| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
DWITIYA TRADING LTD.
(CIN:L67120WB1978PLC031628
PAN:AABCB4470B)
|
|
|
|
GANGADHAR SIL
PAN:AUGPS3281H
|
|
|
MANISH JANI
PAN:AENPJ3963L
|
|
MISUTILIZED THE FUNDS RAISED THROUGH PREFERENTIAL ALLOTMENT OF EQUITY SHARES VIOLATING REGULATIONS 3(A) TO 3(D), 4(1) 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DWITIYA TRADING LTD.
DID NOT SUBMIT THE DETAILS OF DEVIATIONS TO STOCK EXCHANGES ABOUT FUNDS RAISED THROUGH PREFERENTIAL ALLOTMENT OF EQUITY SHARES VIOLATING CLAUSE 43 OF LISTING AGREEMENT READ WITH REGULATION 32 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.20,00,000
20-JUL-2021
|
SEBI VIDE ITS NOTICE DATED 11/05/2022 DIRECTED ALL THE BANKS 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 07/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.47,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF DWITIYA TRADING LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 102 |
|
|
EDUCOMP SOLUTIONS LTD.
(PAN:AAACE2983M)
|
|
|
|
JAGDISH PRAKASH
PAN:AAHPP4162E
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS STATEMENTS AND DID NOT PUBLISH & REPORT A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION TO STOCK EXCHANGES VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF EDUCOMP SOLUTIONS TD.
GAVE CORPORATE GUARANTEE FOR LOANS AVAILED BY EDU SMART SERVICES PVT.LTD. (ESSPL) TO TUNE OF RS.1550 CRORE WITHOUT APPROVAL OF AUDIT COMMITTEE VIOLATING PROVISION (IV) (A) OF CLAUSE 49 OF LISTING AGREEMENT READ WITH REGULATION 103(2) OF SEBI (LODR) REGULATIONS, 2015 AND SCRA ACT, 1956
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-MAY-2023 TO 29-MAY-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAY-2023 TO 29-MAY-2026
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 30-MAY-2023 TO 29-MAY-2026
IMPOSED PENALTY RS.4,00,00,000
30-MAY-2023
|
|
| 103 |
|
|
EDUCOMP SOLUTIONS LTD.
(PAN:AAACE2983M)
|
|
|
|
SHANTANU PRAKASH
PAN:AAJPP1605K
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS STATEMENTS AND DID NOT PUBLISH & REPORT A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION TO STOCK EXCHANGES VIOLATING SECTIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF EDUCOMP SOLUTIONS TD.
GAVE CORPORATE GUARANTEE FOR LOANS AVAILED BY EDU SMART SERVICES PVT.LTD. (ESSPL) TO TUNE OF RS.1550 CRORE WITHOUT APPROVAL OF AUDIT COMMITTEE VIOLATING PROVISION (IV) (A) OF CLAUSE 49 OF LISTING AGREEMENT READ WITH REGULATION 103(2) OF SEBI (LODR) REGULATIONS, 2015 AND SCRA ACT, 1956
DID NOT MAKE DISCLOSURE OF TRANSACTIONS WITH EDU SMART SERVICES PVT.LTD. (ESSPL) AS RELATED PARTY TRANSACTIONS VIOLATING CLAUSE 32 OF LISTNG AGREEMENT READ WITH SECTION 21 OF SCRA ACT, 1956
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-MAY-2023 TO 29-MAY-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAY-2023 TO 29-MAY-2028
IMPOSED PENALTY RS.1,00,00,000
30-MAY-2023
|
SAT: SAT VIDE ITS ORDER DATED 22/08/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED EFFECT AND OPERATION OF IMPUGNED ORDER TILL DISPOSAL OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 31/10/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 104 |
|
|
EDYNAMICS SOLUTIONS LTD.
(CIN:L74900DL2000PLC106755
PAN:AAACE7849N)
|
|
|
|
ANITA GUPTA
PAN:AOFPG8504E
DIN:06501012
|
|
|
BHARAT GUPTA
PAN:ALFPG6480L
DIN:06507664
|
|
|
VIKAS SAINI
PAN:BEZPS2003H
DIN:06503769
|
|
|
VINOD KUMAR
PAN:BDUPK1521Q
|
|
DID NOT PROVIDE STATEMENTS TO STOCK EXCHANGES PERTAINING TO DEVIATION AND VARIATION IN UTILIZATION OF ISSUE PROCEEDS VIOLATING REGULATION 32(1) OF SEBI (LODR) REGULATIONS, 2015 AND CLAUSE 46A OF ERSTWHILE EQUITY LISTING AGREEMENT FOR SME COMPANIES
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
|
IMPOSED PENALTY RS.60,00,000
05-JAN-2021
|
SEBI VIDE ITS NOTICE DATED 29/04/2022 DIRECTED TO PAY RS.58,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 13/09/2022 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
|
| 105 |
|
|
EICHER MOTORS LTD.
