| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
STEEL CITY SECURITIES LTD.
(PAN:AAECS0970L)
|
|
|
|
SATISH KUMAR ARYA
PAN:ADPPA5763Q
|
|
DID NOT MAKE CORRECT DISCLOSURE REGARDING EDUCATIONAL QUALIFICATIONS OF MR.SATISH KUMAR ARYA IN IPO PROSPECTUS VIOLATING REGULATION57(1) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 2(VIII)(E)(1)(A) OF PART A OF SCHEDULE VIII READ WITH REGULATION 57(2)(A) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT OBTAIN NECESSARY APPROVAL FOR RELATED PARTY TRANSACTIONS VIOLATING REGULATIONS 23(1) READ WITH 23(2) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,50,000
28-MAR-2024
|
|
| 82 |
|
|
STOCKGURU INDIA
(PAN:ABPFS8187E)
|
|
|
ISSUED FALSE, MISLEADING AND DISTORTED INFORMATION/DECLARATIONS IN MATTER OF ISSUANCE OF CONVERTIBLE PREFERENCE SHARES OF SGI RESEARCH & ANALYSIS LTD.
ALLOTTED CONVERTIBLE PREFERENCE SHARES TO 162 INVESTORS VIOLATING SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009 IN MATTER OF SGI RESEARCH & ANALYSIS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2013 TO 10-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2013 TO 10-JAN-2023
DIRECTED TO REFUND MONEY COLLECTED TOWARDS SUBSCRIPTION OF CONVERTIBLE PREFERENCE SHARES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
11-JAN-2013
|
|
| 83 |
|
|
SURESH HEGDE & CO.
|
|
|
|
SURESH NARAYAN HEGDE
PAN:AAAPH4848P
|
|
INDULGED IN SIPHONING OFF RS.64.43 CRORES (APPROX) FROM IPO PROCEEDS VIOLATING REGULATIONS 57(1) & 60(7)(A) AND CLAUSES 2(VII)(G), 2(VIII)(D)(5) & 2(XVI)(B)(2) OF PART A OF SCHEDULE VIII READ WITH REGULATION 57(2)(A) OF THE SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF IPO OF SUDAR INDUSTRIES LTD.
|
DIRECTED NOT TO DIRECTLY OR INDIRECTLY ISSUE ANY CERTIFICATE OF AUDIT OF LISTED COMPANIES, COMPLIANCE OF LISTED COMPANIES AND INTERMEDIARIES REGISTERD WITH SEBI
DIRECTED LISTED COMPANIES AND INTERMEDIARIES REGISTERED WITH SEBI TO NOT TO ENGAGE FOR ISSUING ANY CERTIFICATE WITH RESPECT TO COMPLIANCE OF STATUTORY OBLIGATIONS
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 20-APR-2021 TO 19-APR-2024
20-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/02/2022 CONDONED THE DELAY OF 175 DAYS IN FILING OF APPEAL. DISMISSED EXEMPTION APPLICATION AS INFRUCTUOUS. IN THE MEANWHILE, RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO FILE ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 24/03/2022 IN THE MEANWHILE, RESPONDENT MAY FILED REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILED ON OR BEFORE THE NEXT DATE
|
| 84 |
|
|
SVC RESOURCES LTD.
(PAN:AAACP7022N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
DID NOT PASS SPECIAL RESOLUTION TO APPROVE PREFERENTIAL ALLOTMENT VIOLATING REGULATION 72(1)(A) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT DISCLOSURE OF EXPLANATORY STATEMENTS TO THE NOTICE FOR THE GENERAL MEETING VIOLATING REGULATION 73(1)(A) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT PLACE COPY OF CERTIFICATE FROM STATUTORY AUDITOR CERTIFYING COMPLIANCE WITH THE REGULATIONS BEFORE GENERAL MEETING OF SHAREHOLDERS VIOLATING REGULATION 73(2) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT SUBMIT A REPORT BY INDEPENDENT QUALIFIED VALUER ON VALUATION OF THE ASSETS TO STOCK EXCHANGES VIOLATING REGULATION 73(3) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT ADHERE TO REQUIREMENT TO COMPLETE ALLOTMENT WITHIN 15 DAYS FROM THE DATE OF PASSING SPECIAL RESOLUTION VIOLATING REGULATION 74(1) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT RECEIVE FULL CONSIDERATION FROM ALLOTTEES AT THE TIME OF ALLOTMENT VIOLATING REGULATION 77(1) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT SUBMIT OF COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATION 77(6) OF SEBI (ICDR) REGULATIONS, 2009
DID NOT LOCK-IN SECURITIES FOR THREE YEARS FROM DATE OF GRANT OF TRADING APPROVAL VIOLATING REGULATION 78(1) OF SEBI (ICDR) REGULATIONS, 2009
|
IMPOSED PENALTY RS.3,30,000
31-JUL-2020
|
SEBI VIDE ITS NOTICE DATED 19/07/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 10/06/2022 DIRECTED ALL THE BANKS TO REMIT RS.4,10,200 TO THE EXTENT LYING IN THE ACCOUNT OF SVC RESOURCES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 85 |
|
|
TAKSHEEL SOLUTIONS LTD.
