| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
MISHTANN FOODS LTD.
(PAN:AAACH5335G)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.15,00,000
27-NOV-2020
|
|
| 142 |
|
|
MITCON CREDENTIA TRUSTEESHIP SERVICES LTD.
(PAN:AAMCM2458D)
|
|
|
DID NOT EXERCISE DUE DILIGENCE TO ENSURE COMPLIANCE VIOLATING REGULATION 15(1)(S) OF DT REGULATIONS, 1993
DID NOT TAKE ANY STEPS TO TAKE APPROVAL PRIOR FROM STOCK EXCHANGE TO RESTRUCTURING OF TERMS OF NCDS AS REQUIRED UNDER REGULATION 59 OF SEBI (LODR) REGULATIONS, 2015
DID NOT EXERCISE DUE DILIGENCE TO ENSURE TIMELY UPDATION OF DEFAULT ON DATABASE VIOLATING CLAUSE 2.5 OF CHAPTER XIV OF SEBI CIRCULAR DATED 10/08/2021
|
IMPOSED PENALTY RS.2,00,000
18-MAR-2024
|
|
| 143 |
|
|
MONEY CLASSIC
(PAN:BLVPM9284R)
|
|
|
|
DEEPAK MISHRA
PAN:BLVPM9284R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT REDRESS INVESTOR COMPLAINTS
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 29-DEC-2023 TO 28-DEC-2024
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 29-DEC-2023 TO 28-DEC-2024
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 29-DEC-2023 TO 28-DEC-2024
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
29-DEC-2023
|
|
| 144 |
|
|
MONEY CLASSIC
(PAN:BLVPM9284R)
|
|
|
|
DEEPAK MISHRA
PAN:BLVPM9284R
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-SEP-2023
|
SEBI VIDE ITS NOTICE DATED 15/12/2023 DIRECTED TO PAY RS.1,04,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 145 |
|
|
MONEY DESIRE RESEARCH
(PAN:AAYFM6388F)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 28-NOV-2022
28-NOV-2022
|
|
| 146 |
|
|
MONEY SECURE INVESTOR
(PAN:CBPPS2075D)
|
|
|
|
ALKA SHRIVASTAVA
PAN:CBPPS2075D
|
|
DID NOT PROVIDE MATERIAL INFORMATION TO SEBI
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
OBTAINED TRADING ACCOUNT DETAILS FROM CLIENTS AND EXECUTED TRADES
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
DID NOT REDRESS INVESTOR COMPLAINTS
|
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 30-AUG-2022 TO 29-AUG-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-AUG-2022 TO 29-AUG-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-AUG-2022 TO 29-AUG-2025
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 16/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 05/06/2023 CONDONED THE DELAY IN FILING OF APPEAL AND VACATED INTERIM ORDER
SEBI VIDE ITS NOTICE DATED 12/02/2025 DIRECTED TO PAY RS.19,66,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 06/08/2025 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.5 LAC FROM RS.15 LAC. NO COSTS
|
| 147 |
|
|
MOONGIPA INVESTMENTS LTD.
(CIN:U74899DL1994PLC059535
PAN:AAACM5584A)
|
|
|
|
SUBHASH CHANDER SINGAL
PAN:AALPS3587R
|
|
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
INDULGED IN FUND BASED ACTIVITIES INVOLVING PERSONAL FINANCIAL LIABILITY VIOLATING RULE 8(3) (F) OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
DID NOT REFUND TO CLIENTS FUNDS AND SECURITIES
|
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-SEP-2015 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2015 TILL FURTHER ORDERS
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 10-SEP-2015 TILL FURTHER ORDERS
DIRECTED TO IMPOUND FINANCIAL ASSETS
DIRECTED TO UTILIZE ASSETS ONLY FOR THE PURPOSE OF REFUND OF MONEY AND/OR DELIVERY OF SECURITIES
DIRECTED NOT TO DEBIT BANK ACCOUNTS/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY EXCEPT FOR REFUND AND AFTER CONFIRMATION FROM CONCERNED STOCK EXCHANGE
DIRECTED STOCK EXCHANGES, BANKS AND DEPOSITORIES TO ENSURE COMPLIANCE OF THE DIRECTIONS
10-SEP-2015
|
|
| 148 |
|
|
MOTECH SOFTWARE PVT.LTD.
(CIN:U72200MH2000PTC123803
PAN:AACCM0039Q)
|
|
|
TOOK SEPARATE POSITION LIMITS OF OPEN INTEREST ON ITS BEHALF BY EXECUTING SEPARATE AGREEMENTS WITH EACH OF THEM AND CORNERED 93.63% OF NOVEMBER FUTURES OF RELIANCE PETROLEUM LTD. VIOLATING SECTION 12A OF SEBI ACT, 1992 READ WITH REGULATIONS 3, 4(1) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003
VIOLATED SEBI CIRCULAR NO. SMDRP/DC/CIR-10/01 DATED 02/11/2001 AND NSE CIRCULAR NO. NSE/CMPT/2982 DATED 07/11/2001 IN MATTER OF RELIANCE PETROLEUM LTD.
|
PROHIBITED FROM DEALING IN EQUITY DERIVATIVES IN F&O SEGMENT OF STOCK EXCHANGES, DIRECTLY OR INDIRECTLY FROM 24-MAR-2017 TO 23-MAR-2018
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
24-MAR-2017
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 DISMISSED THE APPEAL WITH NO ORDER AS TO COSTS
|
| 149 |
|
|
MOTILAL OSWAL ASSET MANAGEMENT CO.LTD.
