| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
COFFEE DAY ENTERPRISES LTD.
(PAN:AADCC3995L)
|
|
|
INDULGED IN DIVERSION OF FUNDS OF RS.3,535 CRORE FROM SEVEN SUBSIDIARY COMPANIES OF COFFEE DAY ENTERPRISES LTD. TO MYSORE AMALGAMATED COFFEE ESTATES LTD. WITHOUT APPROVAL OF BOARD, AUDIT COMMITTEE OR SHAREHOLDERS VIOLATING REGULATIONS 4, 5, 16, 23(1), 23(2), 23(4) AND 24 OF SEBI (LODR) REGULATIONS, 2015
INDULGED IN DIVERSION OF FUNDS TO RS.3,535 CRORE FROM SUBSIDIARY COMPANIES OF COFFEE DAY ENTERPRISES LTD. TO MYSORE AMALGAMATED COFFEE ESTATES LTD. WITHOUT APPROVAL OF BOARD, AUDIT COMMITTEE OR SHAREHOLDERS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO TAKE NECESSARY STEPS TO RECOVER ENTIRE DUES
DIRECTED TO APPOINT INDEPENDENT LAW FIRM
DIRECTED TO EXTEND ALL NECESSARY ASSISTANCE AND AUTHORIZATION TO LAW FIRM
DIRECTED TO FILE QUARTERLY REPORT WITH NSE/BOARD OF COFFEE DAY ENTERPRISES LTD., DETAILING PROGRESS IN RECOVERY PROCESS
DIRECTED TO PLACE EVERY ANNUAL GENERAL MEETING UPDATED DETAILED REPORT ON THE RECOVERY PROCESS UNDERTOOK BY NOTICEE AND/OR ITS SUBSIDIARIES
IMPOSED PENALTY RS.26,00,00,000
24-JAN-2023
|
SAT: SAT VIDE ITS ORDER DATED 03/03/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPOSITION OF PENALTY DURING PENDENCY OF APPEAL AND APPELLANT TO FURNISH UNDERTAKING TO SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 02/05/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 82 |
|
|
COFFEE DAY ENTERPRISES LTD.
(PAN:AADCC3995L)
|
|
|
ALLEGED FAILURE TO PLACE REVIEW REPORT BEFORE BOARD OF DIRECTORS AT ITS MEETING VIOLATING REGULATION 33(2)(C) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED INDULGENCE IN SUBMISSION OF UNAUDITED FINANCIAL RESULTS WHICH WERE NOT SUBJECTED TO LIMITED REVIEW BY ITS STATUTORY AUDITORS VIOLATING REGULATIONS 33(3)(C)(I) AND 33(3)(H) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES ABOUT RESIGNATION OF AUDITIRS AND DIRECTOR’S RESIGNATION VIOLATING REGULATION 30(2) AND 30(6) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES IN RESPECT OF DEFAULT ON PAYMENT OF INTERESTS/REPAYMENT OF PRINCIPAL AMOUNTS ON LOANS VIOLATING REGULATION 30(2) READ WITH SUB-PARA 6 OF PARA A PF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 READ WITH PARA 3(C2) OF SEBI CIRCULAR NO.SEBI/HO/CFD/CMD1/CIR/P/2019/140 DATED 21/11/2019
ALLEGED FAILURE IN MAKING DISCLOSURE OF DETAILS OF SALE OF WAY2WEALTH AS STIPULATED IN SEBI CIRCULAR NO CIR/CFD/CMD/4/2015 DATED 09/09/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.69,06,250 VIDE CONSENT ORDER)
09-SEP-2021
|
|
| 83 |
|
|
COFFEE DAY ENTERPRISES LTD.
