| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 661 |
|
TEJENDRA MOHAN BHASIN
(PAN:AADPB4947Q)
|
|
|
|
PNB HOUSING FINANCE LTD.
PAN:AAACP3682N
|
|
ALLEGED FAILURE IN OBTAINING REGISTERED VALUER’S REPORT IN ACCORDANCE WITH ARTICLE 19(2) OF ARTICLES OF ASSOCIATION (AOA) OF COMPANY VIOLATING REGULATIONS 4(2)(F)(III)(3), (6) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
ALLEGED FAILURE TO TAKE INTO ACCOUNT THE INTERESTS OF ALL STAKEHOLDER BY NOT ACCOUNTING FOR CONTROL PREMIUM IN PRICING OF THE PREFERENTIAL ISSUE VIOLATING REGULATIONS 4(2)(F)(III)(3), (6) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
ALLEGED FAILURE IN MAKING ADEQUATE AND TIMELY DISCLOSURE OF MATERIAL INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D), 4(1)(H), 4(2)(B), 4(2)(E)(I), 4(2)(E)(II) AND 30(12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,50,000, INTEREST RS.44,26,533 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-JUL-2022
|
|
| 662 |
|
|
TEJINDER SINGH SHERGILL
(PAN:AHOPS1322E)
|
|
|
DID NOT ABIDE BY PRINCIPLES GOVERNING DISCLOSURES AND OBLIGATIONS WITH RESPECT TO LISTED COMPANIES VIOLATING CLAUSES 49(II)(D)(1),(4),(5), 49(II)(E)(1)(2) AND CLAUSES 49((III)(D)(1),(4),(5) & (9), 49(III)(E)(1)(2), 49(V)(B) OF LISTING AGREEMENT {POST AMENDMENT DATED 17/04/2014} READ WITH REGULATION 103 OF THE SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FORTIS HEALTHCARE LTD.
DID NOT ABIDE BY PRINCIPLES GOVERNING DISCLOSURES AND OBLIGATIONS WITH RESPECT TO LISTED COMPANIES VIOLATING REGULATION 18(3) READ WITH CLAUSES A(1), A(4), A(5), A(9), B(1) AND B(2) UNDER PART C OF SCHEDULE II AND REGULATION 24(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FORTIS HEALTHCARE LTD.
DID NOT ABIDE BY PRINCIPLES GOVERNING DISCLOSURES AND OBLIGATIONS WITH RESPECT TO LISTED COMPANIES VIOLATING SECTION 21 OF THE SCRA, 1956 IN MATTER OF FORTIS HEALTHCARE LTD.
|
IMPOSED PENALTY RS.25,00,000
18-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 22/07/2022 DIRECTED APPELLANT TO DEPOSIT RS.5 LAC WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF THE AMOUNT IS DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 01/08/2022 ALLOWED RESPONDENT FURTHER THREE WEEKS TO FILE REPLY
|
| 663 |
|
|
THANGAVELU PITCHANDI
(PAN:AAEPP5258M)
|
|
|
|
G.V.FILMS LTD.
CIN:L92490MH1989PLC238780
PAN:AAACG2118C
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF G.V.FILMS LTD. & SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II), (6), (7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF G.V.FILMS 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 26-AUG-2022 TO 06-JAN-2023
IMPOSED PENALTY RS.2,00,000
26-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND REDUCED DEBARMENT PERIOD FROM ONE YEAR TO PERIOD UNDERGONE AND SET ASIDE PENALTIES IMPOSED
|
| 664 |
|
|
THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
(PAN:ABIPN2653D)
|
|
|
|
ONELIFE CAPITAL ADVISORS LTD.