(PAN:AAFCM8463P)
|
|
|
ALLEGED CERTAIN SCHEME-RELATED EXPENSES WERE BEING PAID BY AMC AND WERE NOT PAID FROM SCHEMES VIOLATING SEBI CIRCULAR IN PARTICULAR PARA 1 OF CIRCULAR DATED 22/10/2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2024
|
|
| 150 |
|
|
MOTILAL OSWAL TRUSTEE CO.LTD.
(PAN:AAFCM8462N)
|
|
|
ALLEGED CERTAIN SCHEME-RELATED EXPENSES WERE BEING PAID BY AMC AND WERE NOT PAID FROM SCHEMES VIOLATING SEBI CIRCULAR IN PARTICULAR PARA 1 OF CIRCULAR DATED 22/10/2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2024
|
|
| 151 |
|
|
NAISARGIK AGRITECH (INDIA) LTD.
|
|
|
DID NOT SUBMIT AUDIT REPORT IN RESPECT OF RECORDS & SYSTEMS OF SHAREPRO AND DID NOT SHIFT OPERATION RELATED TO RTA FROM SHAREPRO
|
IMPOSED PENALTY RS.3,00,000
21-DEC-2018
|
|
| 152 |
|
|
NANDLAL B.MALOO (HUF)
(PAN:AAAHN6253N)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MURLI INDUSTRIES LTD.
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.11,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER BY SETTING ASIDE THE ATTACHMENT ORDER ALSO. REMITTED MATTER TO AO TO DECIDE AFRESH AFTER GRANTING OPPORTUNITY OF HEARING TO THE APPELLANTS
SEBI VIDE ITS ORDER DATED 30/08/2022 RE-IMPOSED PENALTY AMOUNT TO RS.10 CRORE U/S 15H(II) AND RS.1 CRORE U/S 15HB OF SEBI ACT PAYABLE JOINTLY AND SEVERALLY
SEBI VIDE ITS NOTICE DATED 13/12/2022 DIRECTED TO PAY RS.11,55,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/08/2023 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
SEBI VIDE ITS NOTICE DATED 20/09/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.12,54,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 153 |
|
|
NARAYAN SECURITIES LTD.
(PAN:AAACN2728F)
(Depository Participants : CDSL,Member : MSEI)
|
|
|
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
IMPOSED PENALTY RS.50,00,000
21-OCT-2020
|
SEBI VIDE ITS NOTICE DATED 27/08/2021 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 03/09/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF NARAYAN SECURITIES LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 12/08/2021 DISMISSED THE APPEAL FOR WANT OF PROSECUTION
SAT: SAT VIDE ITS ORDER DATED 01/09/2021 ALLOWED THE APPLICATION AND RECALLED THE ORDER DATED 12/08/2021
SAT: SAT VIDE ITS ORDER DATED 22/09/2021 DIRECTED APPELLANT TO DEPOSIT ENTIRE AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 18/10/2021 DIRECTED TO FILE APPROPRIATE AMENDED MEMO OF APPEAL ALONG WITH ALL ANNEXURES ETC. WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/11/2021 CONDONED DELAY IN FILING OF APPEAL AND ALLOWED APPLICATION
SAT: SAT VIDE ITS ORDER DATED 06/01/2026 MENTIONED IN ITS ORDER THAT REVIEW APPLICATION WILL BE DISPOSED OF WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AS PER SUBMISSION OF ADVOCATE FOR NSEIL
|
| 154 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(CIN:U67120MH1992PLC069769
PAN:AAACN1797L)
|
|
|
|
G.M.SHENOY
|
|
|
KAMALA K.
|
|
|
MAYUR SINDHWAD
PAN:BQCPS9399P
|
|
|
NARAYAN NEELAKANTAN
|
|
|
NILESH TINAIKAR
|
|
|
R.NANDAKUMAR
|
|
|
UMESH JAIN
|
|
|
V.R.NARASIMHAN
PAN:AACPN2071J
|
|
|
VIKRAM LIMAYE
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 155 |
|
|
NEELANCHAL MERCANTILE PVT.LTD.
