| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
AVENUE SUPERMARTS LTD.
(PAN:AACCA8432H)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (B) OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,00,000
31-JUL-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/09/2020 GRANTED FOUR WEEKS TIME TO RESPONDENT TO FILE AFFIDAVIT IN REPLY AND TWO WEEKS THEREAFTER FOR FILING AFFIDAVIT IN REJOINDER, IF ANY AND PLACED THE APPEAL FOR FINAL DISPOSAL ON 25/11/2020. IN THE MEANTIME, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED TO BE STAYED UPON DEPOSIT OF AMOUNT EQUAL TO PENALTY WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 10/06/2021 DIRECTED RESPONDENT TO FILE ADDITIONAL AFFIDAVITS WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TEN DAYS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 17/01/2022 DISMISSED THE APPEAL. NO COSTS
|
| 42 |
|
|
AVG LOGISTICS PVT.LTD.
|
|
|
|
MUKESH KUMAR NAGAR
PAN:BBVPN7577E
|
|
DID NOT DISGORGE AND REMIT THE PROFIT EARNED FROM CONTRA TRADES BY MR.ANKIT JAIN VIOLATING CLAUSE 10 OF MINIMUM STANDARDS FOR CODE OF CONDUCT (FOR LISTED COMPANIES) TO REGULATE, MONITOR AND REPORT TRADING BY DESIGNATED PERSONS AS SPECIFIED UNDER SUB-REGULATION (1) OF REGULATION 9 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AVG LOGISTICS LTD.
|
IMPOSED PENALTY RS.1,00,000
07-AUG-2025
|
|
| 43 |
|
|
AVG LOGISTICS PVT.LTD.
|
|
|
|
ANKIT JAIN
PAN:AFNPJ5441E
|
|
ALLEGED INDULGENCE IN EXECUTION OF CONTRA TRADES VIOLATING CLAUSE 10 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY DESIGNATED PERSONS AS SPECIFIED UNDER REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AVG LOGISTICS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,95,000, DISGORGEMENT AMOUNT RS.1,39,361, INTEREST RS.19,511 VIDE CONSENT ORDER)
30-JUL-2025
|
|
| 44 |
|
|
AVINASH PITALE (HUF)
(PAN:AAIHA3468A)
|
|
|
DELAY IN MAKING DISCLOSURES OF CREATION OF PLEDGE AND INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
|
IMPOSED PENALTY RS.4,00,000
17-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 19/12/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.4,29,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 03/05/2023 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
SEBI VIDE ITS NOTICE DATED 13/06/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.4,37,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 45 |
|
|
AXIS BANK LTD.
(PAN:AAACU2414K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(B) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.41,43,750 VIDE CONSENT ORDER)
15-FEB-2021
|
|
| 46 |
|
|
AXIS CAPITAL LTD.
(PAN:AAACU8367M)
|
|
|
|
ASHISH ANUP NIGAM
PAN:ADUPN5191L
|
|
|
NEHAL MILAN MEHTA
PAN:AHFPM3319L
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BF INVESTMENT LTD.
ALLEGED INDULGENCE IN COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BF INVESTMENT LTD.
|
REACHED SETTLEMENT ( CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 11-APR-2025 TO 10-OCT-2025
11-APR-2025
|
|
| 47 |
|
|
BAADER BANK AKTIENGESELLSCHAFT
(PAN:AACCB9355L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 29 OF SAST REGULATIONS, 2011 IN MATTER OF PARSOLI CORP. LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF PARSOLI CORP. LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 13(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 7 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PARSOLI CORP. LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,22,149 VIDE CONSENT ORDER)
11-MAR-2022
|
|
| 48 |
|
|
BAJRANGLAL PRAHLAD RAI (HUF)
(PAN:AABHB8299K)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MAITHAN ALLOYS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,48,907 VIDE CONSENT ORDER)
28-JUN-2021
|
|
| 49 |
|
|
BHARAT NIDHI LTD.
(PAN:AAACB0195J)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOKA MARKETING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA MARKETING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 12-SEP-2022 TO 11-SEP-2024
12-SEP-2022
|
|
| 50 |
|
|
BHAWARLAL JAJOO (HUF)
(PAN:AAAHB0043A)
|
|
|
ENGAGED INDIRECTLY IN INSIDER TRADING ACTIVITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT. 1992 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 12-AUG-2021 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
12-AUG-2021
|
SEBI VIDE ITS ORDER DATED 18/02/2022 A) LIFT THE RESTRICTIONS IMPOSED ON THE ENTITIES VIDE ITS INTERIM ORDER DATED 12/08/2021 B) FUNDS DEPOSITED BY THE ENTITIES IN INTEREST BEARING ESCROW ACCOUNT WILL REMAIN IN THE SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 31/03/2023 REVOKED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 12/08/2021 READ WITH CONFIRMATORY ORDER DATED 27/09/2021 AND 18/02/2022
|
| 51 |
|
|
BIOCON LTD.
