| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
ASIAN FILMS PRODUCTION & DISTRIBUTION LTD.
(CIN:L92410GJ1995PLC028341
PAN:AAACT5649P)
|
|
|
DID NOT MAKE DISCLOSURE OF CHANGE IN SHAREHOLDING/CHANGES IN SHAREHOLDING OF PROMOTERS AND PAC AS REQUIRED UNDER REGULATIONS 7(3) AND 8(3) OF SEBI TAKEOVER CODE, 1997
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.5,00,000
21-DEC-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 82 |
|
|
ASIAN PACIFIC CONTINENTAL PVT.LTD.
(PAN:AADCA1820E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF SHRI LAKSHMI COTSYN LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHRI LAKSHMI COTSYN LTD.
|
IMPOSED PENALTY RS.1,00,000
31-OCT-2017
|
|
| 83 |
|
|
ASTER MERCANTILE PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 11/05/2012 RESTRAINED THE NOTICEE FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES FOR A PERIOD OF TWO YEARS I.E. FROM 11/05/2012 TO 10/05/2014
|
| 84 |
|
|
ATN INTERNATIONAL LTD.
(CIN:L65993WB1983PLC080793
PAN:AACCA5744Q)
|
|
|
|
SANTOSH KUMAR JAIN
PAN:ACQPJ7823E
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MIS-LEADING ADVERTISEMENTS IN MATTER OF ATN INTERNATIONAL LTD.
ALLEGED INDULGENCE IN VIOLATION OF MODEL CODE OF CONDUCT IN SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 20-JUN-2011 TO 19-JUN-2013
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 20-JUN-2011 TO 19-JUN-2013
20-JUN-2011
|
|
| 85 |
|
|
ATN INTERNATIONAL LTD.
(CIN:L65993WB1983PLC080793
PAN:AACCA5744Q)
|
|
|
|
ARIHANT JAIN
PAN:ADWPJ8453B
|
|
|
KISHAN KUMAR KHADARIA
PAN:AAHPK3724G
|
|
|
SANTOSH KUMAR LAHOTI
PAN:AAVPL7078G
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MIS-LEADING ADVERTISEMENTS IN MATTER OF ATN INTERNATIONAL LTD.
ALLEGED INDULGENCE IN VIOLATION OF MODEL CODE OF CONDUCT IN SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( CONSENT ORDER)
20-JUN-2011
|
|
| 86 |
|
|
AURA ALKALIES & CHEMICAL PVT.LTD.
(PAN:AADCT1519M)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
12-JUL-2017
|
|
| 87 |
|
|
AUTOLITE (INDIA) LTD.
(PAN:AABCA4083B)
|
|
|
|
DHARAM PAL GUPTA
PAN:ABIPG1407C
|
|
|
JAI PAL GUPTA
PAN:AACHJ1882M
|
|
|
MAHI PAL GUPTA
PAN:ADGPG7328E
|
|
|
RAJ PAL GUPTA
PAN:ADGPG7327M
|
|
|
YASH PAL GUPTA
PAN:ABNPG3316M
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF AUTOLITE (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
29-AUG-2011
|
|
| 88 |
|
|
AVIVA INDUSTRIES LTD.
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12 A (D&E) OF SEBI ACT, 1992 IN SCRIP OF NOVA PETROCHEMICALS LTD.
|
IMPOSED PENALTY RS.2,00,000
29-JUL-2010
|
|
| 89 |
|
|
B.CHOPRA (HUF)
|
|
|
|
BHANWAR LAL CHOPRA
PAN:AAAHC6000Q
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 90 |
|
|
B.M.SANGHVI (HUF)
(PAN:AAFHB1497K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 91 |
|
|
BAADER BANK AKTEINGESELLSCHAFT
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY FOR PERIOD 2006-2009 AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ACQUISITION OF SHARES OF PARSOLI CORP.LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1),7(1A) AND 8(1) OF SEBI TAKEOVER CODE, 1997 FOR PERIOD 2006-2009 IN MATTER OF ACQUISITION OF SHARES OF PARSOLI CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-APR-2010
|
|
| 92 |
|
|
BABA ARTS LTD.