(PAN:AAACE3882D)
|
|
|
DID NOT ISSUE ADVERTISEMENT IN RESPECT OF ISSUANCE OF 100 DUPLICATE SHARES OF EICHER LTD. VIOLATING CLAUSE 23(B) OF GENERAL NORMS FOR PROCESSING OF DOCUMENTS UNDER RRTI CIRCULAR NO.1 (2000-2001) DATED 09/05/2001 AND CLAUSE 3(E) OF LISTING AGREEMENT READ WITH REGULATIONS 39(2) & 103(2) OF SEBI (LODR) REGULATIONS, 2015
PROCESSED DUPLICATE SHARE CERTIFICATE REQUEST WITHOUT OBTAINING PROPER INDEMNITY VIOLATING CLAUSE 23(A) OF GENERAL NORMS FOR PROCESSING OF DOCUMENTS UNDER RRTI CIRCULAR NO.1 (2000-2001) DATED 09/05/2001 AND CLAUSE 3(E) OF LISTING AGREEMENT READ WITH REGULATIONS 39(2) & 103(2) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.10,00,000
01-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 29/08/2022 REPLY FILE WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER WITHIN THREE WEEKS THEREAFTER FROM DATE OF THIS ORDER. IN THE MEANWHILE, APPELLANT TO DEPOSIT PENALTY AMOUNT WHICH WOULD BE SUBJECT TO THE RESULT OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 16/01/2023 ALLOWED APPLICATION ON PAYMENT OF COST OF RS.10,000.00 TO BE DEPOSITED BEFORE REGISTRAR OF THIS TRIBUNAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 106 |
|
|
EJECTA MARKETING LTD.
(PAN:AAFCA1262N)
|
|
|
DID NOT UTILIZE FUNDS RAISED THROUGH PREFERENTIAL ALLOTMENTS AS STATED IN OBJECTS OF ISSUE VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF EJECTA MARKETING LTD.
DID NOT UTILIZE FUNDS RAISED THROUGH PREFERENTIAL ALLOTMENTS AS STATED IN OBJECTS OF ISSUE AND DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES VIOLATING CLAUSES 43 OF LISTING AGREEMENT (NOW REGULATION 32) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,00,000
15-DEC-2022
|
|
| 107 |
|
|
ELCID INVESTMENTS LTD.
(PAN:AAACE1611Q)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING REGULATION 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING REGULATION 2(1)(PP) OF SEBI (ICDR) REGULATIONS, 2018 READ WITH REGULATION 2(1)(ZB) OF SEBI (ICDR) REGULATIONS, 2009
ALLEGED FAILURE IN MAKING DISCLOSURE OF MR.JATIN SARAIYA AS PART OF PROMOTER GROUP OF THE COMPANY AND HIS SHAREHOLDING IN EIL VIOLATING CLAUSE 2 OF LISTING AGREEMENT DATED 28/12/2015 SIGNED BETWEEN EIL AND BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,11,775 VIDE CONSENT ORDER)
01-SEP-2021
|
|
| 108 |
|
|
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
|
|
| 109 |
|
|
ELECTROTHERM (INDIA) LTD.
(PAN:AAACE2669L)
|
|
|
|
AVINASH BHANDARI
PAN:ABRPB0303P
|
|
|
MUKESH BHANDARI
PAN:AALPB1974B
|
|
|
PAWAN GAUR
PAN:BITPG8518F
|
|
|
SHAILESH BHANDARI
PAN:AALPB1973G
|
|
|
SIDDHARTH BHANDARI
PAN:ARTPB0632P
|
|
DID NOT PREPARE TRUE AND FAIR FINANCIAL STATEMENTS BY REVERSAL/NON-PROVISIONING OF INTEREST AND MADE WRONGFUL CERTIFICATION OF FINANCIAL RESULTS VIOLATING CLAUSES 41(I) AND 50 OF ERSTWHILE EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT PREPARE TRUE AND FAIR FINANCIAL STATEMENTS BY REVERSAL/NON-PROVISIONING OF INTEREST AND MADE WRONGFUL CERTIFICATION OF FINANCIAL RESULTS VIOLATING REGULATIONS 4(1)(A), 4(1)(B), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.10,00,000
28-AUG-2020
|
|
| 110 |
|
|
EMAMI REALTY LTD.
