| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
VALIANT ORGANICS LTD.
(PAN:AACCV0024A)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF CLAUSE I (A)(3)(B) OF ANNEXURE – I OF SEBI CIRCULAR NO.CFD/DIL3/CIR/2017/21 DATED 10/03/2017 READ WITH REGULATIONS 11, 37 AND 94 READ WITH REGULATION 101(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF CONVERSION OF OPTIONALLY CONVERTIBLE PREFERENCE SHARES OF AMARJYOT CHEMICAL LTD.
ALLEGED FAILURE IN COMPLIANCE OF RULE 19(7) OF SECURITIES CONTRACTS (REGULATION) RULES, 19572015 IN MATTER OF CONVERSION OF OPTIONALLY CONVERTIBLE PREFERENCE SHARES OF AMARJYOT CHEMICAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
18-SEP-2023
|
|
| 102 |
|
|
VARNILAM INVESTMENTS & TRADING CO.LTD.
(PAN:AAACV1963E)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 103 |
|
|
WALLACE BROTHERS TRADING & INDUSTRIAL LTD.
(PAN:AABCW4361N)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 104 |
|
|
WALLACE BROTHERS TRADING & INDUSTRIAL LTD.
(PAN:AABCW4361N)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE AFTER BECOME PART OF THE PROMOTER GROUP VIOLATING REGULATION 7(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.34,70,785 VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 105 |
|
|
YES BANK LTD.
(PAN:AAACY2068D)
|
|
|
ALLEGD FAILURE IN FOLLOWING DUE PROCEDURE TO DISCLOSE MATERIAL INFORMATION AND DID NOT HAVE SYSTEM IN PLACE TO ENSURE PROPER PROCEDURE TO MAKE DISCLOSURE OF MATERIAL INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 30(4)(I) & (II) AND 30(5) READ WITH 4(1) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.51,60,000 VIDE CONSENT ORDER)
04-SEP-2019
|
|
| 106 |
|
|
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
|
|
| 107 |
|
|
ZUARI AGRO CHEMICALS LTD.
(CIN:L65910GA2009PLC006177
PAN:AAACZ3924H)
|
|
|
|
NITIN MANGUESH KANTAK
PAN:ADRPK2173L
|
|
|
R.K.GUPTA
PAN:ABZPG0160B
|
|
|
SUNIL SETHY
PAN:ABTPS5430L
|
|
|
VIJAYAMAHANTESH KHANNUR
PAN:ASAPK8872A
|
|
ALLEGED UNDER-REPORTING OF LOSSES AND INAPPROPRIATELY RECORDED REAL IMPACT OF IMPAIRMENT IN FINANCIAL STATEMENTS
ALLEGED INDULGENCE IN TRANSFERRING CERTAIN BUSINESSES UNDER SLUMP SALE TO WHOLLY OWNED SUBSIDIARY AND RECORDED EXCEPTIONAL GAIN OF RS.698.97 CRORE
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM AUDIT COMMITTEE AND SHAREHOLDERS TO ENTER INTO MATERIAL RELATED PARTY TRANSACTIONS WITH ONE OF ITS RELATED PARTIES VIZ. PARADEEP PHOSPHATE LTD. OF RS.811.33 CRORE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,19,92,500 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 05-MAR-2026 TO 04-JUN-2026
05-MAR-2026
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 6
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