(PAN:AADCC3995L)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 30(1) READ WITH 30(2) AND 30(9) READ WITH CLAUSE 6 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,52,400 VIDE CONSENT ORDER)
13-AUG-2024
|
|
| 84 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
ALLEGED MISREPRESENTATION OF SHAREHOLDING OF PROMOTERS AS PUBLIC SHAREHOLDING VIOLATING REGULATIONS 18(1)(B), 19(1)(C) AND/OR 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULARNO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 READ WITH REGULATION 2(ZA) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 35 OF LISTING AGREEMENT
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING RULE 19A(1) OF SECURITIES CONTRACTS (REGULATION) RULES, 1957 READ WITH REGULATION 38 OF SEBI (LODR) REGULATIONS, 2015 READ WITH 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
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
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,43,10,000 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 07-SEP-2022 TO 06-SEP-2024
07-SEP-2022
|
SAT: SAT VIDE ITS ORDER DATED 07/02/2023 CONDONED THE DELAY IN FILING OF APPEAL. APPEAL ALLOWED AND QUASHED IMPUGNED ORDERS. MATTER REMITTED TO AO TO PASS A FRESH ORDER IN THE LIGHT OF DECISION OF TRIBUNAL WITHIN THREE MONTHS
|
| 85 |
|
|
CONCORD DRUGS LTD.
(PAN:AAACC8171D)
|
|
|
|
AKANSHA
PAN:AWRPA9608B
|
|
|
ESWAR RAO
PAN:AFIPM0175K
|
|
|
JYOTI GOYAL
PAN:BTYPG3872L
|
|
|
K.RAMACHANDRA REDDY
PAN:AFGPK1990L
|
|
|
MONICA BHUTTADA
PAN:BCUPB1464J
|
|
|
P.CHADRAKALA
PAN:BYEPP9563Q
|
|
|
P.VENKATARAM REDDY
PAN:BYEPP9569E
|
|
|
S.KONI REDDY
PAN:APHPR3654R
|
|
|
S.NAGI REDDY
PAN:AIRPS8676D
|
|
|
SONIA BIDLAN
PAN:ATQPB6253K
|
|
|
T.NARASIMHA REDDY
PAN:AQBPT1842Q
|
|
MISREPRESENTED FINANCIAL STATEMENTS AND DID NOT TAKE APPROVAL FROM AUDIT COMMITTEE/SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS
TRANSACTED WITH STRUCK OFF ENTITY
DID NOT FILE LIMITED REVIEW REPORT TO STOCK EXCHANGES
WRONGLY REPORTED TRADE RECEIVABLES
MISREPRESENTED IN FINANCIALS OF DEBTORS-CREDITORS NETTING OFF
DISCREPANCIES / DEFICIENCIES IN DOCUMENTATION FOUND IN TRANSACTIONS ENTERED WITH BHUVANA ENTERPRISES
APPOINTED INELIGIBLE INDEPENDENT DIRECTORS
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF CONCORD DRUGS LTD.
DEFAULTED IN APPOINTMENT OF COMPLIANCE OFFICER VIOLATING REGULATION 6(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT HAVE SUFFICIENT AND ADEQUATE INTERNAL CONTROL IN PLACE
|
IMPOSED PENALTY RS.15,00,000
11-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 14/02/2024 CONDONED THE DELAY IN FILING OF REPLY BY RESPONDENT AND ALLOWED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/04/2024 ALLOWED APPELLANT ADDITIONAL THREE WEEKS TO FILE REJOINDER
|
| 86 |
|
|
CREATIVE MERCHANTS LTD.
(PAN:AAFCC4234H)
|
|
|
DID NOT EXECUTE TRIPARTITE AGREEMENT BETWEEN ERSTWHILE REGISTRAR AND SHARE TRANSFER AGENT PURVA SHAREREGISTRY (INDIA) PVT.LTD. AND ACCURATE SECURITIES & REGISTRY PVT.LTD. VIOLATING REGULATION 7(4) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,00,000
22-NOV-2021
|
SEBI VIDE ITS NOTICE DATED 21/02/2023 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
|
| 87 |
|
|
CRESSANDA RAILWAY SOLUTIONS LTD.
