| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
DIRECT MEDIA DISTRIBUTION VENTURES PVT.LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DISH TV INDIA LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES OF INVOCATION OF ENCUMBERED SHARES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF DISH TV INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,08,594 VIDE CONSENT ORDER)
17-FEB-2021
|
|
| 82 |
|
|
DISH TV INDIA LTD.
(PAN:AAACA5478M)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(B) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,20,782 VIDE CONSENT ORDER)
17-FEB-2021
|
|
| 83 |
|
|
ECP III FVCI PTE LTD.
(PAN:AAECE0836B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF INDOSTAR CAPITAL FINANCE LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDOSTAR CAPITAL FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,16,719 VIDE CONSENT ORDER)
21-JAN-2021
|
|
| 84 |
|
|
ELCID INVESTMENTS LTD.
(PAN:AAACE1611Q)
|
|
|
ALLEGED FAILURE TO MAINTAIN STRUCTURED DIGITAL DATABASE DURING INVESTIGATION PERIOD VIOLATING REGULATIONS 3(5) READ WITH 3(6) OF SEBI (PIT) REGULATIONS, 2015
ALLEGED FAILURE TO DISCLOSE MR.JATIN SARAIYA’S (ONE AMONG THE PROMOTER AND PROMOTER GROUP OF APPLICANT) JOINT SHAREHOLDING OF 50 SHARES WITH HIS SPOUSE AS PART OF PROMOTER AND PROMOTER GROUP, FOR QUARTERS ENDING DECEMBER 2021 TO JUNE 2022 VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR DATED 30/11/2015
ALLEGED FAILURE TO DISCLOSE MR.JATIN SARAIYA’S (ONE AMONG THE PROMOTER AND PROMOTER GROUP OF APPLICANT) JOINT SHAREHOLDING OF 50 SHARES WITH HIS SPOUSE AS PART OF PROMOTER AND PROMOTER GROUP, FOR QUARTERS ENDING DECEMBER 2021 TO JUNE 2022 VIOLATING REGULATION 2(1)(PP) OF SEBI (ICDR) REGULATIONS, 2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.17,31,510 VIDE CONSENT ORDER)
24-JUN-2024
|
|
| 85 |
|
|
ELECTROCAST SALES INDIA LTD.
(PAN:AAACE5671N)
|
|
|
|
MADHAV KEJRIWAL
PAN:ATWPK1505D
|
|
|
UMANG KEJRIWAL
PAN:AGGPK0884Q
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,05,36,834, DISGORGEMENT AMOUNT RS.1,50,45,300, INTEREST RS.64,25,373 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 20-FEB-2025 TO 19-AUG-2025
20-FEB-2025
|
|
| 86 |
|
|
ELECTROPARTS (INDIA) PVT.LTD.
(PAN:AAACV5947Q)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE OF OFF-MARKET TRANSACTIONS TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF VIDEOCON INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
13-SEP-2021
|
SEBI VIDE ITS NOTICE DATED 27/09/2024 DIRECTED TO PAY RS.1,38,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/11/2024 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
SEBI VIDE ITS NOTICE DATED 19/12/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,44,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 16/05/2025 ALLOWED THE APPEAL AND 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 08/11/2024
|
| 87 |
|
|
ELECTROPARTS (INDIA) PVT.LTD.
(PAN:AAACV5947Q)
|
|
|
|
VENUGOPAL DHOOT
PAN:AANPD5594R
|
|
EXECUTED OFF MARKET TRANSACTIONS WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF VIDEOCON INDUSTRIES LTD.
|
IMPOSED PENALTY RS.25,00,000
28-SEP-2021
|
SEBI VIDE ITS NOTICE DATED 30/09/2024 DIRECTED TO PAY RS.34,26,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/11/2024 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
SEBI VIDE ITS NOTICE DATED 19/12/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.35,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 88 |
|
|
ELECTROSTEEL CASTINGS LTD.
