| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1101 |
|
WAVE INTER TRADES PVT.LTD.
(PAN:AAACW0576A)
(Along with : EMBASSY FINANCE & CONSULTANTS PVT.LTD.,
TOHEE TRADING & AGENCIES PVT.LTD.,
SULABH IMPEX LTD.)
|
|
|
|
ANKIT JAIN
PAN:AAGPJ3942C
|
|
|
RASHMI JAIN
PAN:AAGPJ3943D
|
|
DID NOT MAKE 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 MISHKA FINANCE & TRADING 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 MISHKA FINANCE & TRADING LTD.
MADE WRONG 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 MISHKA FINANCE & TRADING LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-JUL-2022
|
|
| 1102 |
|
|
WAZIR FINANCIAL SERVICES LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BIRLA COTSYN (INDIA) LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF BIRLA COTSYN (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,250 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-FEB-2017
|
|
| 1103 |
|
|
WHITE COTT FABRICS
(PAN:AADFW7046H)
|
|
|
DID NOT MAKE 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 AKSHAR SPINTEX LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-AUG-2024
|
|
| 1104 |
|
|
WHITEFEATHERS REALTY PVT.LTD.
(PAN:AABCW0378F)
|
|
|
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 MAPRO INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
01-SEP-2020
|
|
| 1105 |
|
|
WILLIAMSON MAGOR & CO.LTD.
(CIN:L01132WB1949PLC017715
PAN:AAACW2369P)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES OF ENCUMBERED SHARES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 28(3) OF SAST REGULATIONS, 2011 READ WITH CLAUSES 2(III) AND 2(IV) OF SEBI CIRCULAR NO.SEBI/HO/CFD/DCR1/CIR/P/2019/90 DATED 07/08/2019
|
IMPOSED PENALTY RS.2,00,000
28-SEP-2023
|
|
| 1106 |
|
|
WORLD CREST ADVISORS LLP.
(PAN:AACFW2588B)
|
|
|
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.7,70,313 VIDE CONSENT ORDER)
17-FEB-2021
|
|
| 1107 |
|
|
WORLD WIDE MANAGEMENT CONSULTANCY PVT.LTD.
(PAN:AAACW2470K)
|
|
|
|
VASANTHA KUMARAN
PAN:AAZPK2468H
|
|
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 IB INFOTECH ENTERPRISES LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 3(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF IB INFOTECH ENTERPRISES LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF IB INFOTECH ENTERPRISES LTD.
|
IMPOSED PENALTY RS.5,00,000
28-FEB-2014
|
|
| 1108 |
|
|
XCHANGING TECHNOLOGY SERVICES INDIA PVT.LTD.
(PAN:AABCR5609L)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3, 4 AND 5 READ WITH 13 OF SAST REGULATIONS, 2011 IN MATTER OF XCHANGING SOLUTIONS LTD.
ALLEGED DELAY IN COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.65,24,132 VIDE CONSENT ORDER)
16-FEB-2021
|
|
| 1109 |
|
|
YADU INTERNATIONAL LTD.
(PAN:AAACY0480F)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 3(1) OF SAST REGULATIONS, 2011 IN MATTER OF JAYKAY ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-NOV-2017
|
|
| 1110 |
|
|
YASHRAJ CONTAINEURS LTD.
(CIN:L28120MH1993PLC073160
PAN:AAACV4846L)
|
|
|
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
|
|
| 1111 |
|
|
YASHRAJ CONTAINEURS LTD.
(CIN:L28120MH1993PLC073160
PAN:AAACV4846L)
|
|
|
|
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
|
| 1112 |
|
|
YES BANK LTD.
(PAN:AAACY2068D)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(2) OF SAST REGULATIONS, 2011
ALLEGED FAILURE IN COMPLIANCE OF REGULATION 4(1)(C) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,80,000 VIDE CONSENT ORDER)
29-JUN-2018
|
|
| 1113 |
|
|
YES CAPITAL (INDIA) PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES FOR CREATION OF ENCUMBRANCE OF SHARES AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 31(3) AND (28(3) OF SAST REGULATIONS, 2011 IN MATTER OF YES BANK LTD.
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 13/06/2021 DISMISSED THE APPEAL
|
| 1114 |
|
|
YORK FINANCIAL SERVICES PVT.LTD.
(PAN:AAACY1185F)
|
|
|
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 SHREE OM TRADES LTD. (NOW KNOWN AS EMERGENT GLOBAL EDU & SERVICES LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHREE OM TRADES LTD. (NOW KNOWN AS EMERGENT GLOBAL EDU & SERVICES LTD.)
|
IMPOSED PENALTY RS.1,50,000
28-DEC-2015
|
|
| 1115 |
|
|
ZARF INFRA DEVELOPMENT PVT.LTD.
(PAN:AAACZ4477F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
DID NOT MAKE 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 ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.4,00,000
30-JUN-2017
|
SEBI VIDE ITS NOTICE DATED 24/08/2021 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 03/09/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF ZARF INFRA DEVELOPMENT PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 1116 |
|
|
ZARF INFRA DEVELOPMENT PVT.LTD.
(PAN:AAACZ4477F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.2,00,000
27-FEB-2018
|
SEBI VIDE ITS NOTICE DATED 24/08/2021 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 08/09/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF ZARF INFRA DEVELOPMENT PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 1117 |
|
|
ZAYAT CONSTRUCTION PVT.LTD.
(PAN:AAACZ4478L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.2,00,000
27-FEB-2018
|
SEBI VIDE ITS NOTICE DATED 22/06/2022 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 28/07/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF ZAYAT CONSTRUCTION PVT.LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 1118 |
|
|
ZEAL REAL ESTATE LTD.
(PAN:AAACI6876R)
|
|
|
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 ZENITH CAPITALS LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2013
|
|
| 1119 |
|
|
ZELKOVA BUILDERS PVT.LTD.
(PAN:AAACZ5953G)
|
|
|
ALLEGED VIOLATION OF REGULATION 3(2) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF INDIABULLS VENTURES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.47,93,473 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-DEC-2018
|
|
| 1120 |
|
|
ZEST AGENCIES & TRADING PVT.LTD.
(PAN:AAACA3881E)
|
|
|
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 ZENITH CAPITALS LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-DEC-2013
|
|
| 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 56 of 57
|
