| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1001 |
|
UNIVERSAL CREDIT & SECURITIES LTD.
(PAN:AAACU2627G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF INSTA FINANCE LTD. (ERSTWHILE SDFC FINANCE LTD.)
|
IMPOSED PENALTY RS.2,00,000
30-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 21/01/2019 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 01/10/2019 DIRECTED ALL THE BANKS TO REMIT RS.2,47,093.00 TO THE EXTENT LYING IN THE ACCOUNT OF UNIVERSAL CREDIT & SECURITIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 1002 |
|
|
UNIVERSAL CREDIT & SECURITIES LTD.
(PAN:AAACU2627G)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) OF SEBI (SAST) REGULATIONS, 2011 IN MATTER OF INSTA FINANCE LTD. (FORMERLY SDFC FINANCE LTD.)
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-OCT-2019
|
|
| 1003 |
|
|
UPASNA DISTRIBUTERS PVT.LTD.
(PAN:AAACU8787H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF TRANSCHEM LTD.
|
IMPOSED PENALTY RS.1,00,000
21-SEP-2017
|
|
| 1004 |
|
|
UTTAM COMMERCIAL CO.LTD.
(PAN:AAACU2823Q)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SAST REGULATIONS, 2011 IN MATTER OF ELECTROSTEEL CASTING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
26-SEP-2019
|
|
| 1005 |
|
|
UTTARAK ENTERPRISES PVT.LTD.
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GMM PFAUDLER LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GMM PFAUDLER LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF GMM PFAUDLER LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF GMM PFAUDLER LTD.
|
IMPOSED PENALTY RS.9,00,000
30-MAY-2014
|
SAT: SAT VIDE ITS ORDER DATED 20/11/2015 SET ASIDED THE ORDER PASSED BY SEBI AND RESTORE THE APPEALS TO THE FILE OF SEBI FOR PASSING FRESH ORDER ON MERITS. NO COSTS
|
| 1006 |
|
|
V.K.JAIN (HUF)
(PAN:AAAHV1468H)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ADVIK LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,47,191 VIDE CONSENT ORDER)
20-NOV-2014
|
|
| 1007 |
|
|
VA REALCON PVT.LTD.
(CIN:U45200DL2008PTC175668
PAN:AADCV0080F)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ABHIJIT TRADING CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
15-NOV-2018
|
|
| 1008 |
|
|
VAIBHAV GARG (HUF)
(PAN:AAIHV8070R)
(Along with : VINOD KUMAR GARG (HUF))
|
|
|
|
NIDHI GARG
PAN:AHHPG9531C
|
|
|
SHASHI GARG
PAN:AAJPG3275E
|
|
|
TUSHA GARG
PAN:AMWPG9410C
|
|
|
VAIBHAV GARG
PAN:AKWPG7039B
|
|
|
VINOD KUMAR GARG
PAN:AAJPG3277G
|
|
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 BEST AGROLIFE LTD. (FORMERLY KNOWN AS SAHYOG MULTIBASE LTD.)
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-MAR-2024
|
|
| 1009 |
|
|
VAISHALI RESOURCES LTD.
(CIN:U51109WB1982PLC035575
PAN:AABCV2519H)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF HIMACHAL FIBRES LTD.
|
IMPOSED PENALTY RS.1,00,000
28-MAR-2018
|
|
| 1010 |
|
|
VAKRANGEE HOLDINGS PVT.LTD.
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) AND 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF VAKRANGEE LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
09-AUG-2018
|
SAT: SAT VIDE ITS ORDER DATED 08/06/2021 PARTLY ALLOWED THE APPEAL BY SET ASIDING ORDER DATED 09/08/2018. DIRECTED APPELLANTS TO TRANSFER SALE PROCEEDS OF THE SHARES IN QUESTION DISPOSED AFTER ACQUISITION BY IT IN VIOLATION OF THE REGULATION WITH INTEREST @ 8% P.A. FROM DATE OF ACQUISITION OF SHARES TO THE EXTENT ACQUIRED IN VIOLATION OF THE REGULATIONS, WITHIN IN SIX WEEKS FROM DATE OF THE ORDER
SAT: SAT VIDE ITS ORDER DATED 12/07/2021 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 05/08/2021 DISMISSED THE REVIEW APPLICATION
|
| 1011 |
|
|
VALECHA INVESTMENTS PVT.LTD.
(PAN:AAACV2759G)
|
|
|
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 VALECHA ENGINEERING LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VALECHA ENGINEERING LTD.
|
IMPOSED PENALTY RS.3,00,000
19-DEC-2019
|
|
| 1012 |
|
|
VANKARS GEMS & JEWELLERIES PVT.LTD.
(PAN:AADCV6467A)
|
|
|
INDULGED IN MANIPULATIVE TRANSACTIONS IN DERIVATIVE SEGMENT THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF GITANJALI GEMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8A(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GITANJALI GEMS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF GITANJALI GEMS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF TAKEOVER REGULATIONS, 1997 AND REGULATIONS 3(2) OF TAKEOVER REGULATIONS, 2011 IN MATTER OF GITANJALI GEMS LTD.
|
ORDERED FOR INVESTIGATION
10-MAR-2017
|
|
| 1013 |
|
|
VANRAJ VINODCHANDRA SHAH (HUF)
(PAN:AABHV8057K)
|
|
|
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 JYOTI LTD.
