| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
ROBINSON WORLDWIDE TRADE LTD.
(PAN:AABCR6814P)
|
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF ROBINSON WORLDWIDE TRADE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-SEP-2015
|
|
| 122 |
|
|
ROCKET TIPS
(PAN:AGPPJ1611H)
|
|
|
|
MEHUL PRAVINBHAI JIYANI
PAN:AGPPJ1611H
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
SUBMITTED FALSE INFORMATION AND CONCEALED MATERIAL INFORMATION FROM SEBI IN THE APPLICATION TO OBTAIN REGISTRATION AS RESEARCH ANALYST
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
09-JAN-2024
|
|
| 123 |
|
|
SAAKETA COMMODITIES PVT.LTD.
(PAN:AAJCS3193G)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 124 |
|
|
SAMIR SURESHCHANDRA SHAH (HUF)
(PAN:AAHHS5122G)
|
|
|
|
SAMIR SURESHCHANDRA SHAH
PAN:AGEPS0157L
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 125 |
|
|
SANGHVI SANJAY MADANLAL (HUF)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 126 |
|
|
SHARE INDIA COMMODITY BROKERS PVT.LTD.
(PAN:AADCR0497E)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 127 |
|
|
SHEETAL S.MEHTA (HUF)
(PAN:AAFHS8024K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 128 |
|
|
SHILPA MEDICARE LTD.
(PAN:AADCS8788F)
|
|
|
DID NOT MAKE DISCLOSURE OF INFORMATION PERTAINING TO REGULATORY ACTION WITH IMPACT VIOLATING CLAUSE 8 OF PARA B OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE COMPLETE AND ADEQUATE DISCLOSURE TO STOCK EXCHANGES OF MATERIAL INFORMATION VIOLATING REGULATIONS 4(1)(D) AND 30(1) SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE COMPLETE AND ADEQUATE DISCLOSURE TO STOCK EXCHANGES OF MATERIAL INFORMATION VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLAUSE 2(I) OF LISTING AGREEMENT
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-JUN-2022
|
|
| 129 |
|
|
SIC STOCKS & SERVICES PVT.LTD.
(PAN:AAHCS8176P)
|
|
|
|
GITA HANDA
|
|
|
SIDHARTH HANDA
PAN:AAOPH2609C
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CROSS DEALS, SYNCHRONIZED TRANSACTIONS AND SELF-TRADES IN SCRIP OF VERTEX SPINNING LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
21-SEP-2021
|
|
| 130 |
|
|
SKI CONSULTANCY SERVICES LTD.
(PAN:AAHCS7127G)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-OCT-2026
09-SEP-2026
|
|
| 131 |
|
|
SMC COMTRADE LTD.
(PAN:AACCA1776E)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,10,780 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 132 |
|
|
SRD COMMODITIES PVT.LTD.
(PAN:AAJCS7274C)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 133 |
|
|
SRP INVESTMENT
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 134 |
|
|
SSJ COMMODITIES PVT.LTD.
(PAN:AAHCS5863M)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 135 |
|
|
STATE BANK OF INDIA
(PAN:AAACS8577K)
|
|
|
SPONSORED MORE THAN ONE MUTUAL FUND AND HOLD MORE THAN 10% SHAREHOLDING IN MORE THAN ONE AMC AND TRUSTEE COMPANY VIOLATING REGULATION 7B OF SEBI (MF) REGULATIONS, 1996
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/01/2021 PARTLY ALLOWED THE APPEAL BY SUBSTITUTING PENALTY OF RS.10 LACS TO WARNING. NO COSTS
|
| 136 |
|
|
SUFFOLK (MAURITIUS) LTD.
(PAN:AALCS8892G)
|
|
|
MADE OFFER FOR SALE OF SHARES TO SUBSEQUENTLY GET THE SHARES OF ASTRAZENECA PHARMA INDIA LTD.DELISTED
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECT THAT FRESH DELISTING PROPOSAL INITIATED BY PROMOTER COMPANY ANYTIME IN FUTURE, SAME SHALL BE INITIATED ONLY AFTER OBSERVING EXTANT PROVISIONS OF SEBI ACT AND REGULATIONS FRAMED THEREUNDER AND IN LETTER AND SPIRIT
DIRECTED BSE AND NSE TO CLOSELY MONITOR ENTIRE DELISTING PROCESS OF ASTRAZENECA PHARMA INDIA LTD.
05-JUN-2020
|
|
| 137 |
|
|
SUMAN NURSERY
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 138 |
|
|
SUNIDHI COMMODITIES PVT.LTD.
(CIN:U51909MH2003PTC143393
PAN:AAHCS8272N)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 139 |
|
|
SURYA AGROILS LTD.
|
|
|
|
RAJESH KAPOOR
|
|
ACCEPTED APPLICATIONS AFTER CLOSURE OF RIGHTS ISSUE AND ALLOTTED SHARES WITHOUT RECEIPT OF APPLICATION MONEY IN MATTER OF RIGHTS ISSUE OF SURYA AGROILS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-SEP-2009
|
|
| 140 |
|
|
SUSHIL GLOBAL COMMODITIES PVT.LTD.
(PAN:AAACC2533R)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,13,708 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 7 of 8
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