(CIN:U72200TG1999PLC032556
PAN:AAACI7325P)
|
|
|
|
DURGA DEVI KUCHANA
PAN:AVRPK4234G
|
|
|
PAVAN KUMAR KUCHANA
DIN:00912842
PAN:ATAPK6144L
|
|
|
RAMA SWAMY KUCHANA
PAN:ALIPK4206D
|
|
|
RAVI KUSAM
PAN:AKCPK0569Q
|
|
MADE INCORRECT AND MISLEADING STATEMENTS IN PROSPECTUS VIOLATING REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE 2(XVI)(B)(2) OF PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF TAKSHEEL SOLUTIONS LTD.
DID NOT DISCLOSE ABOUT EXISTENCE OF INTER CORPORATE DEPOSITS (ICDS) AND MADE MISSTATEMENT ON UTILIZATION OF IPO PROCEEDS IN PROSPECTUS VIOLATING CLAUSE (2)(VII)(G) READ WITH REGULATION 57(1) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSE (IX) OF PART D OF SCHEDULE VIII READ WITH REGULATIONS 58(1), 60(4)(A) AND 60(7)(A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF TAKSHEEL SOLUTIONS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTION ABOUT PURCHASE OF SOFTWARE FROM VBSL IN IPO PROSPECTUS VIOLATING REGULATIONS 57(1), 58(1), 60(1), 60(4)(A) AND 60(7)(A) OF SEBI (ICDR) REGULATIONS, 2009 AND CLAUSES 2(VI) (B)(4), 2(VII)(G), 2(IX) (12) AND 2(XVI) (B)(2) OF PART A AND CLAUSE IX OF PART D OF SCHEDULE VIII READ WITH REGULATION 57(2) (A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF TAKSHEEL SOLUTIONS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTION AND MADE MISSTATEMENT IN IPO PROSPECTUS VIOLATING CLAUSES 2(VII)(B)(4) AND 2(IX)(B)(12) OF PART A OF SCHEDULE VIII READ WITH REGULATIONS 57(2)(A) OF SEBI (ICDR) REGULATIONS, 2009
INDULGED IN SIPHONING OFF IPO PROCEEDS AND MANIPULATED BOOKS OF ACCOUNTS VIOLATING SECTIONS 12(A) TO 12(C) OF SEBI ACT. 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 42(2)(E), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TAKSHEEL SOLUTIONS LTD.
|
IMPOSED PENALTY RS.6,00,00,000
10-AUG-2021
|
|
| 86 |
|
|
TANVI KAYAN PRIVILEGE TRUST
(PAN:AACTT0064B)
|
|
|
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60(1) AND 73 READ WITH 67 OF THE COMPANIES ACT, 1956 AND SECTION 465(2) OF THE COMPANIES ACT, 2013 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E) 5(1), 5(2), 5(5), 5(7), 6(1), 7, 26(1), 26(2), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1), 58(2), 63 AND 115(2) OF ICDR REGULATIONS, 2009 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
|
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 19-MAR-2020 TO 18-MAR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2020 TO 18-MAR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2020 TO 18-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2020
|
|
| 87 |
|
|
TIMBOR HOME LTD.
(PAN:AABCI2531A)
|
|
|
|
ANANT SURESHCHANDRA MALOO
PAN:ACSPM2958D
|
|
|
MANAN VIDHYAPATI PATEL
PAN:AFJPP0452P
|
|
DID NOT USE IPO PROCEEDS AS PER PROSPECTUS DATED 08/06/2011 VIOLATING SECTION 12A(A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF TIMBOR HOME LTD.
