| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
HANUNG TOYS & TEXTILES LTD.
(CIN:L74999DL1990PLC041722
PAN:AAACH0496A)
|
|
|
ALLEGED DELAY IN COMPLIANCE OF REGULATIONS 73(1)(E) AND 74(4) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ALLEGED DELAY IN COMPLIANCE OF CLAUSE 24(A) OF LISTING AGREEMENT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,18,500 VIDE CONSENT ORDER)
02-FEB-2018
|
|
| 42 |
|
|
HPC BIOSCIENCES LTD.
(PAN:AABCH6762Q)
|
|
|
|
ARUN KUMAR GUPTA
PAN:AAKPG5996K
|
|
|
MADHU ANAND
PAN:AXTPA8813F
|
|
|
TARUN CHAUHAN
PAN:AGXPC3049G
|
|
DID NOT FILE PROSPECTUS AND DID NOT MAKE APPLICATION TO STOCK EXCHANGES FOR LISTING OF SHARES VIOLATING SECTIONS 56(1), 56(3), 60 READ WITH 67 OF COMPANIES ACT, 1956 AND REGULATIONS 4(2)(D) & (E), 5, 6, 7, 25, 26, 36, 37, 46, 47, 57 AND 59 OF SEBIICDR REGULATIONS, 2009 IN MATTER OF HPC BIOSCIENCES LTD.
|
IMPOSED PENALTY RS.10,00,000
22-APR-2022
|
SEBI VIDE ITS NOTICE DATED 14/10/2022 DIRECTED TO PAY RS.10,71,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 15/11/2022 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
|
| 43 |
|
|
HPC BIOSCIENCES LTD.
(PAN:AABCH6762Q)
|
|
|
|
ARUN KUMAR GUPTA
PAN:AAKPG5996K
|
|
|
MADHU ANAND
PAN:AXTPA8813F
|
|
|
SAKSHI SAXENA
PAN:BLRPS4522G
|
|
|
TARUN CHAUHAN
PAN:AGXPC3049G
|
|
ACTED FRAUDULENTLY TO LIST SCRIP OF THE COMPANY AND SUBSEQUENTLY DIVERT THE IPO PROCEEDS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF HPC BIOSCIENCES LTD.
INDULGED IN CONSPIRACY TO ACHIEVE MINIMUM SUBSCRIPTION OF IPO AND ONCE THE SAID PLAN WAS SUCCESSFUL, FUNDS WERE TRANSFERRED BACK TO THE ENTITIES WHO FUNDED THE IPO VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF HPC BIOSCIENCES LTD.
INDULGED IN CONSPIRACY TO ACHIEVE MINIMUM SUBSCRIPTION OF IPO AND ONCE THE SAID PLAN WAS SUCCESSFUL, FUNDS WERE TRANSFERRED BACK TO THE ENTITIES WHO FUNDED THE IPO VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF HPC BIOSCIENCES LTD.
DID NOT SUBMIT REQUIRED INFORMATION/DOCUMENTS IN RESPECT TO TRANSFER OF FUNDS BY COMPANY FROM IPO PROCEEDS IN MATTER OF IPO OF HPC BIOSCIENCES LTD.
DID NOT UTILIZE IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS AND GAVE WRONG DISCLOSURES WITH RESPECT TO IPO PROCEED IN HALF YEARLY DISCLOSURE VIOLATING CLAUSES 45 AND 46 OF THE LISTING AGREEMENT FOR SMES READ WITH SECTION 21 OF SCRA ACT, 1956
|
IMPOSED PENALTY RS.25,00,000
25-FEB-2022
|
SEBI VIDE ITS NOTICE DATED 29/07/2022 DIRECTED TO PAY RS.26,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 17/08/2022 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
|
| 44 |
|
|
ICL MULTITRADING INDIA PVT.LTD.
(PAN:AADCI0281K)
|
|
|
|
ROOP KISHORE GOLA
PAN:AGGPG7401F
|
|
MADE INCORRECT AND MISLEADING DISCLOSURES IN IPO PROSPECTUS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF ICL MULTITRADING INDIA LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
05-JUL-2021
|
|
| 45 |
|
|
ICORE-E-SERVICES LTD.
(CIN:U72400WB2007PLC115309)
|
|
|
|
AMAL BHATTACHARYA
PAN:AKDPB6648N
|
|
|
ANUKUL MAITI
DIN:01884307
PAN:AOMPM9182R
|
|
|
CHANDAN DEY
|
|
|
KANIKA MAITI
DIN:02029931
PAN:AOTPM3722N
|
|
|
MAHADEB SEN
DIN:01396620
|
|
|
RADHASHYAM GIRI
PAN:ARJPG7051P
|
|
|
SARAL RANJAN GUPTA
PAN:AMAPS4265M
|
|
|
SWAPAN KUMAR ROY
DIN:02621357
PAN:ANVPR7210H
|
|
|
TAPAN KUMAR CHARTERJEE
PAN:AGVPC6440K
|
|
MOBILIZED RS.54.75 CRORES FROM PUBLIC THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 5,239 INVESTORS VIOLATING SECTIONS 60 READ WITH 2(36), 56(1), 56(3) AND 73 OF COMPANIES ACT, 1956 IN MATTER OF ICORE-E-SERVICES LTD.
