| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
AROMA ENTERPRISES (INDIA) LTD.
(PAN:AADCS0854J)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(3) OF SEBI TAKEOVER CODE, 1997
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
DID NOT SHOW SIRHIND STEEL LTD. AS PAC IN SHAREHOLDING PATTER VIOLATING CLAUSE 35 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.10,00,000
28-JUN-2019
|
|
| 42 |
|
|
ARROW SECURITIES LTD.
|
|
|
|
PARAG POPATBHAI PATEL
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2000 TO 19-JUN-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2000 TO 19-JUN-2005
20-JUN-2000
|
|
| 43 |
|
|
ARROW SECURITIES LTD.
|
|
|
|
CHANDRAKANT H.PATEL
|
|
|
PANKAJ PATEL
|
|
|
SAMIR V.PARIKH
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 44 |
|
|
ARTIFICE PROPERTIES PVT.LTD.
(PAN:AAGCA5140E)
|
|
|
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
|
| 45 |
|
|
ASAHI INFRASTRUCTURE & PROJECTS LTD.
(PAN:AAACA8777F)
|
|
|
|
LAXMINARAYAN JAINARAYAN RATHI
PAN:ABDPR9730L
|
|
INDULGED IN FINANCING OF OWN GDR ISSUE AND MISLED INVESTORS BY MAKING FALSE DISCLOSURES TO SEBI VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF ASAHI INFRASTRUCTURE & PROJECTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN AND DETAILS OF OUTSTANDING GDRS TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT
|
IMPOSED PENALTY RS.10,15,00,000
26-MAY-2020
|
SEBI VIDE ITS NOTICE DATED 31/12/2021 DIRECTED TO PAY A RS.12,09,89,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 11/04/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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
|
| 46 |
|
|
ATLANTA INFRASTRUCTURE & FINANCE LTD.
(PAN:AACCK4042R)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.1,00,000
30-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 27/07/2023 DIRECTED TO PAY RS.1,13,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 14/09/2023 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
|
| 47 |
|
|
AUROMA COKE LTD.
|
|
|
|
RAJIV TULSYAN
|
|
|
S.K.CHAPALIKA
|
|
|
SANJEEV TULSYAN
|
|
|
VIMAL KUMAR TULSYAN
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 48 |
|
|
AVR SECURITIES LTD.
|
|
|
|
A.K.AHILAN
|
|
|
D.MANAMOHAN
|
|
|
J.RAVICHANDRAN
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 49 |
|
|
AVR SECURITIES LTD.
|
|
|
|
M.KANDASAMY
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 50 |
|
|
AVR SECURITIES LTD.
|
|
|
|
J.VASANTHA
|
|
|
VIJAY LAKSHMI AHILAN
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2000 TO 19-JUN-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2000 TO 19-JUN-2005
20-JUN-2000
|
|
| 51 |
|
|
BABA ARTS LTD.
(PAN:AACCB5518R)
|
|
|
DELAY IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION (NON APPROVAL OF ISSUANCE OF BONUS SHARES TO SHAREHOLDERS) VIOLATING OF CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DELAY IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION (NON APPROVAL OF ISSUANCE OF BONUS SHARES TO SHAREHOLDERS) VIOLATING REGULATION 2 (HA) OF (PIT) REGULATIONS 1992 AND CLAUSES 1.1 AND 2.1 OF CODE OF CORPORATE DISCLOSURE PRACTICE FOR PREVENTION OF INSIDER TRADING IN SCHEDULE II TO REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION (NON APPROVAL OF ISSUANCE OF BONUS SHARES TO SHAREHOLDERS) VIOLATING REGULATION 103 OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,00,000
07-AUG-2017
|
|
| 52 |
|
|
BADAL EXPORTS & CONSULTANTS LTD.
|
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
IMPOSED PENALTY RS.1,00,000
01-DEC-2004
|
PENALTY AMOUNT OF RS.1,00,000.00 PAID BY COMPANY ON 25/07/2011 VIDE DEMAND DRAFT NO.008066 DATED 21/07/2011
|
| 53 |
|
|
BAFFIN ENGINEERING PROJECTS LTD.
|
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
IMPOSED PENALTY RS.1,00,000
01-DEC-2004
|
|
| 54 |
|
|
BAFNA SPINNING MILLS & EXPORTS LTD.
(PAN:AACCB2067K)
|
|
|
|
B.NAGABHUSHANAM
|
|
|
R.SUDHEENDRA
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 55 |
|
|
BAHUMA POLYTEX LTD.
|
|
|
|
HARISH SHAH
|
|
|
LAXMIKANT BHAGUBHAI
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2000 TO 19-JUN-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2000 TO 19-JUN-2005
20-JUN-2000
|
|
| 56 |
|
|
BALASORE ALLOYS LTD.