(PAN:AAACC1553F)
|
|
|
|
MANOHAR IYER SADAHALLI NAGARAJ
PAN:ADKPN1944R
|
|
|
MILIND MADHUKAR PALAV
PAN:BOLPP8040R
|
|
|
RAJKUMAR DINESH MASALIA
PAN:AKNPM0248H
|
|
INDULGED IN FICTITIOUS PURCHASE AND SALES TO INFLATED FINANCIALS OF COMPANY VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), 4(2)(5) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
RAISED MONEY THROUGH PREFERENTIAL ISSUE AND ALLOTMENT OF WARRANTS VIOLATING REGULATIONS 4(1), 4(2)(E), 33 AND 34 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CRESSANDA RAILWAY SOLUTIONS LTD. (PREVIOUSLY KNOWN AS CRESSANDA SOLUTIONS LTD.)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-OCT-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-OCT-2024 UNTIL FURTHER ORDERS
11-OCT-2024
|
SEBI VIDE ITS ORDER DATED 26/03/2025 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 11/10/2024
SAT: SAT VIDE ITS ORDER DATED 09/05/2025 STAYED THE IMPUGNED ORDER DATED 26/03/2025
|
| 88 |
|
|
CUPID LTD.
(PAN:AAACC2389K)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF COURT ORDERS DATED 08/12/2023, 15/12/2023 AND 30/03/2024 VIOLATING REGULATION 30(2) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SUB-PARAGRAPHS 2 AND 20 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.SEBI/HO/CFD/CFD-POD-1/P/CIR/2023/123 DATED 13/07/2023
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.19,51,300 VIDE CONSENT ORDER)
20-DEC-2024
|
|
| 89 |
|
|
D S KULKARNI DEVELOPERS LTD.
(CIN:L45201PN1991PLC063340
PAN:AAACD6431H)
|
|
|
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES WITH RESPECT TO DEFAULTS ON LOANS TO BANKS AND FINANCIAL INSTITUTIONS VIOLATING REGULATIONS 30(1), 30(2) AND 30(6) READ WITH CLAUSE 6 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS AND CLAUSE 6 OF PARA A OF ANNEXURE I OF SEBI CIRCULAR READ WITH REGULATIONS 4(1)(H), (I), (J) AND 4(2)(B) & (E) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGE WITH RESPECT TO REVISION IN CREDIT RATINGS VIOLATING REGULATIONS 30(1), 30(2) AND 30(6) READ WITH CLAUSE 3 OF PARA A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS AND CLAUSE 3 OF PARA A OF ANNEXURE I OF SEBI CIRCULAR READ WITH REGULATIONS 4(1)(H), (I), (J) AND 4(2)(B) & (E) OF SEBI (LODR) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGE WITH RESPECT TO CERTAIN REGULATORY PROCEEDINGS VIOLATING REGULATIONS 30(1), 30(3), 30(4)(II) AND 30(6) READ WITH CLAUSE 8 OF PARA B OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS AND CLAUSE 8 OF PARA B OF ANNEXURE I OF SEBI CIRCULAR READ WITH REGULATIONS 4(1)(H), (I), (J) AND 4(2)(B) & (E) OF SEBI (LODR) REGULATIONS, 2015
DID NOT REPLY TO QUERIES RAISED BY STOCK EXCHANGE WITH RESPECT TO CERTAIN ARTICLES APPEARING IN MEDIA VIOLATING REGULATION 30(10) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.10,00,000
29-JAN-2020
|
|
| 90 |
|
|
DALMIA INDUSTRIAL DEVELOPMENT LTD.
(CIN:L74140WB1982PLC035394
PAN:AAACD9405B)
|
|
|
|
ALOK AGARWAL
PAN:ACSPA4871B
|
|
|
RAJ MOHTA
PAN:AZXPM4978M
|
|
|
VIKASH CHOWDHARY
PAN:ABXPC9870G
|
|
|
VINEET CHOWDHARY
PAN:ACQPC5971Q
|
|
DID NOT FURNISH INFORMATION AND DID NOT COOPERATE WITH FORENSIC AUDITOR
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF DALMIA INDUSTRIAL DEVELOPMENT LTD. & SUBSIDIARIES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), (E), (G), 4(2)(F)(II)(1),(6)(7), 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAINTAIN FUNCTIONAL WEBSITE AND DID NOT DISSEMINATE REQUIRED INFORMATION VIOLATING REGULATIONS 46(1), 46(2), AND 46(2)(K) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT VOTING RESULTS OF AGM/EGM TO STOCK EXCHANGES VIOLATING REGULATIONS 44(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT FORM RISK MANAGEMENT COMMITTEE OF BOARD OF DIRECTORS VIOLATING REGULATION 21 OF SEBI (LODR) REGULATIONS, 2015
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF DALMIA INDUSTRIAL DEVELOPMENT LTD. & SUBSIDIARIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2) (A), (E), (F) AND (R) OF SEBI (PFUTP) REGULATION, 2003
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF DALMIA INDUSTRIAL DEVELOPMENT LTD. & SUBSIDIARIES VIOLATING SECTION 21 OF SCRA, 1956
|
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-APR-2022 TO 20-APR-2023
IMPOSED PENALTY RS.40,00,000
21-APR-2022
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2022 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 01/09/2022 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO 50% AND REDUCED DEBARMENT PERIOD TO THE PERIOD UNDERWENT
|
| 91 |
|
|
DALMIA INDUSTRIAL DEVELOPMENT LTD.
