SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE � PRESS RELEASES/ CHAIRMAN�S AND MEMBER�S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

COMPANIES: DID NOT ADHERE TO SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015

S.No.

ENTITY

PERSONS

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

63 MOONS TECHNOLOGIES LTD.

(PAN:AAACF5737C)

DID NOT TAKE PRIOR APPROVAL FROM STOCK EXCHANGES BEFORE OBTAINING CERTIFICATE OF EFFECTING CHANGES IN ITS NAME VIOLATING REGULATION 45(3) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015

IMPOSED PENALTY RS.1,00,000

26-DEC-2017

A.B.T.INVESTMENTS LTD.

(PAN:AADCA6350P)

DID NOT SUBMIT COMPLIANCE CERTIFICATE TO STOCK EXCHANGES VIOLATING REGULATION 7(3) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015

DID NOT INFORM STOCK EXCHANGES INFORMATION OR ANY ACTION THAT AFFECT PAYMENT OF INTEREST OR REDEMPTION OF NCDS VIOLATING REGULATION 51 OF SEBI (LODR) REGULATIONS, 2015

DELAY IN SUBMISSION OF HALF YEARLY FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015

DELAY IN SUBMISSION OF HALF YEARLY RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015

DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY

DID NOT PROVIDE HARD COPY OF ANNUAL REPORTS TO NCDS HOLDERS VIOLATING REGULATION 58 OF SEBI (LODR) REGULATIONS, 2015

DID NOT MAINTAIN FUNCTIONAL WEBSITE CONTAINING DETAILS OF FINANCIAL INFORMATION, HANDLING OF INVESTOR GRIEVANCES, DEBENTURE TRUSTEE, REPORTS, NOTICES AND CALL LETTERS ETC.VIOLATING REGULATION 62 OF SEBI (LODR) REGULATIONS, 2015

IMPOSED PENALTY RS.2,00,000

29-JUL-2021

ACHAL INVESTMENTS LTD.

(PAN:AADCA6696C)

INDULGED IN MIS-UTILIZATION AND DIVERSION OF PROCEEDS OF PREFERENTIAL ISSUE OF EQUITY SHARES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003

DID NOT MAKE QUARTERLY DISCLOSURE REGARDING UTILIZATION OF PROCEEDS OF PREFERENTIAL ISSUE OF EQUITY SHARES VIOLATING SECTION 21 OF SCRA, 1956 READ WITH CLASUE 43 OF ERSTWHILE LISTING AGREEMENT READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-SEP-2021

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-SEP-2021

DIRECTED TO BRING BACK OF RS.1.38 CRORE

IMPOSED PENALTY RS.20,00,000

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

02-SEP-2021

SEBI VIDE ITS NOTICE DATED 10/05/2022 DIRECTED TO PAY RS.21,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS NOTICE DATED 11/10/2022 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

ACIL COTTON INDUSTRIES LTD.

(CIN:L99999GJ1994PLC022000
PAN:AABCA7788F)

MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(D), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.

MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING REGULATION 4(1)(B), (C), (G), (J), 33(1)(D), 33(3)(D), (E), 34(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.

MISUSED NAMES OF CHARTERED ACCOUNTANTS AS STATUTORY AUDITORS IN FINANCIAL STATEMENTS AND FILED FRAUDULENT AUDIT REPORTS AND DID NOT SUBMIT TRUE AND FAIR AUDITED FINANCIAL STATEMENTS TO STOCK EXCHANGES VIOLATING CLAUSE 41(I)(D)(IV), AND (V) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF ACIL COTTON INDUSTRIES LTD., UNIVERSAL CREDIT & SECURITIES LTD., MINDVISION CAPITAL LTD. AND RFL INTERNATIONAL LTD.

IMPOSED PENALTY RS.11,00,000

21-OCT-2022

SEBI VIDE ITS NOTICE DATED 26/10/2023 DIRECTED TO PAY RS.12,44,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 16/04/2025 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

AD ADVERTISING PVT.LTD.

(CIN:U74300DL2011PTC216280
PAN:AAJCA3551C)

INDULGED IN DIVERSION OF FUNDS OF RS.2315.09 CRORES (APPROX.) FROM RELIGARE FINVEST LTD. TO PROMOTERS AND THEIR RELATED ENTITIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) & 4(1), 4(2)(F) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.