(PAN:AAACE4975B)
|
|
|
|
DEEPAK SHAW
PAN:BNDPS0854H
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
IMPOSED PENALTY RS.10,00,000
03-JUL-2025
|
|
| 89 |
|
|
EMED.COM TECHNOLOGIES LTD.
(PAN:AAACC8289N)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,00,000
25-JAN-2019
|
SEBI VIDE ITS NOTICE DATED 07/08/2025 DIRECTED TO PAY RS.3,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 09/09/2025 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
SEBI VIDE ITS NOTICE DATED 08/10/2025 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,65,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 90 |
|
|
EMERGING SECURITIES PVT.LTD.
(PAN:AAACE0195R)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2021 TO 26-APR-2024
IMPOSED PENALTY RS.30,00,000
27-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/05/2021ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT DISGORGED AMOUNT ALONG WITH INTEREST AND PENALTY WITHIN TWO WEEKS FROM DATE OF THIS ORDER. UPON DEPOSIT, RESTRAINT ORDER AS GIVEN IN DIRECTION NO 1&2 IN PARAGRAPH 52 OF THE IMPUGNED ORDER WILL REMAIN IN ABEYANCE DURING PENDENCY OF THE APPEL
SAT: SAT VIDE ITS ORDER DATED 13/05/2021 DISMISSED THE APPEAL AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 28/06/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 DISPOSED OFF THE APPEAL AS THE CASE HAS BEEN SETTLED BETWEEN THE PARTIES
|
| 91 |
|
|
EMERGING SECURITIES PVT.LTD.
(PAN:AAACE0195R)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,54,738 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-FEB-2019
|
|
| 92 |
|
|
EMERGING SECURITIES PVT.LTD.
(PAN:AAACE0195R)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING 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 27-APR-2021 TO 26-APR-2023
DIRECTED TO DISGORGE RS.7,96,197
27-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 05/05/2021ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT DISGORGED AMOUNT ALONG WITH INTEREST AND PENALTY WITHIN TWO WEEKS FROM DATE OF THIS ORDER. UPON DEPOSIT, RESTRAINT ORDER AS GIVEN IN DIRECTION NO 1&2 IN PARAGRAPH 52 OF THE IMPUGNED ORDER WILL REMAIN IN ABEYANCE DURING PENDENCY OF THE APPEL
SAT: SAT VIDE ITS ORDER DATED 13/05/2021 DISMISSED THE APPEAL AS INFRUCTUOUS
SAT: SAT VIDE ITS ORDER DATED 28/06/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 DISPOSED OFF THE APPEAL AS THE CASE HAS BEEN SETTLED BETWEEN THE PARTIES
|
| 93 |
|
|
EMMBI LABORATORIES PVT.LTD.
(PAN:AAACE8121F)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(2)(A) READ WITH 7(2)(B) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
07-MAR-2017
|
COMPANY VIDE DD NO.039005 DATED 02/03/2017 DRAWN ON ICICI BANK LTD. HAS PAID RS.2 LACS TOWARDS SETTLEMENT CHARGES
|
| 94 |
|
|
ENBEE TRADE & FINANCE LTD.
(PAN:AAACE6791P)
|
|
|
|
AMAR NARENDRA GALA
PAN:AEIPG9529A
|
|
|
BHARAT MAMANIA
PAN:AABPM3713B
|
|
|
BHARATHI N.GALA
PAN:AAJPG9438M
|
|
|
SAMTA GALA
PAN:APUPG7373M
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1)(B) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ENBEE TRADE & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
31-AUG-2018
|
|
| 95 |
|
|
ERA HOUSING & DEVELOPERS INDIA LTD.
(CIN:U74899DL1995PLC072507
PAN:AAACE2707R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ERA INFRA ENGINEERING LTD.
|
IMPOSED PENALTY RS.25,000
28-JAN-2022
|
|
| 96 |
|
|
ESSEL CORPORATE LLP
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.TD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.TD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
08-JUL-2022
|
|
| 97 |
|
|
EVERMORE STOCK BROKERS PVT.LTD.