(PAN:AAACB7461R)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (B) OF SEBI (PIT) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE OF TRADES DONE DURING THE PERIOD WHEN TRADING WINDOW WAS CLOSED TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (B) OF SEBI (PIT) REGULATIONS, 2015
VIOLATED CLAUSE 13 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATIONS 9(1) AND 9(2) OF SEBI (PIT) REGULATIONS, 2015
|
IMPOSED PENALTY RS.9,00,000
19-MAY-2021
|
|
| 52 |
|
|
BRIGHTCOM GROUP LTD.
(PAN:AAACL5827B)
|
|
|
|
GEETHA KANCHARLA
PAN:CWMPK4257M
|
|
|
M.SURESH KUMAR REDDY
PAN:AOOPM8696J
|
|
|
S.V.RAJYALAXMI REDDY
PAN:AWXPR4787Q
|
|
|
VIJAY KUMAR KANCHARLA
PAN:ATNPK0320K
|
|
DID NOT OBTAIN PRE-CLEARANCE OF TRADING IN SHARES OF COMPANY WHEN TRADING WINDOW WAS CLOSED VIOLATING MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9 OF SEBI (PIT) REGULATIONS, 2015
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
IMPOSED PENALTY RS.5,00,000
13-JUN-2023
|
|
| 53 |
|
|
BRIGHTCOM GROUP LTD.
(PAN:AAACL5827B)
|
|
|
|
M.SURESH KUMAR REDDY
PAN:AOOPM8696J
|
|
|
VIJAY KUMAR KANCHARLA
PAN:ATNPK0320K
|
|
DID NOT OBTAIN PRE-CLEARANCE OF TRADING IN SHARES OF COMPANY WHEN TRADING WINDOW WAS CLOSED VIOLATING MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
|
IMPOSED PENALTY RS.1,00,000
28-JUN-2023
|
|
| 54 |
|
|
BRIGHTCOM GROUP LTD.
(PAN:AAACL5827B)
|
|
|
|
M.SURESH KUMAR REDDY
PAN:AOOPM8696J
|
|
|
VIJAY KUMAR KANCHARLA
PAN:ATNPK0320K
|
|
DID NOT ADHERE TO PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS AS REQUIRED UNDER IND AS 36 VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT MAKE DISCLOSURES W.R.T. EVENTS AND CIRCUMSTANCES THAT LED TO RECOGNITION OF IMPAIRMENT LOSS IN PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS AS REQUIRED UNDER IND AS 36 VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT CARRY OUT ANNUAL IMPAIRMENT TESTING IN PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS AS REQUIRED IND AS 36 VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT RECOGNIZE IMPAIRMENT LOSS W.R.T. ITS INVESTMENTS IN SUBSIDIARY DESPITE INDICATION OF IMPAIRMENT IN PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS AS REQUIRED IND AS 36 VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT ADHERE TO PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS AS REQUIRED IND AS 26 AND IND AS 38 VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING FACT OF INITIATION OF FORENSIC AUDIT VIOLATING REGULATIONS 30(1), 30(2) AND 30(6) READ WITH CLAUSE 17 SCHEDULE III PARA A OF PART A OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
SUBMITTED INCORRECT AND MISLEADING SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(C), (H) AND 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 IN MATTER OF BRIGHTCOM GROUP LTD.
ISSUED FALSE AND MISLEADING PRESS RELEASE REGARDING APPOINTMENT OF INTERNAL AUDITOR VIOLATING REGULATIONS 4(1)(C) AND (H) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT REVIEW QUARTERLY CONSOLIDATED RESULTS BY STATUTORY AUDITORS VIOLATING REGULATION 33(3)(H) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT ENSURE THAT THE CONSTITUTION OF AUDIT COMMITTEE ACCORDANCE WITH REGULATORY REQUIREMENTS VIOLATING REGULATION 18(1)(B) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT APPOINT AT LEAST ONE INDEPENDENT DIRECTOR FROM ITS BOARD AS DIRECTOR ON BOARD OF DIRECTORS OF THREE UNLISTED MATERIAL SUBSIDIARIES VIOLATING REGULATION 24(1) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT PUBLISH STANDALONE FINANCIAL STATEMENTS OF ITS SUBSIDIARIES ON ITS WEBSITE VIOLATING REGULATION 4(1)(D),(G), (H), (I), (J) AND 46(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES IN RESPECT OF IMPACT OF INTRODUCTION OF GENERAL DATA PROTECTION REGULATION (GDPR) ON FUNCTIONING OF COMPANY VIOLATING REGULATION 30 READ WITH CLAUSE 7 OF PARA B OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES IN RESPECT OF INTRODUCTION OF GENERAL DATA PROTECTION REGULATION (GDPR) AS THREATS, OUTLOOK, RISKS OR CONCERNS IN MANAGEMENT DISCUSSION AND ANALYSIS VIOLATING REGULATION 34(2)(3) AND SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT ADHERE TO PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS AS REQUIRED IND AS 26 VIOLATING CLAUSES 49(I)(C)(1)(A) AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BRIGHTCOM GROUP LTD.