DID NOT MAKE DISCLOSURE OF FUNDS ROUTED BY RELIGARE FINVEST LTD. THROUGH UNRELATED ENTITIES TO PROMOTERS AND PROMOTERS GROUP ENTITIES VIOLATING CLAUSE 32 OF LISTING AGREEMENT IN MATTER OF RELIGARE ENTERPRISES LTD.

MISREPRESENTATED FINANCIAL POSITION BY ROLLING OVER THE LOANS VIOLATING REGULATIONS 4(1)(B), (C), 30(1) AND 51(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.

DIRECTED NOT TO DIVERT ANY FUNDS EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI

14-MAR-2019

SEBI VIDE ITS ORDER DATED 11/09/2019 DIRECTED NOT TO DISPOSED OFF OR ALIENATE ANY OF THEIR ASSETS OR DIVERT ANY FUNDS, EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI TILL COMPLETION OF INVESTIGATION AND FURTHER ORDERS

SEBI VIDE ITS ORDER DATED 12/11/2020 REVOKED ITS DIRECTIONS ISSUED VIDE INTERIM ORDER DATED 14/03/2019 READ WITH CORRIGENDUM ORDER DATED 18/04/2019

ADD-SHOP E-RETAIL LTD.

(PAN:AAMCA0240P)

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DEV PANDYA

PAN:CALPP1419F

DEVIBEN PANDYA

PAN:CALPP1418E

DINESHBHAI PANDYA

PAN:AMKPP2718A

JAYSHREE PANDYA

PAN:AVXPP0592L

JIGAR PANDYA

PAN:DCQPP7277D

PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO LTD.

PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(1), 4(2)(E), 4(2)(F)(I)(2), 4(2)(F)(II)(2), 4(2)(F)(II)(6) 4(2)(F)(II)(7), 4(2)(F)(II)(8), 4(2)(F)(III)(7), 18(2), 23(2), 33(1)(A), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO LTD.

ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF ADD-SHOP E-RETAIL LTD. AND WHITE ORGANICS AGRO LTD.

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 06-MAY-2024 TILL FURTHER ORDERS

DIRECTED TO CONSTITUTE NEW AUDIT COMMITTEES AND PLACE THE COPY OF THIS ORDER BEFORE THEM

DIRECTED NEW AUDIT COMMITTEES TO ENSURE THAT ADD-SHOP E-RETAIL LTD. AND WHITE ORGANIC AGRO LTD. COMPLY WITH OTHER REQUIREMENTS UNDER LODR REGULATIONS, 2015

06-MAY-2024

ADHUNIK INDUSTRIES LTD.

(CIN:L65921WB1979PLC032200
PAN:AACCB2765Q)

MADE WRONG DISCLOSURE OF RELATED PARTY TRANSACTIONS VIOLATING CLAUSE 49(VII)(C) OF LISTING AGREEMENT AND REGULATION 23(1) OF SEBI (LODR) REGULATIONS 2015

DID NOT OBTAIN NECESSARY APPROVAL WITH RESPECT TO RELATED PARTY TRANSACTIONS FROM SHAREHOLDERS AND AUDIT COMMITTEE VIOLATING CLAUSE 49(VII)(E) OF LISTING AGREEMENT AND REGULATIONS 23(2) AND 23(4) OF SEBI (LODR) REGULATIONS 2015

IMPOSED PENALTY RS.7,00,000

13-MAY-2022

SEBI VIDE ITS NOTICE DATED 06/02/2024 DIRECTED TO PAY RS.8,55,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS NOTICE DATED 19/02/2024 CANCELLED RECOVERY CERTIFICATE AS PER MATTER STILL PENDING BEFORE THE HON�BLE SUPREME COURT OF INDIA DATED 06/02/2024

AGI GREENPAC LTD.