PAN:AAACO9540L
|
|
MISPRESENTED FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED AND MISPRESENTED FINANCIAL RESULTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES AND DID NOT TAKE NECESSARY APPROVALS FROM AUDIT COMMITTEE/ SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(2), 23(4) AND 23(9) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISPRESENTED FINANCIAL RESULTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6) TO (8), 4(2)(F)(III)(1)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
FURNISHED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS 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 21-OCT-2024 TO 20-OCT-2025
RESTRAINED FROM ACTING AS DIRECTOR/KEY MANAGERIAL PERSONNEL OF ANY LISTED COMPANY OR SUBSIDIARY OR ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY SEBI REGISTERED INTERMEDIARY FROM 21-OCT-2024 TO 20-OCT-2025
21-OCT-2024
|
SAT: SAT VIDE ITS ORDER DATED 25/11/2024 GRANTED PERMISSION TO RECEIVED THE SHARES BY APPELLANT COMPANY FOR PAYMENTS MADE IN MARCH & SEPTEMBER AND ALSO REDEEM AND RECEIVE THE SHARES OF CONTINENTAL CONTROL LTD. PLEDGED BY THE APPELLANT MR.PRABHAKRA NAIG
SAT: SAT VIDE ITS ORDER DATED 10/12/2024 ADDED WORDS ‘CONTINENTAL CONTROL LTD.’ IN PARAGRAPH 8 AFTER WORD ‘SHARES’, IN THE SECOND BULLET POINT
|
| 665 |
|
|
THIRUVIDAIMARUDUR KRISHNA PRABHAKAR NAIG
(PAN:ABIPN2653D)
|
|
|
|
ONELIFE CAPITAL ADVISORS LTD.
PAN:AAACO9540L
|
|
MISSTATED AND MISPRESENTED FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED/ MISPRESENTED FINANCIAL STATEMENTS AND DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT VIOLATING SECTION 27 OF SEBI ACT, 1992 AND REGULATIONS 4(2)(F), 4(2)(K) AND 4(2)(R) READ WITH REGULATIONS 2(1)(B) AND 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED AND MISPRESENTED FINANCIAL RESULTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES AND DID NOT TAKE NECESSARY APPROVALS FROM AUDIT COMMITTEE/ SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS VIOLATING REGULATION 23(2), 23(4) AND 23(9) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISSTATED/ MISPRESENTED FINANCIAL RESULTS AND DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORT VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DELAY IN FILING OF DISCLOSURES TO STOCK EXCHANGES REGARDING APPOINTMENT/ RESIGNATION OF DIRECTOR AND CHIEF FINANCIAL OFFICER VIOLATING REGULATION 30(2) READ WITH PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
DELAY IN APPOINTMENT OF COMPANY SECRETARY/KEY MANAGERIAL PERSONS WITHIN TIMELINES VIOLATING REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
MISPRESENTED FINANCIAL RESULTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), (6) TO (8), 4(2)(F)(III)(1)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
FURNISHED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ONELIFE CAPITAL ADVISORS LTD.
|
IMPOSED PENALTY RS.25,00,000
28-MAR-2025
|
|
| 666 |
|
|
THOMAS ALBANESE
(PAN:BNCPA8714K)
|
|
|
|
VEDANTA LTD.
PAN:AACCS7101B
|
|
DELAY IN PAYMENT OF DIVIDEND TO CAIRN UK HOLDINGS 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 12-MAR-2024 TO 11-MAY-2024
12-MAR-2024
|
SAT: SAT VIDE ITS ORDER DATED 20/03/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER AND DIRECTED APPELLANT TO DEPOSIT 50% OF INTEREST AMOUNT TO CAIRN UK HOLDINGS LTD. IN INTEREST BEARING ACCOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 18/06/2024 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK THEREAFTER TO FILE REJOINDER
|
| 667 |
|
|
TRIVENDRA SHAMBHU SINGH
(PAN:BEEPS9764J)
|
|
|
|
ESKAY K'N'IT (INDIA) LTD.