(CIN:AALCS5120P
PAN:AALCS5120P)
|
|
|
DID NOT OBTAIN IN-PRINCIPLE APPROVAL FROM STOCK EXCHANGES BEFORE ISSUING SECURITIES VIOLATING REGULATION 28(1) OF SEBI (LODR) REGULATIONS, 2015
MADE APPLICATION TO STOCK EXCHANGES REQUESTING IN-PRINCIPLE APPROVAL ON THE SAME DAY WHEN THE NOTICE SENT FOR GENERAL MEETING SEEKING SHAREHOLDERS’ APPROVAL BY WAY OF SPECIAL RESOLUTION VIOLATING REGULATION 160(F) OF SEBI (ICDR) REGULATIONS, 2018
EXCEEDED TENURE EXCEEDING 18 MONTHS OF CONVERTIBLE SECURITIES DATE OF THEIR ALLOTMENT VIOLATING REGULATION 162 OF SEBI (ICDR) REGULATIONS, 2018
DID NOT ADHERE TO SHAREHOLDING PATTERN OF ISSUER BEFORE AND AFTER PREFERENTIAL ISSUE VIOLATING REGULATION 163(D) OF SEBI (ICDR) REGULATIONS, 2018
DID NOT IDENTITY NATURAL PERSONS WHO ARE BENEFICIAL OWNERS OF THE SHARES PROPOSED TO BE ALLOTTED AND WHO WILL ULTIMATELY CONTROL PROPOSED ALLOTTEES VIOLATING REGULATION 163(F) OF SEBI (ICDR) REGULATIONS, 2018
DID NOT ADHERE TO PERCENTAGE OF POST PREFERENTIAL ISSUE CAPITAL THAT MAY BE HELD BY ALLOTTEE AND CHANGE IN CONTROL CONSEQUENT TO THE PREFERENTIAL ISSUE VIOLATING REGULATION 163(FA) OF SEBI (ICDR) REGULATIONS, 2018
DID NOT ADHERE TO CURRENT AND PROPOSED STATUS OF THE ALLOTTEE POST PREFERENTIAL ISSUES VIOLATING REGULATION 163(J) OF SEBI (ICDR) REGULATIONS, 2018
DID NOT ADHERE TO PCS CERTIFICATE BEFORE GENERAL MEETING OF SHAREHOLDERS VIOLATING REGULATION 163(2) OF SEBI (ICDR) REGULATIONS, 2018
DID NOT ADHERE TO PRICING OF FREQUENTLY TRADE SHARES VIOLATING REGULATION 164 OF SEBI (ICDR) REGULATIONS, 2018
DID NOT ADHERE TO LOCK-IN AND RESTRICTIONS ON TRANSFERABILITY VIOLATING REGULATION 167 OF SEBI (ICDR) REGULATIONS, 2018
|
IMPOSED PENALTY RS.5,00,000
06-MAR-2025
|
|
| 111 |
|
|
EMBASSY PROPERTY DEVELOPMENTS PVT.LTD.
(PAN:AAACD6927A)
|
|
|
DID NOT SUBMIT FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF LINE ITEMS IN RESPECT TO NCDS TO STOCK EXCHANGES VIOLATING REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT CERTIFICATE SIGNED BY DEBENTURE TRUSTEE TO STOCK EXCHANGES IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATIONS 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.3,00,000
29-DEC-2020
|
|
| 112 |
|
|
ERA INFRA ENGINEERING LTD.
(CIN:L74899DL1990PLC041350
PAN:AAACE1268K)
|
|
|
DID NOT SUBMIT COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATIONS 40(10) READ WITH 40(9) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATION 7(3) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
DELAY IN SUBMISSION OF COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATION 7(3) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT STATEMENT OF INVESTOR'S COMPLAINTS TO STOCK EXCHANGES VIOLATING REGULATION 13(3) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.6,00,000
24-APR-2020
|
|
| 113 |
|
|
ESKAY K'N'IT (INDIA) LTD.
(CIN:L18109DN1987PLC000034
PAN:AABCS1363G)
|
|
|
MISREPRESENTED FINANCIALS AND/OR BUSINESS AND MISUSED FUNDS/BOOKS OF ACCOUNTS OF ESKAY AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 8, 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ESKAY K'N'IT (INDIA) LTD.
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
DID NOT FURNISH INFORMATION SOUGHT BY FORENSIC AUDITOR
|
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 17-FEB-2020 TO 16-FEB-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.40,00,000
11-AUG-2021
|
|
| 114 |
|
|
ESKAY K'N'IT (INDIA) LTD.