DID NOT PROVIDE ACCURATE, ADEQUATE AND EXPLICIT DISCLOSURE RESULTING IN MISREPRESENTATION TO STOCK EXCHANGES VIOLATING REGULATION 4(1)(C),(D),(E) AND (H) OF SEBI (LODR) REGULATIONS, 2015

DID NOT MAKE DISCLOSURE OF MATERIAL DEVELOPMENTS WITH RESPECT TO DISCLOSURES MADE BY COMPANY DATED 31/10/2022 AND 16/03/2023 VIOLATING REGULATIONS 30(7) READ WITH 41(1)(E) 4(1)(H) OF SEBI (LODR) REGULATIONS, 2015

IMPOSED PENALTY RS.5,00,000

30-APR-2024

SAT: SAT VIDE ITS ORDER DATED 10/07/2024 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN FOUR WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 24/09/2024 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER

AGRI-TECH (INDIA) LTD.

(PAN:AAECA3539K)

RAJENDRA SHARMA

PAN:AERPS6678B

RESHMA TALBANI

PAN:AOWPT7215E

SATISH KAGLIWAL

PAN:AHKPK9953B

SWETA AKASH KAGLIWAL

PAN:AGAPG7869D

DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORTS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(B), 33(1)(C), 34(3) AND 48 OF SEBI (LODR) REGULATIONS, 2015

MADE INCORRECT DISCLOSURE OF SHAREHOLDINGS IN RELATED PARTIES AND ITS ASSOCIATE COMPANIES IN ANNUAL REPORTS VIOLATING REGULATIONS 4(1)(C) AND 4(2)(E) OF SEBI (LODR) REGULATIONS, 2015

DID NOT MAKE DISCLOSURE OF CHARGES ON IMMOVABLE PROPERTIES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(B), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015

DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING RESIGNATION OF DIRECTORS VIOLATING REGULATIONS 4(1)(D) AND 4(2)(B) OF SEBI (LODR) REGULATIONS, 2015

DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES REGARDING RESIGNATION OF DIRECTORS VIOLATING REGULATIONS 4(1)(D) AND 4(2)(B) OF SEBI (LODR) REGULATIONS, 2015

IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS

19-APR-2023

AKI INDIA LTD.

(PAN:AACCA7282K)

DID NOT INTIMATE STOCK EXCHANGES FIVE WORKING DAYS IN ADVANCE FOR THE ADOPTION/APPROVAL OF FINANCIAL RESULTS VIOLATING REGULATIONS 29(1) READ WITH 29(2) OF SEBI (LODR) REGULATIONS, 2015

DID NOT MAKE DISCLOSURE OF NOTICE OF AGM TO STOCK EXCHANGES VIOLATING REGULATIONS 47(1)(D) READ WITH 47(3) OF SEBI (LODR) REGULATIONS, 2015

DELAY IN PUBLISHING FINANCIAL RESULTS IN NEWSPAPER VIOLATING REGULATIONS 47(1)(B) READ WITH 47(3) OF SEBI (LODR) REGULATIONS, 2015

DID NOT PUBLISH FINANCIAL RESULTS IN NEWSPAPER VIOLATING REGULATIONS 47(1)(B) READ WITH 47(3) OF SEBI (LODR) REGULATIONS, 2015

DID NOT PUBLISH NOTICE OF AGM IN NEWSPAPER VIOLATING REGULATIONS 47(1)(D) READ WITH 47(3) OF SEBI (LODR) REGULATIONS, 2015

IMPOSED PENALTY RS.3,00,000

01-JUL-2025

ALCON FINANCE & INVESTMENTS LTD.

(PAN:AAACA3962A)

FILED WRONG DISCLOSURE OF SHAREHOLDING PATTERN IN MATTER OF KEMP & CO.LTD.

DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT

IMPOSED PENALTY RS.20,00,000

26-JUN-2024

SAT: SAT VIDE ITS ORDER DATED 21/08/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER TO BE FILED WITHIN TWO WEEKS THEREAFTER. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED SUBJECT TO DEPOSIT OF RS.1 CRORE BY APPELLANT WITH RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER

ALIENS DEVELOPERS PVT.LTD.