VIOLATED SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT ADHERE TO ICDR DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2009
|
RESTRAINED FROM MOBILIZING FUNDS FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-DEC-2017 TO 10-DEC-2021
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 11-DEC-2017 TO 10-DEC-2021
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-DEC-2017 TO 10-DEC-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-DEC-2017 TO 10-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED TO SUBMIT INFORMATION/DOCUMENTS AS PER SEBI LETTER DATED 05/11/2012 & 20/12/2012, AUDITED BALANCE SHEETS FOR THE PERIOD 2009-2010 TO 2013-2014, INFORMATION ABOUT AMOUNT RAISED AND RECONCILIATION OF RS.5.50 CRORE
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-DEC-2017 TO 10-DEC-2021
25-JUL-2014
|
SEBI VIDE ITS ORDER DATED 05/03/2015 CONFIRMED ALL THE DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 25/07/2014 AND DIRECTED NOTICEES TO PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF THEIR ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECRUTIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 11/12/2017 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF EQUITY SHARES WITH INTEREST @ 15% P.A. FROM WITHIN A PERIOD OF 90 DAYS FROM THE DATE OF RECEIPT OF THIS ORDER THROUGH BANK DEMAND DRAFT OR ELECTRONIC MODE OF TRANSFER B) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT CHARTERED ACCOUNTANTS AFTER PROPER VERIFICATION C) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY AND RESTRAINED FROM ASSOCIATING THEMSELVES, WITH ANY LISTED PUBLIC COMPANY OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 46 |
|
|
IFL PROMOTERS LTD.
(CIN:L65910DL1992PLC049014
PAN:AAACI5322C)
|
|
|
|
ANJANA GUPTA
PAN:AHCPG7242H
|
|
DELAY IN REALIZATION OF UPFRONT AMOUNT EQUIVALENT TO 25% OF ISSUE PRICE AGAINST EACH WARRANT VIOLATING REGULATION 77(2) OF SEBI (ICDR) REGULATION, 2009
|
IMPOSED PENALTY RS.15,00,000
20-SEP-2023
|
SEBI VIDE ITS NOTICE DATED 02/02/2024 DIRECTED TO PAY RS.15,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 01/03/2024 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
|
| 47 |
|
|
INVENTURE GROWTH & SECURITIES LTD.
(PAN:AAACI2044K)
|
|
|
|
AJAY KHERA
PAN:AJAPK7458D
|
|
|
ARUN NARAYAN JOSHI
PAN:AAFPJ6710M
|
|
|
ARVIND JETHALAL GALA
PAN:ACSPG7022Q
|
|
|
BHAVI RAHUL GANDHI
PAN:APGPG9247J
|
|
|
DEEPAK M.VAISHNAV
PAN:AABPV3392D
|
|
|
HARSHAVARDHAN MAROTRAO GAJBHIYE
PAN:AABPG8423A
|
|
|
JAMBUNATHAN SRINIVASA IYER
PAN:AAAPI3724P
|
|
|
KANJI BHACHUBHAI RITA
PAN:AABPR6131J
|
|
|
NAGJI KESHAVJI RITA
DIN:00117052
PAN:AADPR7934H
|
|
|
PRAVIN NANJI GALA
PAN:AACPG2087R
|
|
|
VINOD KANJI SHAH
PAN:AAEPS7502F
|
|
|
VIRENDRA DUDHNATH SINGH
PAN:AAVPS0709B
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
IMPOSED PENALTY RS.75,00,000
30-AUG-2019
|
|
| 48 |
|
|
INVENTURE GROWTH & SECURITIES LTD.
(PAN:AAACI2044K)
|
|
|
|
ARVIND JETHALAL GALA
PAN:ACSPG7022Q
|
|
|
BHAVI RAHUL GANDHI
PAN:APGPG9247J
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-AUG-2018 TO 05-AUG-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-AUG-2018 TO 05-AUG-2021
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PERIOD OF RESTRAINT TO THREE YEARS FROM FOUR YEARS
SAT: SAT VIDE ITS ORDER DATED 26/02/2020 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER 10/10/2019 AND MATTER REMITTED TO AO TO DECIDE AFRESH
|
| 49 |
|
|
INVENTURE GROWTH & SECURITIES LTD.