(PAN:AAACI3967P)
|
|
|
|
ANIL KUMAR SUREKHA
PAN:AJGPS8652M
|
|
|
RAJENDRA KUMAR PARAKH
PAN:AEJPP0728B
|
|
MISREPRESENTED REPAYMENT OF “LONG-TERM BORROWINGS” TO SRI MAHALAXMI SOLAR ENERGY PVT.LTD. & JALTARANG VANIJYA PVT.LTD. AND RECEIPT OF “LOANS & ADVANCES” GIVEN TO UTTAM GALVA METALLICS LTD. VIOLATING SECTION 12A(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BALASORE ALLOYS LTD.
MISREPRESENTED BOGUS PURCHASES IN NAME OF CRACKERS INDIA ALLOYS LTD. VIOLATING SECTION 12A OF SEBI ACT, 1992 READ WITH REGULATIONS 4(1), 4(2)(E), 4(2)(F), 4(2)(K), AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BALASORE ALLOYS LTD.
MISREPRESENTED REPAYMENT OF “LONG-TERM BORROWINGS” TO SRI MAHALAXMI SOLAR ENERGY PVT.LTD. & JALTARANG VANIJYA PVT.LTD. AND RECEIPT OF “LOANS & ADVANCES” GIVEN TO UTTAM GALVA METALLICS LTD. VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E), 4(1)(G), 4(2)(E), 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 49(I)(C) OF LISTING AGREEMENT DATED 17/04/2014 READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BALASORE ALLOYS LTD.
MISREPRESENTED BOGUS PURCHASES IN NAME OF CRACKERS INDIA ALLOYS LTD. VIOLATING REGULATIONS 4(1)(A), 4(1)(B), 4(1)(C), 4(1)(E), 4(1)(G), 4(2)(E), 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH CLAUSE 49(I)(C) OF LISTING AGREEMENT DATED 17/04/2014 READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BALASORE ALLOYS LTD.
MISREPRESENTED REPAYMENT OF “LONG-TERM BORROWINGS” TO SRI MAHALAXMI SOLAR ENERGY PVT.LTD. & JALTARANG VANIJYA PVT.LTD.AND RECEIPT OF “LOANS & ADVANCES” GIVEN TO UTTAM GALVA METALLICS LTD. VIOLATING SECTION 21 OF SCRA, 1956 AND SECTION 27(1) OF SEBI ACT, 1992 IN MATTER OF BALASORE ALLOYS LTD.
MISREPRESENTED BOGUS PURCHASES IN NAME OF CRACKERS INDIA ALLOYS LTD. VIOLATING SECTION 21 OF SCRA, 1956 AND SECTION 27(1) OF SEBI ACT, 1992 IN MATTER OF BALASORE ALLOYS LTD.
|
IMPOSED PENALTY RS.10,00,000
18-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 23/11/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILE WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/01/2024 DISMISSED THE APPEAL FOR STAY AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 57 |
|
|
BANJAX LTD.
(Along with : GHCL LTD.)
|
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 58 |
|
|
BANKAM INVESTMENT LTD.
|
|
|
SECURITIES UNDER INVESTIGATION
DID NOT FURNISH FINANCIAL RESULTS INCLUDING CASH FLOW STATEMENTS, BALANCE SHEET AND PROFIT & LOSS ACCOUNT TO STOCK EXCHANGE
|
SUSPENDED TRADING ON ALL STOCK EXCHANGES FROM 29-SEP-2005 TILL FURTHER ORDERS
29-SEP-2005
|
DIRECTED THAT THE INTERIM ORDER DATED 29/09/2005 SHALL REMAIN IN FORCE TILL FURTHER ORDERS
|
| 59 |
|
|
BECKONS INDUSTRIES LTD.
(CIN:L21017PB1992PLC012574
PAN:AABCA2425K)
|
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF 1.44 MN.GDRS FOR RS.21.57 CRORES BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (AQUA) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(F), (K) & (R) OF PFUTP REGULATIONS, 2003
DID NOT MAKE DISCLOSURE OF PRE-ARRANGEMENT FOR SUBSCRIPTION OF GDRS VIOLATING CLAUSES 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,25,00,000
03-FEB-2021
|
|
| 60 |
|
|
BECKONS INDUSTRIES LTD.
(CIN:L21017PB1992PLC012574
PAN:AABCA2425K)
|
|
|
DEVISED MANIPULATIVE AND DECEPTIVE SCHEME TO ENSURE SUBSCRIPTION OF GDRS WITHOUT ANY CONSIDERATION VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE DISCLOSURE OF PRE-ARRANGEMENT FOR SUBSCRIPTION OF GDRS VIOLATING CLAUSES 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,25,00,000
25-JUN-2020
|
SEBI VIDE ITS NOTICE DATED 23/08/2022 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
SEBI VIDE ITS ORDER DATED 12/10/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF BECKONS INDUSTRIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 28
|
