| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
VAASTAV DEBENTURE TRUST
|
|
|
|
CHINMOY GHATAK
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 12-SEP-2018 TO 11-SEP-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-SEP-2018 TO 11-SEP-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-SEP-2018 TO 11-SEP-2022
09-OCT-2015
|
SEBI VIDE ITS ORDER DATED 12/09/2018 RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER FOR A PERIOD OF FOUR YEARS FROM THE DATE OF THIS ORDER
|
| 82 |
|
|
VASUNDHARA REALCON DEBENTURE TRUST
|
|
|
|
CHINMOY GHATAK
|
|
|
PRIYABRATA ROY
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 12-SEP-2017 TO 11-SEP-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-SEP-2017 TO 11-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-SEP-2017 TO 11-SEP-2021
10-NOV-2015
|
SEBI VIDE ITS ORDER DATED 12/09/2017 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 83 |
|
|
VIBGYOR ALLIED INDUSTRIES LTD.
(CIN:U01132WB1989PLC046854
PAN:AAGCS7590C)
|
|
|
|
MOHAMMAD QUDDUS
|
|
|
NIKHIL KUMAR CHAKRABORTY
|
|
|
RAJAT BERA
|
|
|
TAPAS KUMAR BASU
PAN:ADLPB2640K
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAR-2018 TO 08-MAR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAR-2018 TO 08-MAR-2022
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 09-MAR-2018 TO 08-MAR-2022
09-MAR-2018
|
|
| 84 |
|
|
VIKDAS INDUSTRIES DEBENTURE TRUST
|
|
|
|
RANADEB DE
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 24-FEB-2016 TO 23-FEB-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-FEB-2016 TO 23-FEB-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-FEB-2016 TO 23-FEB-2020
29-JAN-2015
|
SEBI VIDE ITS ORDER DATED 24/02/2016 DIRECTED NOT TO OFFER THEMSELVES TO BE ENGAGED AS DEBENTURE TRUSTEE OR IN ANY CAPACITY AS AN INTERMEDIARY IN SECURITIES MARKET, WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION TO UNDERTAKE ASSIGNMENT AS REQUIRED UNDER LAW. FURTHER RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| 85 |
|
|
VISHWAMITRA DEBENTURE TRUST
|
|
|
|
SANJAY KUMAR PANDIT
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 30-JUN-2015 TO 29-JUN-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-JUN-2015 TO 29-JUN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-JUN-2015 TO 29-JUN-2019
30-JUN-2015
|
SEBI VIDE ITS ORDER DATED 10/08/2016 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS
|
| 86 |
|
|
VISTRA ITCL (INDIA) LTD.
(PAN:AAACI6832K)
|
|
|
STARTED CARRYING OUT ACTIVITIES ASSOCIATED WITH TRUSTEESHIP PRIOR TO EXECUTION OF WRITTEN AGREEMENT VIZ. DEBENTURE TRUSTEE AGREEMENT VIOLATING REGULATION 13(A) OF SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993
ISSUED DUE DILIGENCE CERTIFICATE WHICH WAS ALLEGEDLY COMPROMISED INDEPENDENCE OF DUE DILIGENCE EXERCISED BY DEBENTURE TRUSTEE VIOLATING REGULATIONS 13(A) AND 15(6) OF SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993 AND CLAUSE 4 OF CODE OF CONDUCT OF SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993 AND CLAUSE B(6) OF SEBI CIRCULAR NO.SEBI/HO/MIRSD/CRADT/CIR/P/2020/218 DATED 03/11/2020
DID NOT CARRYOUT DUE DILIGENCE INDEPENDENTLY AND INFLUENCED BY ISSUER FOR PREPARATION OF ASSET COVER CERTIFICATE VIOLATING REGULATIONS 15(1)(T) AND 15(1)(S) OF SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993 AND CLAUSE B(6) OF SEBI CIRCULAR NO.SEBI/HO/MIRSD/CRADT/CIR/P/2020/218 DATED 03/11/2020
DID NOT ASCERTAIN STATUS OF PAYMENT OF INTEREST/PRINCIPAL FROM INDEPENDENT SOURCES ON TIMELY BASIS VIOLATING CLAUSE 2 OF SEBI CIRCULAR NO.SEBI/HO/MIRSD/MIRSD3/CIR/P/2017/72 DATED 30/06/2017 AND CLAUSES 1, 3 AND 4 OF CODE OF CONDUCT UNDER SCHEDULE III READ WITH REGULATION 16 OF SEBI (DEBENTURE TRUSTEES) REGULATIONS, 1993
DID NOT UPDATE DEFAULT HISTORY OF ISSUER NAMED BLUE HORIZON HOTELS PVT.LTD. FOR INTEREST DUE DATES OF 31/10/2020 TO 31/12/2020 AND 30/06/2021 IN CENTRALIZED DATABASE FOR CORPORATE BONDS/DEBENTURES VIOLATING CLAUSE C OF ANNEXURE-I OF SEBI CIRCULAR NO.CIR/IMD/DF/17/2013 22/10/2013 AND CLAUSE-10 OF ANNEXURE-III OF SEBI CIRCULAR NO.SEBI/HO /DDHS/DDHS1/P/CIR/2021/572 DATED 04/06/2021 AND CLAUSE 2.5 OF CHAPTER XIV OF SEBI CIRCULAR NO.SEBI/HO/DDHS/P/CIR/2021/613 DATED 10/08/2021
|
IMPOSED PENALTY RS.6,00,000
22-AUG-2024
|
|
| 87 |
|
|
VISTRA ITCL (INDIA) LTD.
(PAN:AAACI6832K)
|
|
|
DID NOT EXERCISE PROPER DUE DILIGENCE AND BY INITIALLY SUPPRESSING INFORMATION CONTAINING THE BENPOS VIOLATING REGULATION 15(1)(I) OF SEBI (DEBENTURE TRUSTEES) REGULATIONS), 1993 AND REGULATION 16 READ WITH CLAUSE 19 OF CODE OF CONDUCT PRESCRIBED UNDER SEBI (DEBENTURE TRUSTEE) REGULATIONS, 1993
|
IMPOSED PENALTY RS.5,00,000
27-APR-2022
|
SEBI VIDE ITS NOTICE DATED 10/08/2022 DIRECTED TO PAY RS.10,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 01/09/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILE WITHIN THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT RS.5 LAC WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF THE AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
|
| 88 |
|
|
WELL BEING TRUST
|
|
|
|
CHAPAL BISWAS
|
|
|
DINENDRA NATH BANDOPADHYAY
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 27-NOV-2017 TO 26-NOV-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-NOV-2017 TO 26-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-NOV-2017 TO 26-NOV-2021
01-OCT-2015
|
SEBI VIDE ITS ORDER DATED 27/11/2017 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 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 5
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