(PAN:AAACP1788K)
|
|
|
TRADED WHILE IN POSSESSION OF UPSI AND COMMUNICATED UPSI TO OTHERS VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF LUX INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.97,81,605
24-JAN-2022
|
SEBI VIDE ITS ORDER DATED 27/05/2022 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF LUX INDUSTRIES LTD., EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS B) RESTRAINT RELATED TO BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN RESPECT OF LUX INDUSTRIES LTD. NOT TO PROHIBIT THE CREDIT OF SHARES TO BE RECEIVED ON ACCOUNT OF STOCK OPTION, BONUS ETC. ISSUED BY THE COMPANY C) FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT/FDR TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 06/11/2023 A) REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 24/01/2022 WHICH WERE CONFIRMED WITH MODIFICATIONS VIDE ORDER DATED 27/05/2022 B) RELEASED AMOUNT IMPOUNDED PURSUANT TO INTERIM ORDER DATED 24/01/2022 READ WITH ORDER DATED 27/05/2022 ALONG WITH INTEREST IF ANY, ACCRUED ON THE SAID AMOUNT
|
| 98 |
|
|
EXELON INFRASTRUCTURE LTD.
(PAN:AAACM2862M)
|
|
|
DID NOT MAINTAIN ITS FUNCTIONAL WEBSITE VIOLATING CLAUSE 54 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT MAKE DISCLOSURE OF SHAREHOLDING PATTERN TO STOCK EXCHANGES FOR THE QUARTERS ENDED DECEMBER 2014 TO SEPTEMBER 2015 VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 35 OF LISTING AGREEMENT
DID NOT SUBMIT ANNUAL REPORT TO STOCK EXCHANGES FOR YEAR 2014-15 VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 31(A) OF LISTING AGREEMENT
MADE FALSE REPRESENTATION IN NEWSPAPERS OF BUYBACK, PREFERENTIAL ALLOTMENT AND BONUS ISSUE OF SHARES OF VITAL COMMUNICATIONS LTD.
DID NOT FRAME CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING VIOLATING REGULATION 12(1) READ WITH CLAUSE 1.2 OF SCHEDULE I OF PART A OF MODEL CODE OF CONDUCT UNDER SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.1,19,00,000
28-JAN-2019
|
SEBI VIDE ITS NOTICE DATED 19/10/2020 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
|
| 99 |
|
|
EXPERT GLOBAL CONSULTANTS PVT.LTD.
(PAN:AABCF5715E)
|
|
|
|
GAURAV JAIN
PAN:AEYPJ4410R
|
|
DID NOT EXERCISE PROPER DUE DILIGENCE IN OPEN OFFER OF DIGGI MULTITRADE LTD.
DID NOT SUBMIT PERIODIC REPORTS/CERTIFICATES TO SEBI
DID NOT INTIMATE CHANGES IN DIRECTORS AND KEY MANAGERIAL PERSONNEL TO SEBI
DID NOT HAVE VALID NCFM/NISM CERTIFICATE
DID NOT ADOPT CODE OF CONDUCT, MAINTENANCE OF STRUCTURAL DIGITAL DATABASE (SDD) AND DESIGNATING ANY COMPLIANCE OFFICER TO MONITOR COMPLIANCES AS REQUIRED UNDER SEBI (PIT) REGULATIONS, 2015
MADE MISLEADING DISCLOSURES/STATEMENT ON WEBSITE
DID NOT DISPLAY INVESTOR CHARTER ON ITS WEBSITE
|
IMPOSED PENALTY RS.7,00,000
17-DEC-2024
|
|
| 100 |
|
|
FCRL EMPLOYEE WELFARE TRUST
(PAN:AAATF5719P)
(Along with : FUTURE CORPORATE RESOURCES LTD.)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL LTD.
|
DIRECTED TO DISGORGE RS.2,75,68,650 ALONG WITH OTHER ENTITIES/PERSONS
03-FEB-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 18
|