CIN:L18109DN1987PLC000034
PAN:AABCS1363G
|
|
MISREPRESENTED FINANCIALS AND/OR BUSINESS AND MISUSED FUNDS/BOOKS OF ACCOUNTS OF ESKAY AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 8, 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ESKAY K'N'IT (INDIA) LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL EVENT TO STOCK EXCHANGES VIOLATING REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ESKAY K'N'IT (INDIA) 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 11-AUG-2021 TO 10-AUG-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.15,00,000
11-AUG-2021
|
SEBI VIDE ITS NOTICE DATED 28/01/2022 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
SEBI VIDE ITS ORDER DATED 05/04/2022 DIRECTED ALL THE BANKS TO REMIT RS.16,36,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.TRIVENDRA SHAMBHU SINGH TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 668 |
|
|
UDAY BALDOTA
(PAN:ABAPB4075D)
|
|
|
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM AUDIT COMMITTEE FOR TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD. IN ANNUAL REPORTS VIOLATING REGULATION 34(3) READ WITH SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED OMIT OF RELATED PARTY IN FINANCIAL STATEMENTS, COMPLIANCE CERTIFICATE VIOLATING REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.24,65,000 VIDE CONSENT ORDER)
11-FEB-2021
|
|
| 669 |
|
|
UNNATI P.SHETH
(PAN:AUPPS6260F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF FIBREWEB INDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF FIBREWEB INDIA LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-SEP-2017
|
|
| 670 |
|
|
USHIK GALA
(PAN:BBNPG4050P)
|
|
|
|
SUUMAYA INDUSTRIES LTD.
PAN:AAFCR4357R
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF FUNDS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SUUMAYA INDUSTRIES LTD.
MISREPRESENTED FINANCIAL STATEMENTS AND MANIPULATED BOOKS OF ACCOUNTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2)(6)(7)(8) AND 4(2)(F)(III)(1),(3),(6),(7)(12) OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956 READ WITH SECTION 27(2) OF SEBI ACT, 1992 IN MATTER OF SUUMAYA INDUSTRIES LTD.
FURNISHED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II AND REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUUMAYA INDUSTRIES LTD.
DID NOT ADHERE TO PREPARATION OF FINANCIAL STATEMENTS AS PER ACCOUNTING STANDARD VIOLATING REGULATION 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTIONS 27(1) AND 27(2) OF SEBI ACT, 1992 IN MATTER OF SUUMAYA INDUSTRIES LTD.
|
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 24-JAN-2025 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2025 UNTIL FURTHER ORDERS
24-JAN-2025
|
|
| 671 |
|
|
V.N.TIWARI
(PAN:ABDPT5946L)
|
|
|
|
MIDEAST INTEGRATED STEELS LTD.
PAN:AAACM0846P
|
|
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SECTION 27(1) OF SEBI ACT, 1992 IN MATTER OF MIDEAST INTEGRATED STEELS LTD.
INDULGED IN FALSIFICATION/FABRICATION OF BOOKS OF ACCOUNTS AND MANIPULATION OF FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(7), 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MIDEAST INTEGRATED STEELS 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 21-FEB-2024 TO 20-FEB-2026
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 21-FEB-2024 TO 20-FEB-2026
IMPOSED PENALTY RS.75,00,000
21-FEB-2024
|
SAT: SAT VIDE ITS ORDER DATED 15/04/2024 DIRECTED SEBI TO FILE A REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER. STAYED THE DIRECTIONS GAVE IN PARAGRAPH 22.2 OF IMPUGNED ORDER DATED 21/02/2024 FOR ONE MONTH FROM DATE OF THIS ORDER SUBJECT TO THE CONDITION THAT APPELLANTS DEPOSIT RS.1 CRORE IN ESCROW ACCOUNT WITHIN SEVEN DAYS FROM DATE OF THIS ORDER. FURTHER, DIRECTED SEBI TO ENSURE ALL NECESSARY STEPS ARE TAKEN, INCLUDING ISSUING INSTRUCTION TO NSDL TO DEFREEZE DEMAT ACCOUNT OF APPELLANT AND ALLOW FRESH PLEDGE TO BE CREATED IN FAVOUR OF SBICAP TRUSTEE CO.LTD.