DID NOT MAKE DISCLOSURE OF PRE-EXISTING LIABILITIES OF RS.7 CRORE (APPROX.) RELATED TO WORKING CAPITAL EXPENSES, LOAN OF RS.7 CRORE FROM ALIN AND INFLATED THE SALES FIGURES FOR THE YEARS 2010-11 AND 2011-12 VIOLATING REGULATIONS 57(1) AND 57(2)(A) READ WITH CLAUSE (2)(VII)(G) PART A OF SCHEDULE VIII OF SEBI (ICDR) REGULATIONS, 2009 IN IPO OF TIMBOR HOME 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 15-DEC-2020 TO 14-DEC-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
RESTRAINED FROM ACTING AS DIRECTOR IN ANY LISTED COMPANY
15-DEC-2020
|
|
| 88 |
|
|
TRANSCORP INTERNATIONAL LTD.
(PAN:AAACT6622Q)
|
|
|
ALLEGED FAILURE IN ADHERE TO TIMELINE AS REQUIRED TO COMPLETE BONUS ISSUE VIOLATING REGULATION 95(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
22-JAN-2016
|
|
| 89 |
|
|
TRICOM FRUIT PRODUCTS LTD.
(PAN:AADCR0399B)
|
|
|
RECEIVED CONSIDERATION FROM SOME OF THE INVESTORS OF WARRANTS FROM BANK ACCOUNTS OTHER THAN OWN BANK ACCOUNTS VIOLATING REGULATION 77(5) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF TRICOM FRUITS PRODUCT LTD.
|
IMPOSED PENALTY RS.1,00,000
24-JAN-2020
|
|
| 90 |
|
|
TRILOGIC DIGITAL MEDIA LTD.
|
|
|
DELAY IN COMPLETING BONUS ISSUE VIOLATING REGULATION 95(1) OF SEBI (ICDR) REGULATIONS, 2009
|
IMPOSED PENALTY RS.2,00,000
22-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 03/04/2018 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
|
| 91 |
|
|
TRINITY TRADELINK LTD.
(CIN:L11103MH1985PLC035826
PAN:AAFCS8117C)
|
|
|
|
SHALENI KAYAN
DIN:00761119
PAN:AFZPK1051R
|
|
|
SHARAD JHUNJHUNWALA
DIN:00032879
PAN:ACVPJ0763C
|
|
|
SUKUMAR DAS
PAN:AEJPD0435R
DIN:00760908
|
|
|
VIKRANT KAYAN
DIN:00761044
PAN:AFJPK8437M
|
|
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60(1) AND 73 READ WITH 67 OF THE COMPANIES ACT, 1956 AND SECTION 465(2) OF THE COMPANIES ACT, 2013 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
MOBILIZED RS.25.99 CRORES THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 978 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E) 5(1), 5(2), 5(5), 5(7), 6(1), 7, 26(1), 26(2), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1), 58(2), 63 AND 115(2) OF ICDR REGULATIONS, 2009 IN MATTER OF TRINITY TRADELINK LTD.(EARLIER KNOWN AS OMNITECH PETROLEUM LTD.)
|
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 19-MAR-2020 TO 18-MAR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2020 TO 18-MAR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2020 TO 18-MAR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
19-MAR-2020
|
|
| 92 |
|
|
UJAAS ENERGY LTD.
(CIN:L31200MP1999PLC013571
PAN:AADCM4748F)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE OF LOANS IN DRHP AND RHP SUBMITTED TO STOCK EXCHANGES VIOLATING REGULATIONS 57(1), 57(2) AND 60(4)(A) OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF UJAAS ENERGY LTD.
|
IMPOSED PENALTY RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-SEP-2019
|
|
| 93 |
|
|
UNICON CAPITAL SERVICES PVT.LTD.
