| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 661 |
|
WHITETEXT INFRASTRUCTURE PVT.LTD.
(PAN:AABCW0224G)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHANTANU SHEOREY AQUAKULT 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 01-JUN-2021 TO 31-AUG-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
01-JUN-2021
|
|
| 662 |
|
|
WHITEVIEW TRADING CORP.
|
|
|
SUBSCRIBED GDR ISSUE TO THE EXTENT OF USD 15.67 MILLION WITHOUT PROPER CONSIDERATION VIOLATING SECTION 12A (A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SOMA TEXTILES & 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-FEB-2021 TO 07-FEB-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/07/2021 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/11/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 663 |
|
|
WINALL VINIMAY PVT.LTD.
(PAN:AAACW8004B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF SULABH ENGINEERS & SERVICES 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 03-SEP-2020 TO 02-SEP-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/07/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS AND REJOINDER MAY BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 11/01/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THE APPLICATION. ORDER RESERVED AND WRITTEN SUBMISSIONS MAY BE FILED WITHIN A WEEK FROM DATE OF THIS ORDER
|
| 664 |
|
|
WINSOME TEXTILE INDUSTRIES LTD.
(PAN:AAACW1910G)
|
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS AMOUNTING TO USD 9.99 MN.BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (WINSOME) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF WINSOME TEXTILE INDUSTRIES LTD.
DID NOT ADHERE TO ACCOUNTING STANDARD ON CASH FLOW STATEMENT (AS-3) VIOLATING CLAUSES 32 AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT INFORM STOCK EXCHANGE ABOUT DELISTING OF GDRS ON LUXEMBOURG STOCK EXCHANGE VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
DIRECTED TO UNDERTAKE MEASURES OF BRING BACK OUTSTANDING USD 9.018 MN. INTO ITS BANK ACCOUNT IN INDIA
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 15-DEC-2021 TO 13-SEP-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.2,50,00,000
15-DEC-2021
|
SAT: SAT VIDE ITS ORDER DATED 23/09/2022 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 13/09/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.25 LAC FROM RS.44 LAC AND ALSO REDUCED DEBARMENT PERIOD FROM THREE YEARS TO PERIOD UNDERGONE
|
| 665 |
|
|
YALSCO REAL ESTATE & AGRO FARMING LTD.
(PAN:AAACY4581F
CIN:U70101CT2010PLC022218)
|
|
|
|
MAMTA DEWANGAN
PAN:AIHPD0642E
DIN:03334618
|
|
|
NISHA DEWANGAN
PAN:APVPD0574N
DIN:03334656
|
|
|
PREM LAL DEWANGAN
PAN:AFVPD1362E
DIN:03334596
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
DIRECTED NOT TO LAUNCH ANY NEW SCHEMES FROM 02-FEB-2021 TO 01-FEB-2025
DIRECTED NOT TO COLLECT ANY MONEY FROM THE INVESTORS FROM 02-FEB-2021 TO 01-FEB-2025
DIRECTED TO CO-OPERATE WITH COMPETENT AUTHORITY IN MAKING REPAYMENT/REFUNDS TO INVESTORS/DEPOSITORS/PURCHASERS OF LAND UNDER UNREGISTERED CIS
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 02-FEB-2021 TO 01-FEB-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
02-FEB-2021
|
|
| 666 |
|
|
YOGITA TRADING LLP
(PAN:AABFY4583D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHANTANU SHEOREY AQUAKULT 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 01-JUN-2021 TO 31-AUG-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
01-JUN-2021
|
|
| 667 |
|
|
ZENITH BIRLA (INDIA) LTD.
(PAN:AAACZ0103C)
|
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (ZENITH) 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
|
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 30-MAR-2021 TO 29-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAR-2021 TO 29-MAR-2024
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DIRECTED TO BRING BACK USD 14.50 MN INTO ITS BANK ACCOUNT IN INDIA
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 22/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/03/2022ALLOWED APPELLANTS FURTHER THREE WEEKS TO FILE REJOINDER
|
| 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 34 of 34
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