(CIN:L74140WB1982PLC035394
PAN:AAACD9405B)
|
|
|
|
SHAILENDRA NATH BAKSHI
PAN:ACXPB4934B
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS OF DALMIA INDUSTRIAL DEVELOPMENT 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 DALMIA INDUSTRIAL DEVELOPMENT LTD.
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF DALMIA INDUSTRIAL DEVELOPMENT LTD.
|
IMPOSED PENALTY RS.3,00,000
21-APR-2022
|
|
| 92 |
|
|
DELHI TRANSCO LTD.
|
|
|
DID NOT SUBMIT FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.1,00,000
19-MAY-2021
|
|
| 93 |
|
|
DEVERA DEVELOPERS PVT.LTD.
(PAN:AADCB1809L)
|
|
|
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
|
| 94 |
|
|
DEWAN HOUSING FINANCE CORP.LTD.
|
|
|
DID NOT INVEST/DEPOSIT 15% (RS.700.20 CRORES) OF NCDS MATURING TOWARDS DEBENTURE REDEMPTION RESERVE (DRR) REQUIREMENT VIOLATING REGULATION 16(1) OF SEBI (ISSUE & LISTING OF DEBT SECURITIES) REGULATIONS, 2008 READ WITH RULES 18(7)(B)(II) AND 18(7)(C) OF SEBI (SHARE CAPITAL AND DEBENTURES) RULES, 2014
DID NOT SUBMIT FINANCIAL RESULT AND LINE ITEMS WITH PRESCRIBED TIME VIOLATING REGULATIONS 52(1) READ WITH 52(4) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.20,00,000
29-MAY-2020
|
SAT: SAT VIDE ITS ORDER DATED 15/07/2020 DIRECTED THAT NO RECOVERY TO BE MADE FROM THE APPELLANT PURSUANT TO IMPUGNED ORDER DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 09/10/2020 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 29/05/2020
|
| 95 |
|
|
DGP SECURITIES LTD.
(PAN:AABCS4946F)
|
|
|
FILED WRONG DISCLOSURE OF SHAREHOLDING PATTERN IN MATTER OF KEMP & CO.LTD.
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
IMPOSED PENALTY RS.20,00,000
26-JUN-2024
|
SAT: SAT VIDE ITS ORDER DATED 21/08/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED SUBJECT TO DEPOSIT OF RS.1 CRORE BY APPELLANT WITH RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 96 |
|
|
DHANVARSHA FINVEST LTD.
(PAN:AADCS0876Q)
|
|
|
DID NOT EXECUTE TRIPARTITE AGREEMENT BETWEEN ERSTWHILE REGISTRAR AND SHARE TRANSFER AGENT PURVA SHAREREGISTRY (INDIA) PVT.LTD. AND ACCURATE SECURITIES & REGISTRY PVT.LTD. VIOLATING REGULATION 7(4) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,50,000
25-NOV-2021
|
|
| 97 |
|
|
DIC INDIA LTD.
