| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 141 |
|
SUJAY ROY CHOUDHURY
|
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
DEBARRED FROM UNDERTAKING FRESH BUSINESS AS DEBENTURE TRUSTEE FROM 06-FEB-2015 TO 05-FEB-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 06-FEB-2015 TO 05-FEB-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-FEB-2015 TO 05-FEB-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-FEB-2015 TO 05-FEB-2019
30-MAY-2014
|
SEBI VIDE ITS ORDER DATED 06/02/2015 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
|
| 142 |
|
|
SUJIT KUMAR GOSWAMI
|
|
|
|
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
|
| 143 |
|
|
SUKUMAR MONDAL
|
|
|
|
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
|
| 144 |
|
|
SUMANA GARAI
|
|
|
|
OMISHA 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 22-JUN-2015 TO 21-JUN-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUN-2015 TO 21-JUN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2015 TO 21-JUN-2019
22-JUN-2015
|
SEBI VIDE ITS ORDER DATED 01/11/2016 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS
|
| 145 |
|
|
SUMIT JANA
|
|
|
|
DOLPHIN 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 27-MAY-2015 TO 26-MAY-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-MAY-2015 TO 26-MAY-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-MAY-2015 TO 26-MAY-2019
27-MAY-2015
|
SEBI VIDE ITS ORDER DATED 01/11/2016 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS
|
| 146 |
|
|
SUNATI GHOSH
|
|
|
|
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
|
| 147 |
|
|
SUNIL KUMAR SAHA
|
|
|
|
CHAKRA 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 20-APR-2016 TO 19-APR-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-APR-2016 TO 19-APR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2016 TO 19-APR-2020
29-JAN-2015
|
SEBI VIDE ITS ORDER DATED 20/04/2016 RESTRAINED FROM ACTING AS AN INTERMEDIARY, ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YERAS
|
| 148 |
|
|
SUNIL KUMAR SINGH
(PAN:AWZPS4355H)
|
|
|
|
MUSKAAN SOCIAL WELFARE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2024 TO 29-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2024 TO 29-SEP-2027
30-SEP-2024
|
|
| 149 |
|
|
SUSHANTA NANDY
(DIN:06806136
PAN:AGKPN7436P)
|
|
|
|
BSP INFRASTRUCTURE & CONSTRUCTION LTD.
CIN:U45400WB2010PLC144665
DIN:00144665
PAN:AAECB0693B
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2020 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2020 TO 26-OCT-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 27-OCT-2020 TO 26-OCT-2023
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
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-OCT-2020 TO 26-OCT-2023
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 27-OCT-2020 TO 26-OCT-2023
12-SEP-2018
|
SAT: SAT VIDE ITS ORDER DATED 05/03/2020 CONDONED DELAY IN FILING OF APPEAL AND DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 27/10/2020 DIRECTED A) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS D) RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR INTERMEDIARY REGISTERED WITH SEBI FOR THREE YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 150 |
|
|
SUSHMITA SINHA
|
|
|
|
ADAMANT 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 11-FEB-2015 TO 10-FEB-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-FEB-2015 TO 10-FEB-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-FEB-2015 TO 10-FEB-2019
11-FEB-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
|
| 151 |
|
|
SWADESH BANERJEE
|
|
|
|
BHARAT KRISHI SECURED 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 09-OCT-2015 TO 08-OCT-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-OCT-2015 TO 08-OCT-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-OCT-2015 TO 08-OCT-2019