(PAN:AAFCA7204E)

DID NOT OBTAIN PRIOR APPROVAL FROM STOCK EXCHANGES FOR THE CHANGES IN STRUCTURE OF CASH FLOW OF INTEREST PAYMENTS/EXTENSION OF MATURITY OF DEBENTURES

DID NOT INFORM TO STOCK EXCHANGES ABOUT DEFAULT IN INTEREST PAYMENTS/REDEMPTION OF DEBENTURES

DID NOT MAINTAIN FUNCTIONAL WEBSITE VIOLATING REGULATION 51(3) OF SEBI (LODR) REGULATIONS, 2015

DID NOT SUBMIT FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(1) OF SEBI (LODR) REGULATIONS, 2015

DELAY IN SUBMISSION OF INFORMATION, DOCUMENTS, ASSET COVER CERTIFICATES AND COMPLIANCES CERTIFICATE

DID NOT CREATE AND/OR MAINTAIN RECOVERY EXPENSE FUND VIOLATING SEBI CIRCULAR NO.SEBI/HO/MIRSD/CRADT/CIR/P/2020/207 DATED 22/10/2020

IMPOSED PENALTY RS.7,00,000

29-DEC-2023

ALLIANCE INFRASTRUCTURE PROJECTS PVT.LTD.

(PAN:AAFCA0404J)

DELAY IN SUBMISSION OF HALF YEARLY FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATIONS 52(1), 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015

IMPOSED PENALTY RS.1,00,000

26-MAR-2021

ALLIED COMPUTERS INTERNATIONAL (ASIA) LTD.

(CIN:L72900MH2002PLC135829
PAN:AADCA4412E)

DID NOT MAKE DISCLOSURE OF QUARTERLY SHAREHOLDING PATTERN TO STOCK EXCHANGE VIOLATING SECTION 21 OF SCRA, 1956 AND CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 103 OF SEBI (LODR) REGULATIONS, 2015

DID NOT FURNISH REQUISITE INFORMATION DURING INVESTIGATION

IMPOSED PENALTY RS.20,00,000

14-JUL-2022

SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.22,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 16/05/2023 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

ALOK INDUSTRIES LTD.

DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES DEFAULT IN PAYMENT OF INTEREST AND PRINCIPAL AMOUNT IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATION 51(1) OF SEBI (LODR) REGULATIONS, 2015

DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES DELAY/DEFAULT IN PAYMENT OF INTEREST AND PRINCIPAL AMOUNT IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATION 51(2) READ WITH PART B OF SCHEDULE III (CLAUSE A1, A4, A9) OF SEBI (LODR) REGULATIONS, 2015

DID NOT DISCLOSE LINE ITEMS IN RESPECT OF VARIOUS SERIES OF NCDS AS REQUIRED UNDER REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015

DID NOT SUBMIT CERTIFICATE SIGNED BY DEBENTURE TRUSTEE TO STOCK EXCHANGES NCDS VIOLATING REGULATION 52(5) OF SEBI (LODR) REGULATIONS, 2015

DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES IN ITS QUARTERLY FINANCIAL STATEMENTS IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015

IMPOSED PENALTY RS.12,00,000

30-JUL-2020

SAT: SAT VIDE ITS ORDER DATED 29/09/2020 GRANTED FOUR WEEKS TIME TO RESPONDENT TO FILE AFFIDAVIT IN REPLY AND TWO WEEKS THEREAFTER FOR FILING AFFIDAVIT IN REJOINDER, IF ANY AND PLACED THE APPEAL FOR FINAL DISPOSAL ON 01/12/2020.IN THE MEANTIME, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED TO BE STAYED UNTIL FURTHER ORDERS

SAT: SAT VIDE ITS ORDER DATED 01/12/2020 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 30/07/2020. NO COSTS

ALPHA CORP DEVELOPMENT PVT.LTD.

(PAN:AAECA5259Q)

ALLEGED DELAY IN OBTAINING APPROVAL FROM STOCK EXCHANGES FOR TRANSFER OF NON-CONVERTIBLE DEBENTURES OF RS.29 CRORES TO EUTHORIA DEVELOPERS PVT.LTD.VIOLATING REGULATION 59 OF SEBI (LODR) REGULATIONS, 2015

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,12,625 VIDE CONSENT ORDER)

20-JAN-2021

ALPS MOTOR FINANCE LTD.