(CIN:L18109DN1987PLC000034
PAN:AABCS1363G)
|
|
|
|
MANMOHAN AHLUWALIA
PAN:AGDPA0642F
|
|
|
NARESH CHANDRA SHARMA
PAN:ADWPS6154J
|
|
MISREPRESENTED FINANCIALS AND/OR BUSINESS AND MISUSED FUNDS/BOOKS OF ACCOUNTS OF ESKAY AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 8, 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ESKAY K'N'IT (INDIA) 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 11-AUG-2021 TO 10-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.6,00,000
11-AUG-2021
|
|
| 115 |
|
|
ESKAY K'N'IT (INDIA) LTD.
(CIN:L18109DN1987PLC000034
PAN:AABCS1363G)
|
|
|
|
NARAYAN RAMCHANDRA GHUMATKAR
DIN:01717979
PAN:AKKPG0652L
|
|
|
NEHA NILESH PATIL
PAN:AMDPP3594P
|
|
|
TRIVENDRA SHAMBHU SINGH
PAN:BEEPS9764J
|
|
MISREPRESENTED FINANCIALS AND/OR BUSINESS AND MISUSED FUNDS/BOOKS OF ACCOUNTS OF ESKAY AND SUBSIDIARIES VIOLATING REGULATIONS 4(2)(F)(II)(6), (7), 8, 4(2)(F)(III)(3), (6) AND (12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ESKAY K'N'IT (INDIA) LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL EVENT TO STOCK EXCHANGES VIOLATING REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ESKAY K'N'IT (INDIA) 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 11-AUG-2021 TO 10-AUG-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.9,00,000
11-AUG-2021
|
|
| 116 |
|
|
ESSAR STEEL INDIA LTD.
(PAN:AAACE1741P)
|
|
|
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES DEFAULT IN PAYMENT OF INTEREST AND PRINCIPAL AMOUNT IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATION 51(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES EXPECTED DEFAULT AND/OR ACTION IN TIMELY PAYMENT OF INTEREST/PRINCIPAL IN RESPECT OF NCDS VIOLATING REGULATION 51(2) READ WITH PART B OF SCHEDULE III (CLAUSES A1, A4 AND A9) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF LINE ITEMS WHILE SUBMITTING FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT CERTIFICATE SIGNED BY DEBENTURE TRUSTEE TO STOCK EXCHANGES IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATIONS 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE DISCLOSURE OF SECURITY CREATED AND MAINTAINED WITH RESPECT TO ITS LISTED NCDS TO STOCK EXCHANGES VIOLATING REGULATION 54(2) OF SEBI (LODR) REGULATIONS, 2015
DID NOT SUBMIT CERTIFICATE TO STOCK EXCHANGES WITHIN TWO DAYS OF INTEREST/PRINCIPAL OF BECOMING DUE IN RESPECT OF NCDS VIOLATING REGULATION 57(1) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.2,00,000
28-MAR-2022
|
SAT: SAT VIDE ITS ORDER DATED 01/07/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 28/03/2022. NO COSTS
|
| 117 |
|
|
EXCEL REALTY N INFRA LTD.
(PAN:AABCE1172H)
|
|
|
MISREPRESENTED FINANCIAL STATEMENTS BY CONTINUOUSLY SHOWING BALANCE OUTSTANDING FROM STRUCK-OFF AND DEFAULTER COMPANIES
MISUSED FUNDS AND MISREPRESENTED THROUGH LONG OUTSTANDING BALANCE OF LOAN AND ADVANCES AND NON-PROVISIONING FOR NINE YEARS
MISREPRESENTED BY NON-DISCLOSURE OF BALANCE OUTSTANDING FROM RELATED PARTIES
MISUSED AND DIVERTED FUNDS BY PROVIDING INTEREST FREE LOANS TO WHOLLY-OWNED SUBSIDIARY
|
DIRECTED TO TAKE ALL STEPS TO BRING BACK BALANCE AMOUNT OF FUNDS OUTSTANDING FROM WHOLLY-OWNED SUBSIDIARY (WOS) OF COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2023 TO 27-JAN-2024
IMPOSED PENALTY RS.10,00,000
28-JUL-2023
|
SAT: SAT VIDE ITS ORDER DATED 26/09/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANTS TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER. STAYED EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS SUBJECT TO CONDITION THAT APPELLANT WILL DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 16/04/2024 CONDONED THE DELAY IN FILING OF APPEAL
|
| 118 |
|
|
EXCEL REALTY N INFRA LTD.
