SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE � PRESS RELEASES/ CHAIRMAN�S AND MEMBER�S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

COMPANIES: VIOLATED SEBI (PFUTP) REGULATIONS, 2003

S.No.

ENTITY

PERSONS

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

1081

VSB INVESTMENTS LTD.

(PAN:AABCV7492B)

INDULGED IN DIVERSION OF FUNDS OF RS.2,473.66 CRORE (APPROX) OF RELIGARE FINVEST LTD. THROUGH SUBSIDIARY OF REL FOR BENEFIT OF PROMOTERS/PROMOTER GROUP ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.

IMPOSED PENALTY RS.10,00,000

31-OCT-2022

SAT: SAT VIDE ITS ORDER DATED 08/02/2023 CONDONED THE DELAY IN FILING OF APPEAL. IN THE MEANWHILE, DIRECTED RESPONDENT FILE REPLY WITHIN TWO WEEKS AND REJOINDER TO BE FILED TWO WEEKS THEREAFTER. DIRECTED TO DEPOSIT 10% OF PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF THE AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL

SAT: SAT VIDE ITS ORDER DATED 16/03/2023 GRANTED RESPONDENT FURTHER TWO WEEKS TO FILE REPLIES AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER

1082

WADHAWAN CONSOLIDATED HOLDINGS PVT.LTD.

(PAN:AACCD2944F)

Click here to view complete history of this specific entity/person

ANU S.WADHAWAN

PAN:AAQPW2792P

ARUNA RAJESHKUMAR WADHAWAN

PAN:AAHPW9334L

DHEERAJ RAJESHKUMAR WADHAWAN

PAN:AAOPW4517G

KAPIL KUMAR WADHAWAN

PAN:AAOPW6145L

MALTI RAKESH KUMAR WADHAWAN

PAN:AAGPW8042G

POOJA D.WADHAWAN

PAN:AAJPB9268Q

RAKESH KUMAR WADHAWAN

PAN:AAEPW7656G

SARANG WADHAWAN

PAN:AAAPW2530R

INDULGED IN MANIPULATION/FALSIFICATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D), 4(1) & 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEWAN HOUSING FINANCE CORP.LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-SEP-2020 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-SEP-2020 TILL FURTHER ORDERS

RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 22-SEP-2020 TILL FURTHER ORDERS

22-SEP-2020

SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020

SAT: SAT VIDE ITS ORDER DATED 13/09/2021 DISMISSED THE APPEAL

1083

WADHAWAN GLOBAL CAPITAL PVT.LTD.

(PAN:AAACW9811G)

ANU S.WADHAWAN

PAN:AAQPW2792P

ARUNA RAJESHKUMAR WADHAWAN

PAN:AAHPW9334L

DHEERAJ RAJESHKUMAR WADHAWAN

PAN:AAOPW4517G

KAPIL KUMAR WADHAWAN

PAN:AAOPW6145L

MALTI RAKESH KUMAR WADHAWAN

PAN:AAGPW8042G

POOJA D.WADHAWAN

PAN:AAJPB9268Q

RAKESH KUMAR WADHAWAN

PAN:AAEPW7656G

SARANG WADHAWAN

PAN:AAAPW2530R

SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020

SAT: SAT VIDE ITS ORDER DATED 30/09/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

1084

WADHAWAN HOLDINGS PVT.LTD.

(CIN:U74999MH2002PTC135601
PAN:AAACW5001G)

ANU S.WADHAWAN

PAN:AAQPW2792P

ARUNA RAJESHKUMAR WADHAWAN

PAN:AAHPW9334L

DHEERAJ RAJESHKUMAR WADHAWAN

PAN:AAOPW4517G

KAPIL KUMAR WADHAWAN

PAN:AAOPW6145L

MALTI RAKESH KUMAR WADHAWAN

PAN:AAGPW8042G

POOJA D.WADHAWAN

PAN:AAJPB9268Q

RAKESH KUMAR WADHAWAN

PAN:AAEPW7656G

SARANG WADHAWAN

PAN:AAAPW2530R

SEBI VIDE ITS ORDER DATED 22/10/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020

SEBI VIDE ITS ORDER DATED 10/03/2023 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 22/09/2020 READ WITH CONFIRMATORY ORDER DATED 22/10/2021

1085

WADHAWAN RETAIL VENTURES PVT.LTD.

(PAN:AAACW6632R)

ANU S.WADHAWAN

PAN:AAQPW2792P

ARUNA RAJESHKUMAR WADHAWAN

PAN:AAHPW9334L

DHEERAJ RAJESHKUMAR WADHAWAN

PAN:AAOPW4517G

KAPIL KUMAR WADHAWAN

PAN:AAOPW6145L

MALTI RAKESH KUMAR WADHAWAN

PAN:AAGPW8042G

POOJA D.WADHAWAN

PAN:AAJPB9268Q

RAKESH KUMAR WADHAWAN

PAN:AAEPW7656G

SARANG WADHAWAN

PAN:AAAPW2530R

1086

WARNER MULTIMEDIA LTD.

