| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
RAJESH EXPORTS LTD.
|
|
|
|
PRASHANT MEHTA
|
|
|
RAJESH MEHTA
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 4(C) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.4,46,05,651.00 TO SEBI
|
| 162 |
|
|
RANA SUGARS LTD.
(PAN:AABCR6744C)
|
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO BRING BACK USD 2.27 MN WHICH WAS DIVERTED TO SEAZUN LTD. WITHIN THREE MONTHS FROM DATE OF ORDER
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2020 TO 30-JAN-2025
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 31-JAN-2020 TO 30-JAN-2025
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-JAN-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/11/2020 DISMISSED AS WITHDRAWN THE APPEAL AND APPELLANTS TO FILE A SEPARATE APPEAL WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 DISMISSED THE APPEAL
|
| 163 |
|
|
RANSI SOFTWARES INDIA LTD.
|
|
|
|
KUNARAM CHOUDHARI
|
|
|
MAHENDRA AMRUTLAL SHAH
|
|
|
VANGINI SRINIVAS
|
|
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 164 |
|
|
RELIANCE INDUSTRIES LTD.
(PAN:AAACR5055K)
|
|
|
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
|
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
DIRECTED TO DISGORGE RS.4,47,27,00,000
24-MAR-2017
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 DISMISSED THE APPEAL WITH NO ORDER AS TO COSTS. DIRECTED TO APPELLANT TO DISGORGE RS.447.27 CRORES ALONG WITH SIMPLE INTEREST @12% P.A. WITH EFFECT FROM 29/11/2007 TILL ACTUAL DATE OF PAYMENT TO SEBI WITHIN 60 DAYS FROM DATE OF THIS ORDER
|
| 165 |
|
|
RELOGISTICS (INDIA ) PVT.LTD.
(PAN:AACCR3050J)
|
|
|
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
|
| 166 |
|
|
RELOGISTICS (RAJASTHAN) PVT.LTD.
(PAN:AAACZ1853B)
|
|
|
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
|
| 167 |
|
|
RELPOL PLASTICS PRODUCTS PVT.LTD.
(PAN:AAACN6007D)
|
|
|
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
|
| 168 |
|
|
RESURGERE MINES & MINERALS INDIA LTD.
(CIN:L74140MH1987PLC172412
PAN:AAACE0111B)
|
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-FEB-2020 TO 19-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-FEB-2020 TO 19-FEB-2025
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 20-FEB-2020 TO 19-FEB-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
20-FEB-2020
|
|
| 169 |
|
|
RESURGERE MINES & MINERALS INDIA LTD.
(CIN:L74140MH1987PLC172412
PAN:AAACE0111B)
|
|
|
|
AMIT SHARMA
PAN:AVRPS2826C
|
|
|
NITIN SETHI
PAN:ADUPS1603C
|
|
|
SUBHASH ATMARAM SHARMA
PAN:AXCPS8189D
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES ENTERING INTO PLEDGE AGREEMENT WITH EURAM BANK FOR SUBSCRIPTION OF GDRS VIOLATING CLAUSES 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.1,25,00,000
25-MAR-2021
|
|
| 170 |
|
|
RKKR AGENCIES PVT.LTD.
|
|
|
|
ANIL KANODIA
|
|
|
ANIL RAI
|
|
|
B.M.JOSHI
|
|
|
VINAY RAI
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 171 |
|
|
ROLEX MERCHANTS PVT.LTD.
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 172 |
|
|
RUCHI SOYA INDUSTRIES LTD.
(PAN:AAACR2892L)
|
|
|
FINANCED/PROVIDED FUNDS TO THEIR CLIENTS TO TAKE POSITION IN CASTOR SEED CONTRACTS AND FURTHER TO MAINTAIN POSITIONS HELD BY THEM VIOLATING SECTION 12A(A), (B) & (C) AND REGULATION 4(1), 4(2) (A) & (G) OF SEBI PFUTP REGULATIONS, 2003
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-MAY-2016 TILL FURTHER ORDERS
24-MAY-2016
|
SEBI VIDE ITS ORDER DATED 23/12/2016 RELAXED INTERIM ORDER PASSED 02/03/2016 AND 24/05/2016 TO THE LIMITED EXTENT TO ENABLE THEM TO PROTECT THEIR PORTFOLIO FROM MARKET VOLATILITY A) NOTICEE MAY SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS AS ON THE DATE OF INTERIM ORDER, OTHER THAN THE SHARES OF THE COMPANIES WHICH ARE SUSPENDED FROM TRADING BY THE CONCERNED STOCK EXCHANGE, IN AN ORDERLY MANNER UNDER SUPERVISION OF THE STOCK EXCHANGE SO AS NOT TO DISTURB MARKET EQUILIBRIUM AND DEPOSIT SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK B) NOTICEES MAY TENDER THE SHARES LYING IN THEIR DEMAT ACCOUNT IN ANY OPEN OFFER / DELISTING OFFER / BUYBACK OFFER UNDER THE RELEVANT REGULATIONS OF SEBI AND DEPOSIT THE SALE PROCEEDS IN AN INTEREST BEARING ESCROW ACCOUNT WITH A NATIONALIZED BANK C) NOTICEES SHALL AVAIL THE BENEFIT OF CORPORATE ACTIONS LIKE RIGHTS ISSUE, BONUS ISSUE, STOCK SPLIT DIVIDEND ETC. D) WINDOW FOR SALE OF SHARES LYING IN RESPECTIVE PORTFOLIO SHALL STAND WITHDRAWN IF ANY ENTITY FOUND TO EXECUTE ANY TRADE IN BREACH OF THE CONDITIONS
SEBI VIDE ITS ORDER DATED 23/12/2016 ALLOWED PROCEED WITH QIP ISSUE AS APPROVED BY THE BOARD OF DIRECTORS AND SHAREHOLDERS OF THE COMPANY, IN ACCORDANCE WITH LAW
|
| 173 |
|
|
RUSODAY & CO.LTD.
