3/CIR/2017/21 DATED 10/03/2017 READ WITH REGULATIONS 11, 37 AND 94 READ WITH REGULATION 101(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CONVERSION OF OPTIONALLY CONVERTIBLE PREFERENCE SHARES OF AMARJYOT CHEMICAL LTD.
ALLEGED FAILURE IN COMPLIANCE OF RULE 19(7) OF SECURITIES CONTRACTS (REGULATION) RULES, 19572015 IN MATTER OF CONVERSION OF OPTIONALLY CONVERTIBLE PREFERENCE SHARES OF AMARJYOT CHEMICAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
18-SEP-2023
|
|
| 456 |
|
|
VARNILAM INVESTMENTS & TRADING CO.LTD.
(PAN:AAACV1963E)
|
|
|
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
|
|
| 457 |
|
|
VEDANTA LTD.
(PAN:AACCS7101B)
|
|
|
|
AMAN MEHTA
PAN:AAGPM5030J
|
|
|
EDWARD T.STORY
PAN:AONPJ7391G
|
|
|
K.VENKATARAMANAN
PAN:AABPV8512F
|
|
|
LALITA D.GUPTE
PAN:AAEPG5696C
|
|
|
PRIYA AGARWAL
PAN:ANFPA8240C
|
|
|
RAVI KANT
PAN:AAIPK7999L
|
|
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
|
|
| 458 |
|
|
VEDANTA LTD.
(PAN:AACCS7101B)
|
|
|
MADE FALSE REPRESENTATIONS THROUGH PRESS RELEASE ON ITS LETTERHEAD REGARDING A MATERIAL EVENT, WHICH WAS NOT PERTAINING TO IT VIOLATING REGULATIONS 4(1)(C), 30(11) READ WITH 30(12) AND 46(3) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.30,00,000
30-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 21/07/2023 DISMISSED THE APPEAL AS WITHDRAWN
|
| 459 |
|
|
VEDANTA LTD.
(PAN:AACCS7101B)
|
|
|
DELAY IN PAYMENT OF DIVIDEND TO CAIRN UK HOLDINGS LTD.
|
DIRECTED TO PAY RS.77.62 CRORE ALONG WITH SIMPLE INTEREST @18% P.A. FOR THE DELAYED PAYMENT OF DIVIDEND CAINUK HOLDINGS LTD.
12-MAR-2024
|
SAT: SAT VIDE ITS ORDER DATED 20/03/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER AND DIRECTED APPELLANT TO DEPOSIT 50% OF INTEREST AMOUNT TO CAIRN UK HOLDINGS LTD. IN INTEREST BEARING ACCOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 18/06/2024 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK THEREAFTER TO FILE REJOINDER
|
| 460 |
|
|
VEDANTA LTD.
(PAN:AACCS7101B)
|
|
|
|
G.R.ARUN KUMAR
PAN:ADJPA2469F
|
|
|
NAVIN AGARWAL
PAN:ACTPA4140J
|
|
|
TARUN JAIN
PAN:AACPJ9089J
|
|
|
THOMAS ALBANESE
PAN:BNCPA8714K
|
|
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-MAY-2024
12-MAR-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 23 of 24
|
