| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
PAROMITA MONDAL
|
|
|
|
LIFE CARE DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 08-FEB-2018 TO 07-FEB-2022
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-2018 TO 07-FEB-2022
29-JUN-2015
|
SEBI VIDE ITS ORDER DATED 08/02/2018 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 THE DATE OF THIS ORDER
|
| 102 |
|
|
PATHIK BANDHU LOHAR
|
|
|
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 19-JUN-2017 UNTIL FURTHER ORDERS
19-JUN-2017
|
|
| 103 |
|
|
PAWAN KUMAR AGARWAL
(PAN:ADHPA8420C)
|
|
|
|
INFOCARE INFRA LTD.
PAN:AACCI5072P
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 01-MAR-2016 TO 29-FEB-2020
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 01-MAR-2016 TO 29-FEB-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-MAR-2016 TO 29-FEB-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-MAR-2016 TO 29-FEB-2020
19-MAR-2015
|
SEBI VIDE ITS ORDER DATED 01/03/2016 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 RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| 104 |
|
|
PRADIP MAJUMDAR
(PAN:AANPM9074H)
|
|
|
|
SHAMBHU N.DE & CO.
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE 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
13-DEC-2017
|
SEBI VIDE ITS ORDER DATED 27/07/2018 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 THE DATE OF THIS ORDER
|
| 105 |
|
|
PRATIMA ROY
|
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 04-FEB-2016 TO 03-FEB-2020
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 |
|
|
PRATIMA ROY
|
|
|
|
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 FROM 24-OCT-2017 TO 23-OCT-2021
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
|
| 107 |
|
|
PRATIMA ROY
|
|
|
|
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 FROM 18-DEC-2017 TO 17-DEC-2021
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 |
|
|
PRATIMA ROY
|
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 02-MAY-2016 TO 01-MAY-2020
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 |
|
|
PREM KUMAR SINGH
|
|
|
|
MATRIBHUMI DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 23-JUN-2015 TO 22-JUN-2019
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-JUN-2015 TO 22-JUN-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JUN-2015 TO 22-JUN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JUN-2015 TO 22-JUN-2019
23-JUN-2015
|
SEBI VIDE ITS ORDER DATED 03/10/2016 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS
|
| 110 |
|
|
PRIYABRATA ROY
|
|
|
|
VASUNDHARA REALCON DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 12-SEP-2017 TO 11-SEP-2021
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 12-SEP-2017 TO 11-SEP-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-SEP-2017 TO 11-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-SEP-2017 TO 11-SEP-2021
10-NOV-2015
|
SEBI VIDE ITS ORDER DATED 12/09/2017 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 111 |
|
|
PULAK ROY
|
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 05-MAR-2015 TO 04-MAR-2019
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 05-MAR-2015 TO 04-MAR-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-MAR-2015 TO 04-MAR-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-MAR-2015 TO 04-MAR-2019
15-MAY-2014
|
SEBI VIDE ITS ORDER DATED 05/03/2015 DIRECTED NOT TO OFFER HIMSELF 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 FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| 112 |
|
|
RABIN KUNDU
|
|
|
|
ERIS ENERGY LTD.
PAN:AACCE6890R
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 18-JUN-2015 TO 17-JUN-2019
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-JUN-2015 TO 17-JUN-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-JUN-2015 TO 17-JUN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-JUN-2015 TO 17-JUN-2019
18-JUN-2015
|
SEBI VIDE ITS ORDER DATED 28/10/2016 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS
|
| 113 |
|
|
RAJAT BERA
|
|
|
|
VIBGYOR ALLIED INDUSTRIES LTD.
CIN:U01132WB1989PLC046854
PAN:AAGCS7590C
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-MAR-2018 TO 08-MAR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-MAR-2018 TO 08-MAR-2022
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 09-MAR-2018 TO 08-MAR-2022
09-MAR-2018
|
|
| 114 |
|
|
RAJIB DAS
|
|
|
|
TRIBHUVAN AGRO DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 28-APR-2016 TO 27-APR-2020
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
|
| 115 |
|
|
RAJU SARKAR
|
|
|
|
ASPEN DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 06-JUL-2017 UNTIL FURTHER ORDERS
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
|
| 116 |
|
|
RAJU SARKAR
|
|
|
|
ASPEN DEBENTURE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 10-OCT-2017 TO 09-OCT-2021
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
|
| 117 |
|
|
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 FROM 13-SEP-2017 TO 12-SEP-2021
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
|
| 118 |
|
|
RAM SUNDAR BHATTACHARYA
|
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 04-FEB-2016 TO 03-FEB-2020
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
|
| 119 |
|
|
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 FROM 24-OCT-2017 TO 23-OCT-2021
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
|
| 120 |
|
|
RAM SUNDER BHATTACHARYA
|
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE FROM 02-MAY-2016 TO 01-MAY-2020
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
|
| 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 6 of 9
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