| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 521 |
|
WHITE ORGANIC AGRO LTD.
(PAN:AAACW0337R)
|
|
|
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) 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 ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO LTD.
PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(E), 3(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO 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-MAY-2024 TILL FURTHER ORDERS
DIRECTED TO CONSTITUTE NEW AUDIT COMMITTEES AND PLACE THE COPY OF THIS ORDER BEFORE THEM
DIRECTED NEW AUDIT COMMITTEES TO ENSURE THAT ADD-SHOP E-RETAIL LTD. AND WHITE ORGANIC AGRO LTD. COMPLY WITH OTHER REQUIREMENTS UNDER LODR REGULATIONS, 2015
06-MAY-2024
|
|
| 522 |
|
|
WILLIAMSON FINANCIAL SERVICES LTD.
(PAN:AAACW4504A)
|
|
|
MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING CLAUSE 35B OF LISTING AGREEMENT AND REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015
|
IMPOSED PENALTY RS.5,00,000
30-JUN-2022
|
|
| 523 |
|
|
YASH CHEMEX LTD.
(PAN:AAACY2734L)
|
|
|
DELAY IN MAKING DISCLOSURE IN RELATION TO TRANSACTIONS RELATED TO ACQUISITION/DISPOSAL OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(2) READ WITH 30(6) AND CLAUSE 1 OF PARA A OF PART A OF SCHEDULE III TO SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,00,000
14-JAN-2026
|
|
| 524 |
|
|
YES BANK LTD.
(PAN:AAACY2068D)
|
|
|
ALLEGD FAILURE IN FOLLOWING DUE PROCEDURE TO DISCLOSE MATERIAL INFORMATION AND DID NOT HAVE SYSTEM IN PLACE TO ENSURE PROPER PROCEDURE TO MAKE DISCLOSURE OF MATERIAL INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 30(4)(I) & (II) AND 30(5) READ WITH 4(1) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.51,60,000 VIDE CONSENT ORDER)
04-SEP-2019
|
|
| 525 |
|
|
YES BANK LTD.
(PAN:AAACY2068D)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(2) OF SAST REGULATIONS, 2011
ALLEGED FAILURE IN COMPLIANCE OF REGULATION 4(1)(C) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,80,000 VIDE CONSENT ORDER)
29-JUN-2018
|
|
| 526 |
|
|
ZEE ENTERTAINMENT ENTERPRISES LTD.
(PAN:AAACZ0243R)
|
|
|
|
PUNIT GOENKA
PAN:AAEPG2529E
|
|
|
SUBHASH CHANDRA
PAN:AACPC4004A
|
|
DID NOT ADHERE TO IND-AS 24 AND 37 IN PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS
DEVISED A FRAUDULENT SCHEME TO PLEDGE ZEEL’S IMMOVABLE ASSET WITHOUT AUTHORIZATION TO SECURE VIOLATING REGULATION 34(3) READ WITH CLAUSE 1 OF PART A OF SCHEDULE V AND REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
DID NOT OBTAIN PRIOR APPROVAL FROM AUDIT COMMITTEE FOR RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
DID NOT MAKE DISCLOSURE OF FRAUDULENT UNAUTHORISED PLEDGE AND SUBSEQUENT MATERIAL DEVELOPMENTS IN MATTER OF ZEE ENTERTAINMENT 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 31-JUL-2026 TO 30-SEP-2026
IMPOSED PENALTY RS.30,00,000
31-JUL-2026
|
SAT: SAT VIDE ITS ORDER DATED 14/08/2026 PARTLY ALLOWED THE APPEAL. STAYED IMPUGNED ORDER DATED 31/07/2026 FOR LIMITED PURPOSE. PERMITTED TO COMPLETE PROCESS OF ISSUE OF FULLY CONVERTIBLE WARRANTS TO PROMOTER GROUP ENTITY ON PREFERENTIAL BASIS, SUBJECT TO DEPOSIT OF FULL PENALTY WITHIN ONE WEEK
|
| 527 |
|
|
ZEE ENTERTAINMENT ENTERPRISES LTD.