(PAN:AAACI2044K)
|
|
|
|
AJAY KHERA
PAN:AJAPK7458D
|
|
|
ARUN NARAYAN JOSHI
PAN:AAFPJ6710M
|
|
|
DEEPAK M.VAISHNAV
PAN:AABPV3392D
|
|
|
HARSHAVARDHAN MAROTRAO GAJBHIYE
PAN:AABPG8423A
|
|
|
JAMBUNATHAN SRINIVASA IYER
PAN:AAAPI3724P
|
|
|
KANJI BHACHUBHAI RITA
PAN:AABPR6131J
|
|
|
NAGJI KESHAVJI RITA
DIN:00117052
PAN:AADPR7934H
|
|
|
PRAVIN NANJI GALA
PAN:AACPG2087R
|
|
|
VINOD KANJI SHAH
PAN:AAEPS7502F
|
|
|
VIRENDRA DUDHNATH SINGH
PAN:AAVPS0709B
|
|
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING REGULATION 57(1) AND 57(2) READ WITH CLAUSE 2(VII)(G) AND (XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI ICDR REGULATIONS, 2009 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
DID NOT MAKE CORRECT DISCLOSURE OF BRIDGE LOAN AND ACCEPTANCE OF DEPOSITS IN IPO PROSPECTUS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1) AND 4(2)(K) & (R) OF PFUTP REGULATIONS, 2003 IN MATTER OF INVENTURE GROWTH & SECURITIES LTD.
|
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 01-JAN-2019 TO 31-DEC-2022
06-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PERIOD OF RESTRAINT TO THREE YEARS FROM FOUR YEARS
SAT: SAT VIDE ITS ORDER DATED 06/02/2020 DISMISSED REVIEW APPLICATION
|
| 50 |
|
|
INVENTURE MERCHANT BANKER SERVICES PVT.LTD.
(PAN:AACCI7082H)
|
|
|
DID NOT MAKE TRUE AND ADEQUATE DISCLOSURE IN OFFER DOCUMENT VIOLATING REGULATION 64 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF GCM SECURITIES LTD.
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2023
|
|
| 51 |
|
|
JABEEN TRADELINK PVT.LTD.
(PAN:AACCJ2408A)
|
|
|
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING SECTION 12A (A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING REGULATIONS 77(1) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2021 TO 29-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2021 TO 29-APR-2023
DIRECTED TO PAY BALANCE CONSIDERATION TO SECUNDERABAD HEALTHCARE LTD.
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-APR-2021
|
SEBI VIDE ITS ORDER DATED 23/09/2022 DISPOSED OFF SCN DATED 19/06/2019 WITHOUT ANY DIRECTION
|
| 52 |
|
|
JUMBO FINANCE LTD.
(PAN:AAACJ0882E
CIN:L65990MH1984PLC032766)
|
|
|
ALLEGED DELAY IN FILING OF LISTING APPLICATION VIOLATING REGULATION 108(2) OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED DELAY IN MAKING ALLOTMENT OF SHARES VIOLATING REGULATION 74(1) OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED FAILURE IN TAKING APPROVAL OF SHAREHOLDERS AS WELL AS IN-PRINCIPLE APPROVAL OF STOCK EXCHANGES VIOLATING REGULATIONS 74(2) AND 73(1)(E) OF CHAPTER VII OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED FAILURE IN TAKING APPROVAL OF SHAREHOLDERS AS WELL AS IN-PRINCIPLE APPROVAL OF STOCK EXCHANGES VIOLATING CLAUSE 24(A) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 READ WITH REGULATION 28(1) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.44,20,000 VIDE CONSENT ORDER)
25-JAN-2023
|
|
| 53 |
|
|
NANDLALBHAI GHANSHYAMBHAI PARELIA (HUF)
(PAN:AAKHP5230R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF DHYANA FINSTOCK LTD.
INDULGED IN FRAUDULENTLY ISSUANCE OF PREFERENCE SHARES VIOLATING SECTIONS 12A TO (C) OF SEBI ACT., 1992 READ WITH REGULATION 77(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF DHYANA FINSTOCK LTD.
|
IMPOSED PENALTY RS.10,00,000
11-AUG-2020
|
SEBI VIDE ITS NOTICE DATED 28/07/2021 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 NOTICE DATED 31/01/2023 ALLOWED THE APPEAL AND 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 28/07/2021
|
| 54 |
|
|
NCL INDUSTRIES LTD.
|
|
|
SOLD SHARES DURING LOCK-IN PERIOD VIOLATING REGULATIONS 78(6) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
IMPOSED PENALTY RS.5,00,000
29-OCT-2018
|
|
| 55 |
|
|
NETWORK 18 MEDIA & INVESTMENTS LTD.