(PAN:AABCE1172H)
|
|
|
|
ARPIT LAKHMENDRA KHURANA
PAN:BCAPK8310C
|
|
|
LAKHMENDRA CHAMANLAL KHURANA
PAN:AGPPK7179R
|
|
|
PRAMOD YESHWANT KOKATE
PAN:ANOPK4711F
|
|
|
RANJANA KHURANA LAKHMENDRA
PAN:AGPPK7181F
|
|
MISREPRESENTED FINANCIAL STATEMENTS BY CONTINUOUSLY SHOWING BALANCE OUTSTANDING FROM STRUCK-OFF AND DEFAULTER COMPANIES
MISUSED FUNDS AND MISREPRESENTED THROUGH LONG OUTSTANDING BALANCE OF LOAN AND ADVANCES AND NON-PROVISIONING FOR NINE YEARS
MISREPRESENTED BY NON-DISCLOSURE OF BALANCE OUTSTANDING FROM RELATED PARTIES
MISUSED AND DIVERTED FUNDS BY PROVIDING INTEREST FREE LOANS TO WHOLLY-OWNED SUBSIDIARY
ISSUED FALSE AND MISLEADING CERTIFICATE UNDER REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATION, 2015 IN MATTER OF EXCEL REALTY N INFRA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2023 TO 27-JUL-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2023 TO 27-JUL-2024
IMPOSED PENALTY RS.15,00,000
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET INCLUDING AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN LISTED COMPANY OR INTERMEDIARY REGISTERED WITH SEBI OF ANY MARKET INFRASTRUCTURE INSTITUTION FROM 28-JUL-2023 TO 27-JUL-2024
28-JUL-2023
|
|
| 119 |
|
|
EXCEL REALTY N INFRA LTD.
(PAN:AABCE1172H)
|
|
|
|
LAKHMENDRA CHAMANLAL KHURANA
PAN:AGPPK7179R
|
|
MISREPRESENTED FINANCIAL STATEMENTS BY CONTINUOUSLY SHOWING BALANCE OUTSTANDING FROM STRUCK-OFF AND DEFAULTER COMPANIES
MISUSED FUNDS AND MISREPRESENTED THROUGH LONG OUTSTANDING BALANCE OF LOAN AND ADVANCES AND NON-PROVISIONING FOR NINE YEARS
MISREPRESENTED BY NON-DISCLOSURE OF BALANCE OUTSTANDING FROM RELATED PARTIES
MISUSED AND DIVERTED FUNDS BY PROVIDING INTEREST FREE LOANS TO WHOLLY-OWNED SUBSIDIARY
ISSUED FALSE AND MISLEADING CERTIFICATE UNDER REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATION, 2015 IN MATTER OF EXCEL REALTY N INFRA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2023 TO 27-JUL-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2023 TO 27-JUL-2025
IMPOSED PENALTY RS.3,00,00,000
28-JUL-2023
|
|
| 120 |
|
|
FAMILY CARE HOSPITALS LTD.
(PAN:AAACP2883M)
|
|
|
DID NOT PROVIDE ADEQUATE AND TIMELY INFORMATION TO STOCK EXCHANGE AND INVESTORS REGARDING ASSIGNMENT OF DEBT OF RS.2.11 CRORE (I.E.14.82% OF NET WORTH OF COMPANY) TO PROMOTER
GRANTED BLANKET APPROVAL TO BOARD OF DIRECTORS OF COMPANY TO ENTER INTO RELATED PARTY TRANSACTIONS UP TO RS.100 CRORE IN AGM
MADE INCORRECT DISCLOSURE OF INTEREST OF DIRECTORS/KMPS IN EXPLANATORY STATEMENT FOR RELATED PARTY TRANSACTIONS RESOLUTIONS PROPOSED IN AGM OF THE COMPANY
ALLOWED RELATED PARTIES TO VOTE TO APPROVE RESOLUTIONS OF RELATED PARTY TRANSACTIONS
PROVIDED FALSE AND INACCURATE SUBMISSIONS IN VOTING RESULTS
DID NOT PROVIDE REQUISITE INFORMATION TO SHAREHOLDERS WHILE SEEKING APPROVAL FOR RELATED PARTY TRANSACTIONS AT AGM
DID NOT OBTAIN NECESSARY APPROVAL FOR MATERIAL RELATED PARTY TRANSACTIONS FROM ITS SHAREHOLDERS VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015
SUBMITTED DEFECTIVE DISCLOSURES OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES
DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS TO STOCK EXCHANGES
|
IMPOSED PENALTY RS.15,00,000
21-MAR-2024
|
SEBI VIDE ITS NOTICE DATED 27/05/2024 DIRECTED TO PAY RS.15,46,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 24
|