(PAN:AABCC0703C)
|
|
|
ALLEGED FAILURE IN TAKING RECOMMENDATIONS OF NOMINATION AND REMUNERATION COMMITTEE IN RELATION TO APPOINTMENT OF COMPANY’S HEAD OF SALES AND MARKETING VIOLATING REGULATION 19(4) READ WITH SUB-PARAGRAPH 4 OF PARAGRAPH A OF PART D OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015
ALLEGED DELAY IN MAKING DISCLOSURE IN RELATION TO CHANGES IN ITS SENIOR MANAGEMENT VIOLATING REGULATION 30 READ WITH SUB-PARAGRAPHS 7 AND 7C OF PARAGRAPH A OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN DISCLOSING DETAILS OF REMUNERATION OF KEY MANAGERIAL PERSONNELS AND DID NOT PUBLISH THE SAME ON WEBSITE VIOLATING REGULATION 23(9) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.34,32,000 VIDE CONSENT ORDER)
21-MAR-2025
|
|
| 98 |
|
|
DIGITAL CONTENT PVT.LTD.
(PAN:AADCN6172E)
|
|
|
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.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.31,60,374 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-AUG-2018
|
|
| 99 |
|
|
DISH TV INDIA LTD.
(PAN:AAACA5478M)
|
|
|
|
ANIL KUMAR DUA
PAN:ADWPD7220N
|
|
|
ASHOK MATHAI KURIEN
PAN:AADPK4942J
|
|
|
BHAGWAN DAS NARANG
PAN:AAEPN3092R
|
|
|
JAWAHAR LAL GOEL
PAN:AAHPL1244J
|
|
|
RANJIT SINGH
PAN:ASXPS7712E
|
|
|
RASHMI AGGARWAL
PAN:ABPPS8037H
|
|
|
SHANKAR AGGARWAL
PAN:ADVPA6970F
|
|
ACTED, AIDED, ABETTED AND ASSISTED COMPANY AND ITS MANAGEMENT IN MISCHIEF PLAYED UPON THE SHAREHOLDERS VIOLATING REGULATION 6(2)(A) OF SEBI (LODR) REGULATIONS AS WELL AS CLAUSES 5.1, 5.2 AND 5.11 OF CODE OF CONDUCT READ WITH REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DISH TV INDIA LTD.
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES OF FIRST ADVISORY VIOLATING REGULATIONS 4(2)(F)(II)(6), 4(2)(F)(II)(8), 4(2)(F)(III)(3), 4(2)(F)(III)(6) READ WITH REGULATION 17(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DISH TV INDIA LTD.
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES OF FINAL ADVISORY VIOLATING REGULATIONS 4(2)(F)(II)(6), 4(2)(F)(II)(8), 4(2)(F)(III)(3), 4(2)(F)(III)(6) READ WITH REGULATION 17(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DISH TV INDIA LTD.
DID NOT MAKE NECESSARY DISCLOSURE AS PER CLAUSES 4.1, 4.4, 5.1, 5.2 AND 5.11 OF CODE OF CONDUCT READ WITH REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DISH TV INDIA LTD.
DID NOT UPHELD HIGH ETHICAL STANDARDS ETC VIOLATING CLAUSES 1 AND 2 OF SCHEDULE A OF CODE OF CONDUCT READ WITH REGULATION 26(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF DISH TV INDIA LTD.
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DIRECTED TO ENSURE STRICT ADHERENCE OF DIRECTION BY THE COMPLIANCE OFFICER
DIRECTED DEPOSITORIES TO FREEZE DEMAT ACCOUNTS OF DIRECTORS AND COMPLIANCE OFFICER AND DISCLOSE TO STOCK EXCHANGES
DIRECTED TO ENSURE COMPLIANCE WITH LODR REGULATION BY DISCLOSING VOTING RESULTS OF AGM TO STOCK EXCHANGES
07-MAR-2022
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| 100 |
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DISH TV INDIA LTD.
(PAN:AAACA5478M)
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ANIL KUMAR DUA
PAN:ADWPD7220N
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ASHOK MATHAI KURIEN
PAN:AADPK4942J
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JAWAHAR LAL GOEL
PAN:AAHPL1244J
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RANJIT SINGH
PAN:ASXPS7712E
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ALLEGED VIOLATION OF REGULATIONS 4(1)(C) TO 4(1)(E), 4(1)(G) TO 4(1)(I), 5, 30(6) READ WITH PARA D OF PART A OF SCHEDULE III AS WELL AS 30(7), 30(12) AND 44(3) OF SEBI (LODR) REGULATIONS, 2015
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REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,54,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-OCT-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 5 of 24
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