|
|
|
VIOLATED REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SECTION 13 OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 TO 5 WERE ACQUITTED BY COURT
|
| 174 |
|
|
S.N.FINANCE LTD.
|
|
|
|
G.H.PATIL
|
|
|
S.HARIKRISHNA
|
|
|
S.MADHAVA
|
|
|
V.R.GUNDANNAVAR
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 175 |
|
|
SAFAL INVESTMENT LTD.
(PAN:AAACS5964N)
|
|
|
VIOLATED REGULATION 4(A) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 4(B) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 176 |
|
|
SAIMANGAL INVESTRADE LTD.
(PAN:AABCS4255R)
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
DIN:00009502
|
|
|
KAUSHIK CHHOTALAL SHAH
DIN:00009510
|
|
|
KETAN VINAYCHANDRA PAREKH
DIN:00009468
PAN:AADPP1505A
|
|
|
KIRTIKUMAR NARBHERAM PAREKH
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
|
| 177 |
|
|
SANGAM INFOTECH PVT.LTD.
(PAN:AAGCS2995F)
|
|
|
|
MAHESH RAMDAS ADSUL
PAN:AGGPA2537E
|
|
|
NITIN SAWANT
|
|
|
RAJESH SAKHARIE
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
|
UMESH R.KHARIWALA
|
|
|
VIKAS SETH
|
|
|
VILAS CHOWGLE
|
|
|
VINOD R.HINGORANI
|
|
|
VITHAL PATIL
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
30-SEP-2011
|
|
| 178 |
|
|
SANIDHYA HOLIDAY RESORTS & ESTATE DEVELOPERS LTD.
|
|
|
|
BABUBHAI H.CHAUHAN
|
|
|
MURALIDHAR HARIYANI
|
|
VIOLATED SECTION 11 (C) 6 OF SEBI ACT, 1992
VIOLATED SECTION 6(A) OF SEBI (PFUTP) REGULATIONS, 1995
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 179 |
|
|
SANRAA MEDIA LTD.
(PAN:AAACS9093A)
|
|
|
|
ANNASWAMI VENKATRAMANI
PAN:AABPV3960F
|
|
|
KRISHNAN RAJAGOPAL
PAN:AEHPR7931J
|
|
|
RAJEEV AGARWAL
DIN:00232816
PAN:AAJPA6719K
|
|
|
RAJENDRAN SIVASHANKARAN
PAN:AVAPS0218D
|
|
|
SUKUMAR SUBRAMANIAN
DIN:01835134
PAN:AOUPS4543L
|
|
|
UMA KARTHIKEYAN
DIN:00092543
PAN:AKPPK3166J
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSES 36(7) AND 50 OF LISTING AGREEMENT
DID NOT ADHERE TO ACCOUNTING STANDARD (AS-1) VIOLATING SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,20,00,000
29-NOV-2019
|
SEBI VIDE ITS NOTICE DATED 17/08/2020 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
SEBI VIDE ITS ORDER DATED 09/11/2020 DIRECTED ALL THE BANKS TO REMIT RS.11,36,03,849.00 TO THE EXTENT LYING IN THE ACCOUNT OF SANRAA MEDIA LTD. BY WAY OF EFT/NEFT/RTGS
|
| 180 |
|
|
SANRAA MEDIA LTD.
(PAN:AAACS9093A)
|
|
|
|
ANNASWAMI VENKATRAMANI
PAN:AABPV3960F
|
|
|
KRISHNAN RAJAGOPAL
PAN:AEHPR7931J
|
|
|
RAJEEV AGARWAL
DIN:00232816
PAN:AAJPA6719K
|
|
|
RAJENDRAN SIVASHANKARAN
PAN:AVAPS0218D
|
|
|
SUKUMAR SUBRAMANIAN
DIN:01835134
PAN:AOUPS4543L
|
|
MISLED INVESTORS INTO BELIEVING ABOUT SUCCESS OF GDR ISSUE VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) AND 4 (2) (F), (K) & (R) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO RECOVER USD 27.244 MILLION FROM CLIFFORD CAPITAL PARTNERS A.G.S.A. AND BRING BACK MONEY INTO SML’S BANK ACCOUNT IN INDIA WITHIN THREE MONTHS FROM DATE OF ORDER
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JAN-2019 TO 01-JAN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2019 TO 01-JAN-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
02-JAN-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 12
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