| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
BLUE INFORMATION TECHNOLOGY LTD.
(PAN:AABCB8718J)
|
|
|
|
DHAVAL A.JHAVERI
|
|
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ACCOUNT RELATED INFORMATION OF BLUE INFORMATION TECHNOLOGIES LTD.
FALSELY INCREASED TURNOVER & PROFIT AND ANNOUNCED FALSE DIVIDEND IN MATTER OF BLUE INFORMATION TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
04-JUN-2009
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 2 |
|
|
OM SRI SAI INVESTMENTS
(PAN:AADFO8242K)
|
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
PROMISED ASSURED RETURNS TO CLIENTS
DEFAULTED IN MAINTENANCE OF CLIENT LEDGER
INDULGED IN MANIPULATIVE, FRAUDULENT OR DECEPTIVE SCHEMES WHILE DEALING IN SECURITIES MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2030
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.1,20,00,000
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 24/10/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/11/2024 GRANTED EXTENSION OF FOUR WEEKS TO FILE REJOINDER
|
| 3 |
|
|
PRABHAT DAIRY LTD.
(CIN:U15203PN1998PLC013068)
|
|
|
|
SARANGDHAR RAMCHANDRA NIRMAL
PAN:AAJPN5198B
|
|
|
VIVEK SARANGDHAR NIRMAL
PAN:ACGPN8857L
|
|
DEFAULTED IN MAINTENANCE OF BOOKS OF ACCOUNTS
MISREPRESENTED FINANCIALS AND/OR BUSINESS OPERATIONS
DIVERSION/SIPHONING OF FUNDS BY PROMOTERS/DIRECTORS/KEY MANAGERIAL PERSONS
|
DIRECTED TO DEPOSIT RS.1292.46 CRORES IN INTEREST BEARING SPECIAL ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED AUDIT COMMITTEE OF THE COMPANY TO DIRECTLY MONITOR THE PROCESS OF CREADTION OF ESCROW ACCOIUNT ITS FUNDING
DIRECTED NOT TO USE THE FUNDS FOR ANY OTHER LINES OF BUSINESS (INCLUDING FOR DEPLOYMENT TOWARDS ITS RESIDUAL BUSINESS I.E.ANIMAL NUTRITION AND CATTLE FEED BUSINESS)
DIRECTED TO FURNISH WEEKLY STATEMENT OF DEBITS/CREDITS/BALANCE IN SPECIAL ESCROW ACCOUNT COMMENCING FROM 30/10/2020 TILL COMPLETION OF FORENSIC AUDIT
DIRECTED TO FURNISH ALL INFORMATION/DOCUMENTS TO FORENSIC AUDITOR/SEBI
20-OCT-2020
|
SAT: SAT VIDE ITS ORDER DATED 09/11/2020 QUASHED IMPUGNED ORDER DATED 20/10/2020 AND DIRECTED APPELLANT TO A) DEPOSIT A SUM OF RS.500 CRORES IN A SEPARATE ESCROW ACCOUNT WITHIN 10 DAYS FROM DATE OF THIS ORDER B) DEPOSITED AMOUNT NOT BE UTILIZED BY TILL SUBMISSION OF FORENSIC REPORT AND TAKEN BY RESPONDENT ON DISTRIBUTION OF AMOUNT TO SHAREHOLDERS AND/OR THE DELISTING APPLICATION AND C) PROVIDE ALL THE NECESSARY INFORMATION AND DOCUMENTS RELATING TO THE SALE ETC..NO COSTS
SAT: SAT VIDE ITS ORDER DATED 09/02/2021 DISMISSED THE APPEAL
|
| 4 |
|
|
SUNEDISON INFRASTRUCTURE LTD.
|
|
|
INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS INCLUDING AUTHENTICITY OF ITEM WISE DETAILS OF GROUPING/RE-GROUPING OF ASSETS (SEGMENT WISE AND DIVISION WISE) ASCERTAINING DETAILS OF VALUES AND CORRESPONDING LIABILITIES ETC.
MISREPRESENTED FINANCIALS AND/OR BUSINESS OPERATIONS
INDULGED IN WRONGFUL DIVERSION/SIPHONING OF FUNDS
INDULGED IN RELATED PARTY TRANSACTIONS CARRIED OUT DURING AUDIT PERIOD
INDULGED IN VALUATION OF ASSETS PROPOSED TO BE TRANSFERRED VIA SLUMP SALE AND UNDER FRAMEWORK AGREEMENT DATED 23/06/2020
|
RESTRAINED FROM DISPOSING, SELLING OR ALIENATING ITS ASSETS INCLUDING EFFECTING TRANSACTIONS AGREED UPON UNDER FRAMEWORK AGREEMENT
DIRECTED BSE TO APPOINT FORENSIC AUDITOR TO EXAMINE BOOKS OF ACCOUNTS OF THE COMPANY
DIRECTED FORENSIC AUDITOR/AUDIT FIRM TO SUBMIT REPORT TO BSE WITHIN THREE MONTHS FROM DATE OF ORDER
DIRECTED TO EXTEND NECESSARY CO–OPERATION TO FORENSIC AUDITOR/AUDIT FIRM APPOINTED AND FURNISH ALL INFORMATION/DOCUMENTS SOUGHT
DIRECTED NOT TO UNDERTAKE ANY ACT IN FURTHERANCE OF FRAMEWORK AGREEMENT
DIRECTED BSE TO SUBMIT FORENSIC AUDIT REPORT (INCLUDING ALL ANNEXURES) ALONG WITH ITS RECOMMENDATION WITHIN 15 DAYS FROM DATE OF RECEIPT OF FORENSIC AUDIT REPORT
15-FEB-2021
|
SEBI VIDE ITS ORDER DATED 15/07/2021 PERMITTTED FENICE AND SOUTH LAKE TO CONVERT THEIR CCPS HELD IN SILRES ENERGY INTO EQUITY SHARES AND EXERCISE FOLLOWING RIGHTS ASSOCIATED WITH IT A) INFORMATION RIGHTS – CLAUSE 5.1 OF THE FRAMEWORK AGREEMENT AND CLAUSE 10 OF THE AMENDED SSHA B) CONSENT RIGHTS – CLAUSE 5.3 AND 5.4 OF THE FRAMEWORK AGREEMENT AND C) BOARD REPRESENTATION – CLAUSE 6 OF THE AMENDED SSHA
SEBI VIDE ITS ORDER DATED 28/07/2022 REVOKED ITS INTERIM ORDER DATED 15/02/2021 AND CONFIRMATORY ORDER DATED 15/07/2021
|
| 5 |
|
|
TEJI MANDI ANALYTICS PVT.LTD.
(PAN:AACCT9530H)
|
|
|
|
ANIL GOPAL GANDHI
PAN:ABWPG5141P
|
|
AIDED AND ABETTED WITH OTHERS PROVIDING DERIVATIVE ADVISORY SERVICES (DAS) VIOLATING SEBI (PORTFOLIO MANAGER) REGULATIONS, 1993
DEFAULTED IN MAINTENANCE OF CLIENT LEDGER
INDULGED IN MANIPULATIVE, FRAUDULENT OR DECEPTIVE SCHEMES WHILE DEALING IN SECURITIES MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2028
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-FEB-2023
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