SUBMITTED INCORRECT AND MISLEADING SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS VIOLATING CLAUSE 49(IX) OF ESRTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT MAINTAIN STRUCTURED DIGITAL DATABASE (SDD) CONTAINING NAMES OF SUCH PERSONS OR ENTITIES WITH WHOM UPSI WAS SHARES VIOLATING REGULATION 3(5) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
|
DIRECTED NOT TO SELL/DISPOSE OF/DILUTE SHAREHOLDING IN COMPANY, HELD DIRECTLY OR INDIRECTLY THROUGH FAMILY MEMBERS OR THROUGH COMPANIES IN WHICH THEY OR THEIR FAMILY MEMBERS DIRECTORS
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-FEB-2025 TO 05-FEB-2030
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 06-FEB-2025 TO 05-FEB-2030
IMPOSED PENALTY RS.60,00,00,000
13-APR-2023
|
|
| 55 |
|
|
BTL HOLDING CO.LTD.
(PAN:AAACN5131E)
|
|
|
TRADED DURING RESTRICTED PERIOD VIOLATING REGULATIONS 5(2)(II) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SRS LTD.
EXECUTED TRADES WITHIN RESTRICTED PERIOD AND DEVIATED FROM THE TRADING PLAN VIOLATING REGULATION 5(2)(II) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SRS LTD.
|
IMPOSED PENALTY RS.3,00,000
08-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 03/01/2023 DIRECTED TO PAY RS.3,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 05/04/2023 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
SEBI VIDE ITS NOTICE DATED 08/05/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,28,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 56 |
|
|
CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 57 |
|
|
CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO UNDERTAKE TO EXTEND EXIT OFFER BY ISSUANCE OF INDIVIDUAL NOTICES,
UNDER SPEED POST, DIRECTLY TO THE REMAINING PUBLIC SHAREHOLDERS OF SAHU JAIN LTD. AT THE SAME EXIT PRICE AS WAS OFFERED IN 2019 IN RESPECT OF CAMAC COMMERCIAL CO.LTD.)
07-SEP-2022
|
|
| 58 |
|
|
CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
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SAMIR JAIN
PAN:AEHPJ3016Q
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MADE WRONG DISCLOSURE OF SHAREHOLDING PATTERN OF PROMOTERS TO STOCK EXCHANGES VIOLATING SECTIONS 12(A)(A) TO 12A(B) OF SEBI ACT, 1992 READ WITH REGULATION 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF PNB FINANCE & INDUSTRIES LTD.
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
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DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE
DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR
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 28-MAR-2023 TILL COMPLYING WITH THE MPS REQUIREMENT
IMPOSED PENALTY RS.1,41,00,000
28-MAR-2023
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SAT: SAT VIDE ITS ORDER DATED 26/04/2023 ALLOWED THE APPLICATIONS AND DIRECTED RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS. REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. DIRECTED THAT THE EFFECT AND OPERATION OF IMPUGNED ORDERS TO REMAIN STAYED DURING PENDENCY OF APPEAL AND APPELLANTS TO DEPOSITS 25% OF PENALTY AMOUNT BY WAY OF CASH OR BANK GUARANTEE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 08/09/2023 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 07/11/2024 DIRECTED APPELLANTS TO SUBMIT LETTER TO CGM, CORPORATE FINANCE DEPARTMENT, SEBI WITHIN TEN DAYS FROM DATE OF THIS ORDER AND SEBI TO REPLY/RESPOND WITHIN THIRTY DAYS FROM DATE OF SUBMISSION OF THEIR REQUEST BY THE APPELLANTS
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| 59 |
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CAMSON FARM PRODUCE PVT.LTD.
(PAN:AAACR9470N)
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DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED REGULATIONS 13(1), 13(3), 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUN-2021 TO 21-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2021 TO 21-JUN-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-JUN-2021
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| 60 |
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CAMSON FARM PRODUCE PVT.LTD.
(PAN:AAACR9470N)
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INDULGED IN FUNDING ACTIVITIES CARRIED OUT BY COMPANY IN CONNIVANCE WITH ITS PROMOTER ENTITIES FOR CONVERSION OF WARRANTS VIOLATING SECTIONS 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 CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(3) AND 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
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IMPOSED PENALTY RS.4,00,000
30-MAY-2022
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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 18
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