(PAN:AAACZ0243R)
|
|
|
|
PUNIT GOENKA
PAN:AAEPG2529E
|
|
|
SUBHASH CHANDRA
PAN:AACPC4004A
|
|
INDULGED IN DIVERSION OF FUNDS FROM ZEE ENTERTAINMENT ENTERPRISES LTD. AND OTHER LISTED COMPANIES AND FALSE SUBMISSION TO SEBI THAT IT HAD RECEIVED THE FUNDS FROM ASSOCIATE ENTITIES VIOLATING REGULATIONS 4(1) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
DID NOT DISCHARGE DUTY AS DIRECTORS FOR THEIR PERSONAL BENEFIT VIOLATING 4(2)(F) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
CEASED TO HOLD THE POSITION OF A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ITS SUBSIDIARIES FROM 12-JUN-2023
DIRECTED ZEE ENTERTAINMENT ENTERPRISES LTD. (ZEEL) TO PLACE THE ORDER DATED 12/06/2023 BEFORE BOARD OF DIRECTORS WITHIN SEVEN DAYS FROM THE DATE OF RECEIPT OF THE ORDER
12-JUN-2023
|
|
| 528 |
|
|
ZOLTON PROPERTIES PVT.LTD.
(PAN:AAACZ2996D)
|
|
|
INDULGED IN DIVERSION OF FUNDS OF RS.2315.09 CRORES (APPROX.) FROM RELIGARE FINVEST LTD. TO PROMOTERS AND THEIR RELATED ENTITIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1), 4(2)(F) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
DID NOT MAKE DISCLOSURE OF FUNDS ROUTED BY RELIGARE FINVEST LTD. THROUGH UNRELATED ENTITIES TO PROMOTERS AND PROMOTERS GROUP ENTITIES VIOLATING CLAUSE 32 OF LISTING AGREEMENT IN MATTER OF RELIGARE ENTERPRISES LTD.
MISREPRESENTATED FINANCIAL POSITION BY ROLLING OVER THE LOANS VIOLATING REGULATIONS 4(1)(B), (C), 30(1) AND 51(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
DIRECTED NOT TO DIVERT ANY FUNDS EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI
14-MAR-2019
|
SEBI VIDE ITS ORDER DATED 11/09/2019 DIRECTED NOT TO DISPOSED OFF OR ALIENATE ANY OF THEIR ASSETS OR DIVERT ANY FUNDS, EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI TILL COMPLETION OF INVESTIGATION AND FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 12/11/2020 REVOKED ITS DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 14/03/2019 READ WITH CORRIGENDUM ORDER DATED 18/04/2019
|
| 529 |
|
|
ZUARI AGRO CHEMICALS LTD.
(CIN:L65910GA2009PLC006177
PAN:AAACZ3924H)
|
|
|
|
NITIN MANGUESH KANTAK
PAN:ADRPK2173L
|
|
|
R.K.GUPTA
PAN:ABZPG0160B
|
|
|
SUNIL SETHY
PAN:ABTPS5430L
|
|
|
VIJAYAMAHANTESH KHANNUR
PAN:ASAPK8872A
|
|
ALLEGED UNDER-REPORTING OF LOSSES AND INAPPROPRIATELY RECORDED REAL IMPACT OF IMPAIRMENT IN FINANCIAL STATEMENTS
ALLEGED INDULGENCE IN TRANSFERRING CERTAIN BUSINESSES UNDER SLUMP SALE TO WHOLLY OWNED SUBSIDIARY AND RECORDED EXCEPTIONAL GAIN OF RS.698.97 CRORE
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM AUDIT COMMITTEE AND SHAREHOLDERS TO ENTER INTO MATERIAL RELATED PARTY TRANSACTIONS WITH ONE OF ITS RELATED PARTIES VIZ. PARADEEP PHOSPHATE LTD. OF RS.811.33 CRORE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,19,92,500 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 05-MAR-2026 TO 04-JUN-2026
05-MAR-2026
|
|
| 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 27 of 27
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