(PAN:AABCA1559L)

BRIJ KISHORE SABHARWAL

PAN:AAXPS6830P

HIMANSHU AGARWAL

PAN:AOAPA6806N

DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES ABOUT UTILIZATION OF PREFERENTIAL ALLOTMENT PROCEEDS VIOLATING CLAUSE 43 OF ERSTWHILE LISTING AGREEMENT (NOW REGULATION 32 OF SEBI (LODR) REGULATIONS, 2015) READ WITH SECTION 21 OF SCRA, 1956

INDULGED IN GIVING LOANS OUT OF PROCEEDS OF ISSUE AMOUNTS TO DEVIATION AS PER THE STATED OBJECTS OF ISSUE VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ALPS MOTOR FINANCE LTD.

IMPOSED PENALTY RS.6,00,000

23-MAY-2023

SAT: SAT VIDE ITS ORDER DATED 20/07/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 23/05/2023. NO COSTS

AMTEK AUTO LTD.

(PAN:AAGCA4447E)

DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES DEFAULT IN PAYMENT OF INTEREST/PRINCIPAL IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATION 51(1) OF SEBI (LODR) REGULATIONS, 2015

DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES EXPECTED DEFAULT AND/OR ACTION IN TIMELY PAYMENT OF INTEREST/PRINCIPAL IN RESPECT OF NCDS VIOLATING REGULATION 51(2) READ WITH PART B OF SCHEDULE III (CLAUSES A1, A4 AND A9) OF SEBI (LODR) REGULATIONS, 2015

DID NOT MAKE DISCLOSURE OF LINE ITEMS WHILE SUBMITTING FINANCIAL RESULTS TO STOCK EXCHANGES VIOLATING REGULATION 52(4) OF SEBI (LODR) REGULATIONS, 2015

DID NOT SUBMIT CERTIFICATE SIGNED BY DEBENTURE TRUSTEE TO STOCK EXCHANGES IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATIONS 52(4) AND 52(5) OF SEBI (LODR) REGULATIONS, 2015

DID NOT MAKE DISCLOSURE OF SECURITY CREATED AND MAINTAINED WITH RESPECT TO ITS LISTED NCDS TO STOCK EXCHANGES VIOLATING REGULATION 54(2) OF SEBI (LODR) REGULATIONS, 2015

DID NOT SUBMIT CERTIFICATE TO STOCK EXCHANGES WITHIN TWO DAYS OF INTEREST/PRINCIPAL OF BECOMING DUE IN RESPECT OF NCDS VIOLATING REGULATION 57(1) OF SEBI (LODR) REGULATIONS, 2015

DID NOT INTIMATE IN ADVANCE RECORD DATE TO STOCK EXCHANGES IN RESPECT OF VARIOUS SERIES OF NCDS VIOLATING REGULATION 60(2) OF SEBI (LODR) REGULATIONS, 2015

IMPOSED PENALTY RS.10,00,000

31-AUG-2020

ANDHRA PRADESH POWER FINANCE CORP.LTD.

(PAN:AADCA0857D
CIN:U40109AP2000SGC107482)

DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES WITH RESPECT TO DEFAULT IN PAYMENT OF INTEREST AND REDEMPTION OF NCDS TO STOCK EXCHANGES VIOLATING REGULATIONS 51(1) AND 51(2) READ WITH CLAUSE A(1) OF PART B OF SCHEDULE-III OF SEBI (LODR) REGULATIONS, 2015

DID NOT FURNISH COPY OF ANNUAL REPORT, AUDITORS CERTIFICATE TO DEBENTURE TRUSTEE AND FINANCIAL RESULTS VIOLATING REGULATIONS 56(1)(A), 52(1) AND 56(1A) READ WITH REGULATION 56(3) OF SEBI (LODR) REGULATIONS, 2015

DID NOT MAINTAIN FUNCTIONAL WEBSITE VIOLATING REGULATION 51(3) OF SEBI (LODR) REGULATIONS, 2015

IMPOSED PENALTY RS.2,00,000

27-JUL-2023

ANR SECURITIES PVT.LTD.

(PAN:AADCA7654E)

DIRECTED NOT TO DIVERT ANY FUNDS EXCEPT TO MEET EXPENSES OF DAY-TO-DAY BUSINESS OPERATIONS WITHOUT PRIOR PERMISSION OF SEBI

14-MAR-2019

The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.