TRANSFERRED AND RECEIVED SHARES IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.S.O.184(E) DATED 01/03/2000 & SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013, SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SEBI SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF JYOTI LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUN-2021
|
|
| 1014 |
|
|
VARIABLE PLAZA PVT.LTD.
(PAN:AAACV8935A)
(Along with : VIKRAM HIMATSINGKA (HUF),
HIMATSINGKA CHEMICALS PVT.LTD.)
|
|
|
|
ADITI HIMATSINGKA
PAN:AEIPB4750N
|
|
|
AJIT KUMAR BHUWALKA
PAN:AGZPB4007B
|
|
|
ANURADHA HIMATSINGKA
PAN:AASPM5653P
|
|
|
AVISHEK HIMATSINGKA
PAN:AASPH1474M
|
|
|
MADHURI HIMATSINGKA
PAN:AANPH4865R
|
|
|
PRAKASH HIMATSINGKA
PAN:AAQPH3238R
|
|
|
RAVI SHANKAR JHUNJHUNWALA
PAN:AABPJ5051B
|
|
|
VIKRAM HIMATSINGKA
PAN:AAQPH2906N
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF P.H.TRADING LTD.
|
IMPOSED PENALTY RS.22,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-SEP-2017
|
|
| 1015 |
|
|
VARIABLE PLAZA PVT.LTD.
(PAN:AAACV8935A)
(Along with : VIKRAM HIMATSINGKA (HUF),
HIMATSINGKA CHEMICALS PVT.LTD.)
|
|
|
|
ADITI HIMATSINGKA
PAN:AEIPB4750N
|
|
|
AJIT KUMAR BHUWALKA
PAN:AGZPB4007B
|
|
|
ANURADHA HIMATSINGKA
PAN:AASPM5653P
|
|
|
AVISHEK HIMATSINGKA
PAN:AASPH1474M
|
|
|
MADHURI HIMATSINGKA
PAN:AANPH4865R
|
|
|
PRAKASH HIMATSINGKA
PAN:AAQPH3238R
|
|
|
RAVI SHANKAR JHUNJHUNWALA
PAN:AABPJ5051B
|
|
|
VIKRAM HIMATSINGKA
PAN:AAQPH2906N
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35(2) OF SAST REGULATIONS, 2011 IN MATTER OF P.H.TRADING LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-SEP-2017
|
|
| 1016 |
|
|
VARJU INVESTMENT PVT.LTD.
(PAN:AAACV7157L)
|
|
|
|
BABULAL GUMANMAL JAIN
PAN:ABNPJ1251A
|
|
|
DEVENDRA NATH BABULAL JAIN
PAN:ADTPJ4655Q
|
|
|
KARTIK B.JAIN
PAN:AEXPJ6838A
|
|
|
NEETU D.JAIN
|
|
|
PUSHPADEVI BABULAL JAIN
PAN:AAQPJ6966L
|
|
|
SHILPA B.JAIN
PAN:AEXPJ6837R
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SEBI (SAST) REGULATIONS, 2011 IN MATTER OF NAKODA LTD.
|
IMPOSED PENALTY RS.5,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
13-MAR-2019
|
SAT: APPEAL DISMISSED
|
| 1017 |
|
|
VARNILAM INVESTMENTS & TRADING CO.LTD.
(PAN:AAACV1963E)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 1018 |
|
|
VAS EDUCOMP PVT.LTD.
(PAN:AABCV2889C)
|
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
|
MADHAV JAYESH VALIA
PAN:AENPV8401P
|
|
|
RAJ JAYESH VALIA
PAN:AENPV8400N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SAST REGULATIONS, 2011 IN MATTER OF VAS INFRASTRUCTURE LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
30-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 19/04/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/05/2021 ALLOWED APPELLANT THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 23/11/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 30/09/2019. MATTER REMITTED TO WTM TO ISSUE APPROPRIATE DIRECTION
SAT: SAT VIDE ITS ORDER DATED 30/01/2023 DISPOSED OF THE APPLICATION WITH THE DIRECTION TO RESPONDENT TO DECIDE SETTLEMENT APPLICATION WITHIN TWO MONTHS FROM DATE OF THIS ORDER
|
| 1019 |
|
|
VAS EDUCOMP PVT.LTD.
(PAN:AABCV2889C)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VAS INFRASTRUCTURE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF VAS INFRASTRUCTURE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VAS INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-MAR-2014
|
|
| 1020 |
|
|
VASPARR SHELTER LTD.
(PAN:AABCV2888D)
|
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
|
MADHAV JAYESH VALIA
PAN:AENPV8401P
|
|
|
RAJ JAYESH VALIA
PAN:AENPV8400N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SAST REGULATIONS, 2011 IN MATTER OF VAS INFRASTRUCTURE LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
30-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 19/04/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 17/05/2021 ALLOWED APPELLANT THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 23/11/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 30/09/2019. MATTER REMITTED TO WTM TO ISSUE APPROPRIATE DIRECTION
SAT: SAT VIDE ITS ORDER DATED 30/01/2023 DISPOSED OF THE APPLICATION WITH THE DIRECTION TO RESPONDENT TO DECIDE SETTLEMENT APPLICATION WITHIN TWO MONTHS 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. |
| |
|
|
| Page 51 of 55
|