(PAN:AABCS2472G)
|
|
|
ALLEGED FAILURE TO DISCLOSE INDEPENDENT MEDIA TRUST (IMT) AS A PROMOTER IN DRAFT LETTER OF OFFER (DLO) VIOLATING REGULATION 57(1) AND CLAUSES 5(VI)(C)(4), (5) AND (6) OF PART E OF SCHEDULE VIII READ WITH REGULATION 57(2)(B) OF SEBI (ICDR) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,55,87,500 VIDE CONSENT ORDER)
15-MAR-2021
|
|
| 56 |
|
|
NIRVANA MALL MANAGEMENT CO.PVT.LTD.
(PAN:AACCN2665B)
|
|
|
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING SECTION 12A (A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING REGULATIONS 77(1) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2021 TO 29-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2021 TO 29-APR-2023
DIRECTED TO PAY BALANCE CONSIDERATION TO SECUNDERABAD HEALTHCARE LTD.
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/06/2021 DISPOSED OFF THE URGENCY APPLICATION. DIRECTED RESPONDENT TO PROVIDE CERTIFIED COPY OF IMPUGNED ORDER WITH IN A WEEK FROM THE DATE OF THIS ORDER AND GRANTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED THE APPEAL AND SET ASIDE MATTER AND REMITTED APPEALS TO WTM FOR RECONSIDERATION OF THE ISSUE AFTER CONSIDERING THE ANNUAL REPORTS AND SUCH OTHER EVIDENCE
|
| 57 |
|
|
NISHOTTAM TRADERS PVT.LTD.
(PAN:AACCN7655D)
|
|
|
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING SECTION 12A (A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING REGULATIONS 77(1) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2021 TO 29-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2021 TO 29-APR-2023
DIRECTED TO PAY BALANCE CONSIDERATION TO SECUNDERABAD HEALTHCARE LTD.
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED TO FURNISH DETAILS OF ASSETS AND PROPERTIES OWNED DIRECTLY OR INDIRECTLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.3,71,22,625
30-APR-2021
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SAT: SAT VIDE ITS ORDER DATED 14/07/2021 ALLOWED RESPONDENT TO FILE REPLY TO THE MEMO OF APPEALS WITHIN THREE WEEKS FROM DATE OF THIS ORDER. REJOINDER MAY BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED THE APPEAL AND SET ASIDE MATTER AND REMITTED APPEALS TO WTM FOR RECONSIDERATION OF THE ISSUE AFTER CONSIDERING THE ANNUAL REPORTS AND SUCH OTHER EVIDENCE
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| 58 |
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NU PHARMALOGICS PVT.LTD.
(PAN:AACCN2913J)
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RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING SECTION 12A (A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
RECEIVED WARRANTS/SHARES ON BASIS OF PREFERENTIAL ALLOTMENT FROM COMPANY WITHOUT MAKING PAYMENT OF FULL CONSIDERATION VIOLATING REGULATIONS 77(1) AND 77(3) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF SECUNDERABAD HEALTHCARE LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-APR-2021 TO 29-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-APR-2021 TO 29-APR-2023
DIRECTED TO PAY BALANCE CONSIDERATION TO SECUNDERABAD HEALTHCARE LTD.
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2022 DIRECTED TO FILE IMPLEADMENT APPLICATION WITHIN ONE WEEK
SAT: SAT VIDE ITS ORDER DATED 01/02/2022 ALLOWED IMPLEADMENT APPLICATION AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
|
| 59 |
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ONELIFE CAPITAL ADVISORS LTD.
(PAN:AAACO9540L)
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PANDOO PRABHAKAR NAIG
PAN:ACNPN2800J
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DID NOT EXERCISE DUE DILIGENCE WITH RESPECT TO DISCLOSURE MADE IN IPO PROSPECTUS VIOLATING CLAUSES 1 TO 4, 6, 7, 11 TO 13 AND 18 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL CONFLICT OF INTEREST INFORMATION MADE IN IPO PROSPECTUS VIOLATING CLAUSES 1 TO 4, 6, 7, 11 TO 13 AND 18 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
DID NOT EXERCISE DUE DILIGENCE WITH RESPECT TO DISCLOSURE MADE IN IPO PROSPECTUS VIOLATING REGULATION 64(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL CONFLICT OF INTEREST INFORMATION MADE IN IPO PROSPECTUS VIOLATING REGULATION 64(1) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF PARAMOUNT PRINTPACKAGING LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2022
|
SAT: SAT VIDE ITS ORDER DATED 05/06/2023 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDER DATED 30/12/2022
|
| 60 |
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ORCHID PHARMA LTD.
(PAN:AAACO0402B)
|
|
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ALLEGED FAILURE IN COMPLIANCE OF LOCK-IN PROVISIONS AS REQUIRED UNDER REGULATION 78(6) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,25,000 VIDE CONSENT ORDER)
24-JUL-2017
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| 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 3 of 5
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