SAT: SAT VIDE ITS ORDER DATED 18/06/2024 CONDONED THE DELAY OF 36 DAYS IN FILING OF REPLY AND GRANTED THREE WEEKS TO FILE REJOINDER
|
| 672 |
|
|
V.R.VENKATESH
(PAN:AAKPV9947M)
|
|
|
|
CG POWER & INDUSTRIAL SOLUTIONS LTD.
PAN:AAACC3840K
|
|
INDULGED IN MIS-STATEMENT OF ACCOUNTS AND DIVERSION OF FUNDS FROM LISTED COMPANY AND/OR ITS SUBSIDIARIES/ASSOCIATES VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS LTD.
DID NOT MAKE DISCLOSURE OF INFORMATION VIOLATING OF REGULATIONS 4(2)(F)(I)-(II), 4(2)(F)(III)(3) AND (6) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS LTD.
DID NOT ADHERE TO CODE OF CONDUCT OF BOARD OF DIRECTORS AND SENIOR MANAGEMENT ON ANNUAL BASIS VIOLATING OF REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS LTD.
DID NOT SUBMIT FINANCIAL RESULT VIOLATING REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS 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 17-SEP-2019 TO 16-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ASSOCIATING WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY LISTED ENTITY OR ITS MATERIAL UNLISTED SUBSIDIARY
PERMITTED BSE AND NSE TO ALLOW SQUARE OFF EXISTING OPEN POSITIONS IN FUTURES & OPTIONS SEGMENT, IF ANY, IMMEDIATELY AND DIRECTED CONCERNED STOCK EXCHANGES TO ENSURE THAT NO FRESH POSITIONS ARE CREATED
IMPOSED PENALTY RS.1,00,00,000
17-SEP-2019
|
SAT: APPEAL DISMISSED
SAT: SAT: SAT VIDE ITS ORDER DATED 18/02/2020 ALLOWED THE APPLICATION AND DIRECTED SEBI TO PASS CONFIRMATORY ORDER ON OR BEFORE 10/03/2010
|
| 673 |
|
|
V.SRI LAKSHMI
(PAN:AERPV5483P)
|
|
|
ALLEGED FAILURE TO ENSURE THAT CORRECT DISCLOSURE OF QUARTERLY SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES VIOLATING CLAUSE 47 OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BRIGHTCOM GROUP LTD.
ALLEGED INDULGENCE IS ISSUANCE OF FALSE AND MISLEADING PRESS RELEASE WITH RESPECT TO APPOINTMENT OF INTERNAL AUDITOR VIOLATING REGULATION 6(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,35,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH BRIGHTCOM GROUP LTD. AND ITS AFFILIATES IN ANY CAPACITY INCLUDING EMPLOYMENT, CONSULTANCY OR ANY OTHER PROFESSIONAL OR BUSINESS RELATIONSHIP) FROM 11-JUN-2025 TO 10-JUN-2026
11-JUN-2025
|
|
| 674 |
|
|
VAISHALI SOOD SHARMA
(PAN:BFYPS1209F)
|
|
|
|
FAMILY CARE HOSPITALS LTD.
PAN:AAACP2883M
|
|
DID NOT EXERCISE DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE IN APPROVING FINANCIAL STATEMENTS VIOLATING REGULATION 18(3) READ WITH CLAUSE A(1) AND A(4) UNDER PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF FAMILY CARE HOSPITALS LTD.
|
IMPOSED PENALTY RS.2,00,000
03-JUN-2025
|
|
| 675 |
|
|
VAMAN GANAPATI ACHARYA
(PAN:AGGPA8960R)
|
|
|
ISSUED FALSE AND MISLEADING CERTIFICATE UNDER REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATION, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF OMKAR SPECIALITY CHEMICALS LTD.
|
IMPOSED PENALTY RS.1,00,000
28-SEP-2023
|
|
| 676 |
|
|
VANDANA MALIK
(PAN:AAJPM4486B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(3) AND 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN COMPLIANCE OF CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 31(1) AND 103(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.31,60,374 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-AUG-2018
|
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| 677 |
|
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VARSHA MURAKA (AKA.VARSHA PODDAR)
(PAN:ARCPM7606B)
|
|
|
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INDIAN INFOTECH & SOFTWARE LTD.
