| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
RAJU SARKAR
|
|
|
|
ASPEN DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 06-JUL-2017 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUL-2017 UNTIL FURTHER ORDERS
06-JUL-2017
|
SEBI VIDE ITS NOTICE DATED 03/12/2020 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
|
| 102 |
|
|
RAJU SARKAR
|
|
|
|
ASPEN DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 10-OCT-2017 TO 09-OCT-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2017 TO 09-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2017 TO 09-OCT-2021
15-JUL-2015
|
SEBI VIDE ITS ORDER DATED 10/10/2017 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 103 |
|
|
RAKTIM DHAR
|
|
|
|
MULTINATIONAL INDUSTRIES LTD.
CIN:U74900WB2011PLC160958
PAN:AAHCM0793Q
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 13-SEP-2017 TO 12-SEP-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-SEP-2017 TO 12-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-SEP-2017 TO 12-SEP-2021
07-JUL-2016
|
SEBI VIDE ITS ORDER DATED 13/09/2017 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| 104 |
|
|
RAM SUNDAR BHATTACHARYA
|
|
|
|
ASSR AGRO INDIA LTD.
CIN:U01400WB2010PLC147878
PAN:AAICA6296M
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 24-OCT-2017 TO 23-OCT-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-OCT-2017 TO 23-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-OCT-2017 TO 23-OCT-2021
04-JUN-2015
|
SEBI VIDE ITS ORDER DATED 24/10/2017 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 105 |
|
|
RAM SUNDAR BHATTACHARYA
|
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 04-FEB-2016 TO 03-FEB-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-FEB-2016 TO 03-FEB-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-FEB-2016 TO 03-FEB-2020
07-AUG-2014
|
SEBI VIDE ITS ORDER DATED 04/02/2016 DIRECTED NOT TO OFFER THEMSELVES TO BE ENGAGED AS DEBENTURE TRUSTEES OR IN ANY CAPACITY AS AN INTERMEDIARY IN SECURITIES MARKET, WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION TO UNDERTAKE THAT ASSIGNMENT AS REQUIRED UNDER LAW. FURTHER, RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRASINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| 106 |
|
|
RAM SUNDER BHATTACHARYA
|
|
|
|
ATM SECURED DEVENTURE DEVELOPMENT TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 29-APR-2016 TO 28-APR-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-APR-2016 TO 28-APR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-APR-2016 TO 28-APR-2020
12-FEB-2015
|
SEBI VIDE ITS ORDER DATED 29/04/2016 DIRECTED NOT TO OFFER THEMSELVES TO BE ENGAGED AS DEBENTURE TRUSTEE OR IN ANY CAPACITY AS AN INTERMEDIARY IN SECURITIES MARKET, WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION TO UNDERTAKE ASSIGNMENT AS REQUIRED UNDER LAW. FURTHER RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| 107 |
|
|
RAM SUNDER BHATTACHARYA
|
|
|
|
URO AGRO INDIA LTD.
CIN:U01400WB2009PLC140455
PAN:AABCU1364K
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 18-DEC-2017 TO 17-DEC-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-DEC-2017 TO 17-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-DEC-2017 TO 17-DEC-2021
07-JUL-2016
|
SEBI VIDE ITS ORDER DATED 18/12/2017 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 108 |
|
|
RAM SUNDER BHATTACHARYA
|
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 02-MAY-2016 TO 01-MAY-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-MAY-2016 TO 01-MAY-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAY-2016 TO 01-MAY-2020
12-FEB-2015
|
SEBI VIDE ITS ORDER DATED 02/05/2016 DIRECTED NOT TO OFFER THEMSELVES TO BE ENGAGED AS DEBENTURE TRUSTEE OR IN ANY CAPACITY AS AN INTERMEDIARY IN SECURITIES MARKET, WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION TO UNDERTAKE ASSIGNMENT AS REQUIRED UNDER LAW. FURTHER RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| 109 |
|
|
RAM SUNDER BHATTACHARYA
|
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 14-AUG-2015 TO 13-AUG-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-AUG-2015 TO 13-AUG-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2015 TO 13-AUG-2019
05-JUN-2014
|
SEBI VIDE ITS ORDER DATED 14/08/2015 RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS
|
| 110 |
|
|
RAMAVATAR R.JHANWAR
(PAN:AEVPJ6885R)
|
|
|
|
RAMAVATAR & ASSOCIATES
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 23-FEB-2018 TO 22-FEB-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-FEB-2018 TO 22-FEB-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-FEB-2018 TO 22-FEB-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
23-FEB-2018
|
SEBI VIDE ITS ORDER DATED 24/01/2019 DIRECTED TO A) RESTRAINED/PROHIBITED FROM ACCESSING THE SECURITIES MARKET AND BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY TILL THE PERIOD OF FOUR YEARS FROM THE DATE OF INTERIM ORDER DATED 23/02/2018 B) RESTRAINED/PROHIBITED FROM ACTING AS A DEBENTURE TRUSTEE IN RESPECT OF DEBENTURES OF RMMSL AND FROM TAKING UP ANY NEW ASSIGNMENT OR INVOLVE ITSELF IN ANY NEW ISSUE OF SECURITIES IN A SIMILAR CAPACITY WHATSOEVER, DIRECTLY OR INDIRECTLY, WITHOUT OBTAINING REGISTRATION FROM SEBI
|
| 111 |
|
|
RAMENDRA NATH MISTRY
(PAN:AQGPM3063K)
|
|
|
|
RURAL ECONOMIC WELFARE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 15-JUN-2018 TO 14-JUN-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JUN-2018 TO 14-JUN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JUN-2018 TO 14-JUN-2019
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 15-JUN-2018 TO 14-JUN-2019
18-JUN-2015
|
SEBI VIDE ITS ORDER DATED 15/06/2018 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH OFFER AND ALLOTMENT OF NCDS WITH INTEREST @ 15% P.A. FROM THE DATE WHEN REPAYMENTS BECAME DUE WITHIN A PERIOD OF 90 DAYS FROM THE DATE OF RECEIPT OF THIS ORDER THROUGH BANKING CHANNEL SUCH AS DEMAND DRAFT OR ELECTRONIC MODE OF TRANSFER B) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT CHARTERED ACCOUNTANTS AFTER PROPER VERIFICATION OF THE DETAILS OF ALL SUCH REFUNDS TO ALL THE DEBENTURE HOLDERS HAS ACTUALLY BEEN MADE C) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY AND FURTHER RESTRAINED FROM ASSOCIATING THEMSELVES, WITH ANY LISTED PUBLIC COMPANY OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 112 |
|
|
RAMESH JORDDAR
|
|
|
|
AGRAGAMI AGRO–FARMS LTD.