(PAN:AAACN8842N)
|
|
|
|
BHUPENDRA KUMAR DHANUKA
PAN:ACOPD8512C
|
|
|
SURENDRA AGARWALA
PAN:ADHPA1860E
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2022
|
SAT: SAT VIDE ITS ORDER DATED 20/09/2022 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS NOTICE DATED 20/10/2022 DIRECTED TO PAY RS.53,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 09/11/2022 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
SAT: SAT VIDE ITS ORDER DATED 21/10/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 21/11/2022 DIRECTED RECOVERY OFFICER TO NOT TO RECOVER ANY AMOUNT TILL NEXT DATE OF LISTING
SAT: SAT VIDE ITS ORDER DATED 12/12/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT RS.15 LAC WITHIN THREE WEEKS FROM DATE OF THIS ORDER, THE BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 16/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 156 |
|
|
NGL FINE-CHEM LTD.
(PAN:AAACN4805H)
|
|
|
|
RAHUL NACHANE
PAN:AAZPN1526B
|
|
|
RAJESH LAWANDE
PAN:ABTPL7446B
|
|
ALLEGED MAKING INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO COMPANY VIOLATING CLAUSE 35 OF ERSTWHILE LISTING AGREEMENT READ WITH REGULATION 103(2) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED MAKING INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO COMPANY AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.54,42,360 VIDE CONSENT ORDER)
25-FEB-2025
|
|
| 157 |
|
|
NIPPON LIFE INDIA ASSET MANAGEMENT LTD.
(PAN:AAACR2668G)
|
|
|
CHARGED LESS EXPENSES TO THE SCHEME AS AGAINST ACTUAL EXPENSES VIOLATING CLAUSE A(1) OF SEBI CIRCULAR DATED 22/10/2018
|
IMPOSED PENALTY RS.2,00,000
08-AUG-2024
|
|
| 158 |
|
|
NSE CLEARING CORP.LTD.
|
|
|
DESPITE RECEIVING RELEVANT MISMATCH FROM DEPOSITORIES, DID NOT PROVIDE ANY ALERTS TO STOCK EXCHANGES VIOLATING PARA 7 OF SEBI CIRCULAR DATED 17/12/2018 READ WITH CLAUSE 5.2 OF STANDARD OPERATING PROCEDURE (SOP) IN MATTER OF KARVY STOCK BROKING LTD.
|
IMPOSED PENALTY RS.25,00,000
28-DEC-2022
|
|
| 159 |
|
|
NSE DATA & ANALYTICS LTD.
(PAN:AABCD2222R)
|
|
|
COMMITTED IRREGULARITIES WITH RESPECT TO BACKUP OF RECORDS AND DETAILS OF BUSINESS CONTINUITY PLAN AND DISASTER RECOVERY (BCP/DR) SITE
DELAY IN SENDING LETTER OF ACKNOWLEDGEMENT TO INVESTORS
COMMITTED IRREGULARITIES WITH RESPECT TO SYSTEM AUDIT REPORTS AND CYBER SECURITY AUDIT FRAMEWORK
DID NOT CLOSE VULNERABILITY ASSESSMENT AND PENETRATION TESTING (VAPT) ACTIVITY WITHIN TIMELINES AND DID NOT GET THE SAME REFLECTED IN CYBER SECURITY AUDIT REPORT
DID NOT MAINTAIN PROPER ACCESS LOGS TO DATA CENTRE
DID NOT CAPTURE ACTION TAKEN REPORT (ATR) OF PREVIOUS STANDING COMMITTEE ON TECHNOLOGY (SCOT) MEETINGS IN SUBSEQUENT MEETINGS
DID NOT INCLUDE CLAUSES PERTAINING TO REPORTING OF CYBER-ATTACKS, THREATS, CYBER-INCIDENTS AND BREACHES IN ITS POLICY DOCUMENT
DID NOT INCLUDE CLAUSES PERTAINING TO PERIODICITY OF CONDUCTING SYSTEM/CYBER SECURITY AUDIT IN ITS POLICY DOCUMENT
COMMITTED IRREGULARITIES WITH RESPECT TO SEGREGATION OF OPERATIONS AND INFRASTRUCTURES
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
|
IMPOSED PENALTY RS.12,00,000
30-SEP-2024
|
|
| 160 |
|
|
OCEANIC FOODS LTD.
(PAN:AAACO3708L)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF NCLT PETITION AND FREEZE OF ITS BANK ACCOUNTS BY ITS EX-MD & CEO VIOLATING CLAUSE 8.1 OF PARA B OF ANNEXURE I OF SEBI CIRCULAR CIR/CFD/CMD/4/2015 DATED 09/09/2015
ALLEGED FAILURE IN MAKING DISCLOSURE OF NCLT PETITION AND FREEZE OF ITS BANK ACCOUNTS BY ITS EX-MD & CEO VIOLATING REGULATIONS 30(3) & 30(4)(I)(B) READ WITH 4(1)(D) AND CLAUSE 8 OF PARA B OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN MAKING DISCLOSURE OF NCLT PETITION AND FREEZE OF ITS BANK ACCOUNTS BY ITS EX-MD & CEO VIOLATING REGULATION 30(12) READ WITH 4(1)(D) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,22,650 VIDE CONSENT ORDER)
26-NOV-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 8 of 14
|