(PAN:AACCB5518R)
|
|
|
DELAY IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION (NON APPROVAL OF ISSUANCE OF BONUS SHARES TO SHAREHOLDERS) VIOLATING OF CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DELAY IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION (NON APPROVAL OF ISSUANCE OF BONUS SHARES TO SHAREHOLDERS) VIOLATING REGULATION 2 (HA) OF (PIT) REGULATIONS 1992 AND CLAUSES 1.1 AND 2.1 OF CODE OF CORPORATE DISCLOSURE PRACTICE FOR PREVENTION OF INSIDER TRADING IN SCHEDULE II TO REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
DELAY IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION (NON APPROVAL OF ISSUANCE OF BONUS SHARES TO SHAREHOLDERS) VIOLATING REGULATION 103 OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,00,000
07-AUG-2017
|
|
| 93 |
|
|
BAID LEASING & FINANCE CO.LTD.
(PAN:AAACB6404E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
06-JUL-2017
|
SAT: SAT VIDE ITS ORDER DATED 06/11/2017 ALLOWED APPEAL TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF EIGHT WEEKS FROM THE DATE OF THIS ORDER
|
| 94 |
|
|
BAJAJ HOLDINGS & INVESTMENT LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF NATIONAL ORGANIC CHEMICALS INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NATIONAL ORGANIC CHEMICALS INDUSTRIES LTD.
|
IMPOSED PENALTY RS.50,000
30-SEP-2009
|
|
| 95 |
|
|
BAMPSL SECURITIES LTD.
(PAN:AAACB3769Q
CIN:L74899DL1995PLC065028)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KAY POWER PAPER LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KAY POWER PAPER LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF KAY POWER PAPER LTD.
MADE WRONG DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF KAY POWER PAPER LTD.
|
IMPOSED PENALTY RS.5,00,000
06-DEC-2018
|
|
| 96 |
|
|
BANAS FINANCE LTD.
(PAN:AAACB2236J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(3) AND 8(3) OF SEBI TAKEOVER CODE, 1997
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-APR-2018
|
SEBI VIDE ITS NOTICE DATED 05/07/2019 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 18/07/2019 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 05/07/2019
|
| 97 |
|
|
BANJAX LTD.
(Along with : GHCL LTD.)
|
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 98 |
|
|
BANWARILAL MAHANSARIA (HUF)
(PAN:AACHB3235L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF DWITIYA TRADING LTD.
|
IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS
24-MAR-2021
|
SAT: SAT VIDE ITS ORDER DATED 14/07/2021 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, IF THE APPELLANT DEPOSIT 50% OF PENALTY AMOUNT AS PER IMPUGNED ORDER, BALANCE AMOUNT SHALL NOT BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 07/09/2021 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 99 |
|
|
BASIC SOFT SOLUTIONS PVT.LTD.
(PAN:AADCB0215C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ALCHEMIST REALTY LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALCHEMIST REALTY LTD.
|
IMPOSED PENALTY RS.1,00,000
25-MAY-2018
|
|
| 100 |
|
|
BATA INDIA LTD.
|
|
|
CIRCULATED FINANCIAL FIGURES PRIOR TO ITS OFFICIAL ANNOUNCEMENT/PUBLICATION VIOLATING REGULATIONS 3(1) AND 3(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 READ WITH SECTION 12A(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
DIRECTED TO STRENGTHEN ITS PROCESSES/SYSTEMS/CONTROLS ENSURE INSTANCES OF LEAKAGE OF UNPUBLISHED PRICE SENSITIVE INFORMATION DO NOT RECUR IN FUTURE
DIRECTED TO CONDUCT INTERNAL INQUIRY INTO THE LEAKAGE OF UNPUBLISHED PRICE SENSITIVE INFORMATION RELATING TO ITS FINANCIAL RESULTS AND DIRECTED TO TAKE APPROPRIATE ACTION AGAINST RESPONSIBLE PERSONS
12-MAR-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 42
|