CIN:L70100MH1982PLC027198
PAN:AAACI0350E
|
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DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING REGULATIONS 4(1)(C), (E) & (G), 4(2)(F)(I)(2), 4(2)(F)(II)(6), 7, 4(2)(F)(III)(1), (3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING REGULATIONS 4(1), 4(2)(F) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT PRESENT TRUE AND FAIR FINANCIAL STATEMENTS AND EXECUTED TRANSACTIONS WHICH WERE NON-GENUINE IN NATURE AND MISUSE OF ACCOUNT/FUNDS VIOLATING SECTION 21 OF SCRA, 1956 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
DID NOT COOPEARATE WITH FORENSIC AUDITOR APPOINTED BY BSE AND DID NOT PROVIDE ANY EVIDENCE TO SUBSTANTIATE FINANCIAL TRANSACTIONS AND STATEMENTS OF COMPANY VIOLATED SECTION 24 (2) READ WITH 27 OF SEBI ACT, 1992 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
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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 12-NOV-2020 TO 11-FEB-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-NOV-2020
|
|
| 678 |
|
|
VARSHA MURAKA (AKA.VARSHA PODDAR)
(PAN:ARCPM7606B)
|
|
|
|
INDIAN INFOTECH & SOFTWARE LTD.
CIN:L70100MH1982PLC027198
PAN:AAACI0350E
|
|
MISREPRESENTED FINANCIAL STATEMENTS AND MISUSED FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
MISREPRESENTED FINANCIAL STATEMENTS AND MISUSED FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTION 21 OF SCRA, 1956 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
MISREPRESENTED FINANCIAL STATEMENTS AND MISUSED FUNDS/BOOKS OF ACCOUNTS VIOLATING REGULATION 4(2)(F)(I)(2), 4(2)(F)(II), (6), (7), 4(2)(F)(III), (1), (3) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
|
IMPOSED PENALTY RS.7,00,000
30-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 04/01/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 30/09/2022
|
| 679 |
|
|
VARSHA PODDAR (AKA.VARSHA MURARKA)
(PAN:ARCPM7606B)
|
|
|
|
INDIAN INFOTECH & SOFTWARE LTD.
CIN:L70100MH1982PLC027198
PAN:AAACI0350E
|
|
MISREPRESENTED FINANCIAL STATEMENTS AND MISUSED FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
MISREPRESENTED FINANCIAL STATEMENTS AND MISUSED FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTION 21 OF SCRA, 1956 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
MISREPRESENTED FINANCIAL STATEMENTS AND MISUSED FUNDS/BOOKS OF ACCOUNTS VIOLATING REGULATION 4(2)(F)(I)(2), 4(2)(F)(II), (6), (7), 4(2)(F)(III), (1), (3) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF INDIAN INFOTECH & SOFTWARE LTD.
|
IMPOSED PENALTY RS.7,00,000
30-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 04/01/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 30/09/2022
|
| 680 |
|
|
VARUN AMAR VAKIL
(PAN:ADNPV2410M)
|
|
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ALLEGED VIOLATION OF REGULATION 10(4)(C) OF SEBI (DELISTING) REGULATIONS, 2021 IN THE MATTER OF ELCID INVESTMENTS LTD.
ALLEGED VIOLATION OF REGULATION 4(1)(G) OF SEBI (LODR) REGULATIONS, 2015 IN THE MATTER OF ELCID INVESTMENTS LTD.
ALLEGED VIOLATION OF REGULATIONS 4(2)(F)(III)(3) AND (6) OF SEBI (LODR) REGULATIONS, 2015 IN THE MATTER OF ELCID INVESTMENTS LTD.
ALLEGED VIOLATION OF SECTION 166(2) AND 166(3) OF COMPANIES ACT, 2013 IN THE MATTER OF ELCID INVESTMENTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,12,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-MAY-2024
|
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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 34 of 36
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