05-SEP-2014
|
SEBI VIDE ITS ORDER DATED 09/10/2015 RESTRAINED FROM ACTING AS ANY INTERMEDIARY, ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF 4 YEARS
|
| 152 |
|
|
SWAGATA KUMAR MAITI
|
|
|
|
GREENTOUCH PROJECTS 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 01-DEC-2015 TO 30-NOV-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-DEC-2015 TO 30-NOV-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-DEC-2015 TO 30-NOV-2019
07-AUG-2014
|
SEBI VIDE ITS ORDER DATED 01/12/2015 RESTRAINED FROM ACTING AS AN INTERMEDIARY, ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| 153 |
|
|
TAPAN KUMAR GHOSH
|
|
|
|
MUSKAAN SOCIAL WELFARE TRUST
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2024 TO 29-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2024 TO 29-SEP-2027
30-SEP-2024
|
|
| 154 |
|
|
TAPAS DAS
|
|
|
|
BISHAL ABASAN 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 16-MAY-2016 TO 15-MAY-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-MAY-2016 TO 15-MAY-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-MAY-2016 TO 15-MAY-2020
06-MAY-2015
|
SEBI VIDE ITS ORDER DATED 16/05/2016 RESTRAINED FROM ACTING AS AN INTERMEDIARY, ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF 4 YERAS
|
| 155 |
|
|
TAPAS KUMAR BASU
(PAN:ADLPB2640K)
|
|
|
|
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
|
SEBI VIDE ITS ORDER DATED 20/12/2018 PROHIBITED FROM 1. ACCESSING SECURITIES MARKET OR BUY, SELL OR OTHERWISE DEAL IN SECURITIES MARKET, EITHER DIRECTLY OR INDIRECTLY FOR A PERIOD OF FOUR YEARS 2) ACTING AS DEBENTURE TRUSTEE IN DEBENTURE OF VIBGYOR ALLIED INDUSTRIES LTD. AND FROM TAKING UP ANY ASSIGNMENT OR INVOLVE ITSELF IN ANY ISSUE OF SECURITIES IN SIMILAR CAPACITY WHATSOEVER, DIRECTLY OR INDIRECTLY, WITHOUT OBTAINING REGISTRATION AS DEBENTURE TRUSTEE
|
| 156 |
|
|
TAPAS KUMAR DEY
|
|
|
|
PRISM INFRACON LTD.
PAN:AAFCP1275L
|
|
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-FEB-2016 TO 17-FEB-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-FEB-2016 TO 17-FEB-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-FEB-2016 TO 17-FEB-2020
24-NOV-2014
|
SEBI VIDE ITS ORDER DATED 18/02/2016 RESTRAINED FROM ACTING AS AN INTERMEDIARY, ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
SAT: SAT VIDE ITS ORDER DATED 11/10/2017 DIRECTED APPELLANT TO FURNISH THE LIST OF ITS ASSETS (AS STIPULATED IN THE IMPUGNED ORDER) TO SEBI WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER. FURTHER DIRECTED NOT TO DISPOSE OFF ANY OF ITS ASSETS WITHOUT PRIOR APPROVAL OF SEBI TILL THE ENTIRE AMOUNT UNDER THE IMPUGNED ORDER REFUNDED TO THE INVESTORS. NO COSTS
|
| 157 |
|
|
TINKU DAS
|
|
|
|
MRS 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-MAY-2015 TO 07-MAY-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAY-2015 TO 07-MAY-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAY-2015 TO 07-MAY-2019
08-MAY-2015
|
SEBI VIDE ITS ORDER DATED 18/10/2016 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS
|
| 158 |
|
|
V.AYYAPPAN NAIR
|
|
|
|
KERALA HOUSING FINANCE LTD.
CIN:U65992KL1992PLC006417
PAN:AACCK2183P
|
|
|
KERALA HOUSING FINANCE LTD.
CIN:U65992KL1992PLC006417
PAN:AACCK2183P
|
|
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-AUG-2017 TO 09-AUG-2018
20-NOV-2015
|
SEBI VIDE ITS ORDER DATED 14/08/2017 DIRECTED NOT TO ACT AS DEBENTURE TRUSTEE IN RESPECT OF DEBENTURES OF KERALA HOUSING FINANCE LTD. AND SHALL NOT TAKE UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF SECURITIES IN A SIMILAR CAPACITY, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER
|
| 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 8 of 8
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