CIN:U01111WB2007PLC119711
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 27-JUL-2018 TO 26-JUL-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JUL-2018 TO 26-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JUL-2018 TO 26-JUL-2022
18-SEP-2017
|
SEBI VIDE ITS ORDER DATED 27/07/2018 DIRECTED RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR FOUR YEARS FROM DATE OF THIS ORDER
|
| 113 |
|
|
RANADEB DE
|
|
|
|
VIKDAS INDUSTRIES DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 24-FEB-2016 TO 23-FEB-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-FEB-2016 TO 23-FEB-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-FEB-2016 TO 23-FEB-2020
29-JAN-2015
|
SEBI VIDE ITS ORDER DATED 24/02/2016 DIRECTED NOT TO OFFER THEMSELVES TO BE ENGAGED AS DEBENTURE TRUSTEE OR IN ANY CAPACITY AS AN INTERMEDIARY IN SECURITIES MARKET, WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION TO UNDERTAKE ASSIGNMENT AS REQUIRED UNDER LAW. FURTHER RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| 114 |
|
|
ROJINA BEGAM
(DIN:03624149)
|
|
|
|
ANGEL RURAL DEVELOPMENT LTD.
CIN:U45201MP2011PLC027236
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 31-OCT-2017 TO 30-OCT-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2017 TO 30-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2017 TO 30-OCT-2021
21-NOV-2014
|
SEBI VIDE ITS ORDER DATED 24/10/2017 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 115 |
|
|
SANJAY KUMAR PANDIT
|
|
|
|
VISHWAMITRA DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 30-JUN-2015 TO 29-JUN-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-JUN-2015 TO 29-JUN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-JUN-2015 TO 29-JUN-2019
30-JUN-2015
|
SEBI VIDE ITS ORDER DATED 10/08/2016 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS
|
| 116 |
|
|
SANJAY NAYAK
|
|
|
|
TRIBHUVAN AGRO DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 28-APR-2016 TO 27-APR-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-APR-2016 TO 27-APR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-APR-2016 TO 27-APR-2020
24-FEB-2015
|
SEBI VIDE ITS ORDER DATED 28/04/2016 DIRECTED NOT TO OFFER THEMSELVES TO BE ENGAGED AS DEBENTURE TRUSTEE OR IN ANY CAPACITY AS AN INTERMEDIARY IN SECURITIES MARKET, WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION TO UNDERTAKE ASSIGNMENT AS REQUIRED UNDER LAW. FURTHER RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| 117 |
|
|
SANJOY CHAUDHURI
|
|
|
|
BHABISWAJYOTI DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 10-APR-2019 TO 09-APR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-APR-2019 TO 09-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-APR-2019 TO 09-APR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
17-JUN-2015
|
SEBI VIDE ITS ORDER DATED 10/04/2019 DIRECTED TO RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING,SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER. DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN
|
| 118 |
|
|
SANJOY DEB
|
|
|
|
RAMEL REAL ESTATE & INFRASTRUCTURE DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 08-FEB-2016 TO 07-FEB-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-FEB-2016 TO 07-FEB-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2016 TO 07-FEB-2020
06-AUG-2014
|
SEBI VIDE ITS ORDER DATED 08/02/2016 RESTRAINED FROM ACTING AS AN INTERMEDIARY, ACCESSING SECURITIES MARKET AND FURTHER RESTRASINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS
|
| 119 |
|
|
SANTOSH PANWAR
(PAN:BHIPP4346J)
|
|
|
|
RELIABLE MEGA PROJECT TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-APR-2018 TO 19-APR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2018 TO 19-APR-2022
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 20-APR-2018 TO 19-APR-2022
20-APR-2018
|
|
| 120 |
|
|
SANTU KUMARI
|
|
|
|
MORAL DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 31-OCT-2017 TO 30-OCT-2018
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-OCT-2017 TO 30-OCT-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-OCT-2017 TO 30-OCT-2018
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 31-OCT-2017 TO 30-OCT-2018
31-OCT-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 8
|