(CIN:L92100WB1983PLC036338
PAN:AABCC0225H)

FACILITATED FUNDING THROUGH ITS RELATED/CONNECTED ENTITIES TO PREFERENTIAL ALLOTMENT BY PREFERENTIAL ALLOTTEES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF JMD TELEFILMS INDUSTRIES LTD. (NOW JMD VENTURES LTD.)

IMPOSED PENALTY RS.6,00,000

28-OCT-2022

SAT: SAT VIDE ITS ORDER DATED 15/03/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED EXEMPTION APPLICATIONS

SAT: SAT VIDE ITS ORDER DATED 29/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER

1087

WHITE ORGANIC AGRO LTD.

(PAN:AAACW0337R)

PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO LTD.

PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(E), 3(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO 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 06-MAY-2024 TILL FURTHER ORDERS

DIRECTED TO CONSTITUTE NEW AUDIT COMMITTEES AND PLACE THE COPY OF THIS ORDER BEFORE THEM

DIRECTED NEW AUDIT COMMITTEES TO ENSURE THAT ADD-SHOP E-RETAIL LTD. AND WHITE ORGANIC AGRO LTD. COMPLY WITH OTHER REQUIREMENTS UNDER LODR REGULATIONS, 2015

06-MAY-2024

1088

WHITEVIEW TRADING CORP.

SUBSCRIBED GDR ISSUE TO THE EXTENT OF USD 15.67 MILLION WITHOUT PROPER CONSIDERATION VIOLATING SECTION 12A (A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SOMA TEXTILES & INDUSTRIES LTD.

SAT: SAT VIDE ITS ORDER DATED 09/07/2021 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 08/11/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

1089

WINSOME TEXTILE INDUSTRIES LTD.

(PAN:AAACW1910G)

INDULGED IN FACILITATING SUBSCRIPTION OF GDRS AMOUNTING TO USD 9.99 MN.BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (WINSOME) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF WINSOME TEXTILE INDUSTRIES LTD.

DID NOT ADHERE TO ACCOUNTING STANDARD ON CASH FLOW STATEMENT (AS-3) VIOLATING CLAUSES 32 AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956

DID NOT INFORM STOCK EXCHANGE ABOUT DELISTING OF GDRS ON LUXEMBOURG STOCK EXCHANGE VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956

DIRECTED TO UNDERTAKE MEASURES OF BRING BACK OUTSTANDING USD 9.018 MN. INTO ITS BANK ACCOUNT IN INDIA

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-2021 TO 13-SEP-2023

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

IMPOSED PENALTY RS.2,50,00,000

15-DEC-2021

SAT: SAT VIDE ITS ORDER DATED 23/09/2022 ALLOWED APPELLANT FURTHER TWO WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 13/09/2023 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.25 LAC FROM RS.44 LAC AND ALSO REDUCED DEBARMENT PERIOD FROM THREE YEARS TO PERIOD UNDERGONE

1090

WINSOME YARNS LTD.

(CIN:L17115CH1990PLC010566
PAN:AAACW1911H)

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 26-OCT-2021 TO 25-OCT-2024

DIRECTED TO CONTINUE TO PURSUE THE MEASURES OF BRING BACK OUTSTANDING USD 6.05 MN.

DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI

26-OCT-2021

SAT: SAT VIDE ITS ORDER DATED 16/12/2021 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 08/02/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

1091

WINSOME YARNS LTD.

(CIN:L17115CH1990PLC010566
PAN:AAACW1911H)

ASHISH BAGRODIA

PAN:AEIPB4708E

B.M.KHANNA

PAN:ADBPK4671K

INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF WINSOME VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF WINSOME YARNS LTD.

1092

WINSOME YARNS LTD.

(CIN:L17115CH1990PLC010566
PAN:AAACW1911H)

MANISH BAGRODIA

PAN:ADLPB0308A

1093

WINSOME YARNS LTD.

(CIN:L17115CH1990PLC010566
PAN:AAACW1911H)

MANISH BAGRODIA

PAN:ADLPB0308A

INDULGED IN FACILITATING SUBSCRIPTION OF 19,94,125 GDRS AMOUNTING TO USD 13.24 MN. GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (WINSOME) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003

DID NOT INFORM STOCK EXCHANGES ABOUT TERMINATION OF GDR PROGRAM VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956

DID NOT PREPARE FINANCIAL STATEMENTS AS PER IN ACCOUNTING STANDARDS (AS-3, AS-29 AND AS-1) VIOLATING CLAUSES 32 AND 50 5OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956

IMPOSED PENALTY RS.11,00,00,000

28-MAY-2021

SEBI VIDE ITS NOTICE DATED 06/02/2023 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 ORDER DATED 16/02/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6207 OF 2023 DATED 12/01/2023

1094

WOOD STAR (INDIA) PVT.LTD.