(CIN:U74140DL2008PTC181236
PAN:AABCU0157G)
|
|
|
|
GAJENDRA NAGPAL
PAN:AADPN5511A
|
|
PROVIDED FALSE DECLARATION AND UNDERTAKING TO BSE OF THAT IT WAS A SEBI REGISTERED MERCHANT BANKER VIOLATING REGULATION 106-O (2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
ACTED AS AN UNREGISTERED MERCHANT BANKER FOR SME PUBLIC ISSUES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-DEC-2014 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-DEC-2014 TILL FURTHER ORDERS
08-DEC-2014
|
MR.RAM MOHAN GUPTA DIRECTED TO RESTRAINED FROM ACCESSING SECURITES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHASTSOEVER, FOR A PERIOD OF FIVE YEARS
|
| 94 |
|
|
UNICON CAPITAL SERVICES PVT.LTD.
(CIN:U74140DL2008PTC181236
PAN:AABCU0157G)
|
|
|
|
PAWAN DHANUKA
PAN:ADDPD9749D
|
|
|
PRITAM PANDYA
PAN:AORPP5179A
|
|
ACTED AS AN UNREGISTERED MERCHANT BANKER FOR SME PUBLIC ISSUES
PROVIDED FALSE DECLARATION AND UNDERTAKING TO BSE OF THAT IT WAS A SEBI REGISTERED MERCHANT BANKER VIOLATING REGULATION 106-O (2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2016 TO 30-MAR-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2016 TO 30-MAR-2019
08-DEC-2014
|
SEBI VIDE ITS ORDER DATED 31/03/2016 UNICON CAPITAL SERVICES PVT.LTD. AND MR.RAM MOHAN GUPTA DIRECTED TO RESTRAINED FROM ACCESSING SECURITES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHASTSOEVER, FOR A PERIOD OF FIVE YEARS
|
| 95 |
|
|
UNICON CAPITAL SERVICES PVT.LTD.
(CIN:U74140DL2008PTC181236
PAN:AABCU0157G)
|
|
|
|
RAM MOHAN GUPTA
PAN:AGDPG7175M
|
|
ACTED AS AN UNREGISTERED MERCHANT BANKER FOR SME PUBLIC ISSUES
PROVIDED FALSE DECLARATION AND UNDERTAKING TO BSE OF THAT IT WAS A SEBI REGISTERED MERCHANT BANKER VIOLATING REGULATION 106-O (2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-MAR-2016 TO 30-MAR-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2016 TO 30-MAR-2021
08-DEC-2014
|
SEBI VIDE ITS ORDER DATED 31/03/2016 UNICON CAPITAL SERVICES PVT.LTD. AND MR.RAM MOHAN GUPTA DIRECTED TO RESTRAINED FROM ACCESSING SECURITES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHASTSOEVER, FOR A PERIOD OF FIVE YEARS
|
| 96 |
|
|
VIKAS ECOTECH LTD.
(PAN:AAACV0608G)
|
|
|
ALLEGED FAILURE IN COMPLETING BONUS ISSUE WITHIN TWO MONTHS FROM THE DATE OF APPROVAL OF BOARD OF DIRECTORS VIOLATING REGULATION 95(1) OF (ISSUE OF CAPITAL & DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-SEP-2016
|
|
| 97 |
|
|
VISHWARAJ SUGAR INDUSTRIES LTD.
(PAN:AABCV1727H)
|
|
|
DID NOT FILE PROSPECTUS AND DID NOT MAKE APPLICATION TO STOCK EXCHANGES FOR LISTING OF SHARES VIOLATING REGULATIONS 4(2) (D) & (E), 5(1),(2), (5) & (7), 6(1), 7, 26(1),(2) & (6), 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1) & (2) AND 63 OF ICDR REGULATIONSM 2009
DID NOT ADHERE TO PUBLIC ISSUE REQUIREMENTS VIOLATING CLAUSES 2.1.4, 2.1.5, 5.3.1, 2.1.1, 5.6.2, 2.2, 4.1, 4.11, 4.14, 8.8.1, 5.6A, 8.6.1, 6.0 TO 6.33 AND 5.12 OF DIP DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
IMPOSED PENALTY RS.7,00,000
23-MAR-2020
|
|
| 98 |
|
|
ZODIAC VENTURES LTD.
(PAN:AAACG0547K)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
MADE PREFERENTIAL ALLOTMENT OF SHARES BEFORE PRESCRIBED TIME VIOLATING REGULATION 74(3) OF ICDR REGULATIONS, 2009 READ WITH REGULATION 20(1) OF SAST REGULATIONS, 2011
|
IMPOSED PENALTY RS.7,00,000
28-MAR-2014
|
|
| 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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