| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
VIMGI INVESTMENTS PVT.LTD.
(PAN:AAACV1008L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONISED TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATION ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
|
IMPOSED PENALTY RS.1,00,00,000
25-MAR-2014
|
SAT: SAT VIDE ITS ORDER DATED 06/04/2016 SET ASIDED THE IMPUGNED ORDER DATED 25/03/2014 AND RESTORED ALL THE MATTERS TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 82 |
|
|
VISU INTERNATIONAL LTD.
(PAN:AABCV1500A)
|
|
|
|
B.PRABHAKAR REDDY
PAN:ACVPB8307N
|
|
|
K.VISAWANATH REDDY
|
|
|
MUKESH CHAURADIYA
PAN:AAVPC0966A
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES OF PRE-ARRANGEMENT FOR SUBSCRIPTION OF GDRS ABOUT EXECUTION OF MOU WITH VINTAGE VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES ABOUT OUTCOME OF BOARD MEETING VIOLATING OF CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.1,25,00,000
18-MAR-2021
|
|
| 83 |
|
|
WELLINDIA SECURITIES LTD.
(PAN:AABCR5196G)
|
|
|
DID NOT HAVE ANY SYSTEM IN PLACE TO IDENTIFY REVERSALS OF TRADE TRANSACTIONS VIOLATING REGULATION 9(F) READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.10,00,000
31-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 28/07/2023 DIRECTED TO PAY RS.10,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/02/2025 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
|
| 84 |
|
|
ZEN SECURITIES LTD.
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF SEBI CIRCULAR NO.MIRSD/SE/CIR-19/2009 DATED 03/12/2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,60,000 VIDE CONSENT ORDER)
22-MAY-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 5
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