(CIN:U20101GJ2001PTC039485
PAN:AAACW3570E)

AIDED AND ABETTED TIMBOR HOMES LTD. MAKING INCORRECT DISCLOSURE OF BRIDGE LOAN RS.7.00 CRORES FROM ALIN IN IPO PROSPECTUS VIOLATING SECTION 12A(A) OF SEBI ACT, 1992 AND REGULATIONS 3(B), 4(1) AND 4(2)(F) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IPO OF TIMBOR HOME LTD.

IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS

23-MAR-2021

1095

WORTHY DISTRIBUTORS PVT.LTD.

(PAN:AABCW1572H)

INDULGED IN FRONT RUNNING THE TRADES OF PNB METLIFE INDIA INSURANCE CO. AND INSTITUTIONAL CLIENTS OF INVESTEC AND MADE UNLAWFUL PROFITS VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DHANMATA REALTY PVT.LTD. AND OTHERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-DEC-2024 UNTIL FURTHER ORDERS

DIRECTED TO DISGORGE RS.21,15,78,005 ALONG WITH OTHER ENTITIES/PERSONS

DIRECTED TO CREDIT/DEPOSIT AMOUNT OF UNLAWFUL GAINS IN INTEREST BEARING ESCROW ACCOUNT WITH NATIONALIZED BANK WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI

DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

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 CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 20-DEC-2024 UNTIL FURTHER ORDERS

20-DEC-2024

SAT: SAT VIDE ITS ORDER DATED 13/03/2025 DIRECTED TO A) APPELLANT TO DEPOSIT 50% OF RS.8.42 CRORE WITH SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND MAINTAIN BALANCE OF NOT LESS THAN RS.4.41 CRORE IN DEMAT ACCOUNT DURING PENDENCY OF ADJUDICATION PROCEEDING B) PERMITTED APPELLANT TO SELL SECURITIES TO THE EXTENT OF RS.4.41 CRORE C) FILE REPLY TO SHOW CAUSE NOTICE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER E) STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT 50% AMOUNT

SAT: SAT VIDE ITS ORDER DATED 17/04/2025 GRANTED TWO WEEKS FROM DATE OF THIS ORDER TO COMPLY WITH ORDER DATED 13/03/2025

1096

YANTRA NATURAL RESOURCES LTD.

(CIN:L14297AP1988PLC074808
PAN:AACCS4221Q)

FACILITATED THE COMPANY IN GIVING FINANCIAL ASSISTANCE BY ALLOWING THEIR BANK ACCOUNTS FOR ROUTING OF FUNDS IN CONNECTION WITH THE SUBSCRIPTION MADE BY PREFERENTIAL ALLOTTEES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ALLIED COMPUTER INTERNATIONAL (ASIA) LTD.

IMPOSED PENALTY RS.2,00,000

29-JUL-2022

SEBI VIDE ITS NOTICE DATED 29/03/2023 DIRECTED TO PAY RS.2,19,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 08/05/2023 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

1097

YASHODHAM MERCHANTS PVT.LTD.

(PAN:AAACY1075E)

IMPOSED PENALTY RS.20,00,000

31-OCT-2022

SAT: SAT VIDE ITS ORDER DATED 19/01/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 16/03/2023 GRANTED RESPONDENT FURTHER TWO WEEKS TO FILE REPLIES AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER

1098

YES BANK LTD.

(PAN:AAACY2068D)

ALLEGED FAILURE IN MAKING COMPLETE PRESS RELEASE/PUBLIC ANNOUNCEMENT TO STOCK EXCHANGES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(D), 4(1), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,65,37,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

14-SEP-2021

1099

YES BANK LTD.

(PAN:AAACY2068D)

VIVEK KANWAR

PAN:AAIPK8816G

SOLD AT-1 BONDS TO CUSTOMER OF YES BANK LTD. WITHOUT ADOPTING ADEQUATE SAFEGUARDS TO PROTECT THEIR INTEREST AND WITHOUT SUFFICIENT DUE DILIGENCE VIOLATING SECTIONS 12A (B) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(C) AND 3(D), 4(1) AND 4(2)(S) READ WITH EXPLANATION (1) TO REGULATION 4(2) OF SEBI (PFUTP) REGULATIONS, 2003

IMPOSED PENALTY RS.25,00,00,000

12-APR-2021

SAT: SAT VIDE ITS ORDER DATED 21/05/2021 DIRECTED TO RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 30/07/2021 ALLOWED APPELLANT FURTHER THREE WEEKS TO FILE REJOINDER

1100

YES BANK LTD.

(PAN:AAACY2068D)

RANA KAPOOR

PAN:AHIPK0411A

IMPOSED PENALTY RS.2,00,00,000

07-SEP-2022

The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.