S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
1 |
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ALKA INDIA LTD.
(PAN:AABCA6702F)
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
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DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 21-SEP-2011 TO 20-SEP-2016
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-SEP-2011 TO 20-SEP-2016
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-SEP-2011 TO 20-SEP-2016
21-SEP-2011
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SEBI VIDE ITS ORDER DATED 25/04/2012 MODIFIED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/09/2011 TO THE LIMITED EXTENT BY ALLOWING TO SELL SECURITIES HELD IN ITS DEPOSITORY ACCOUNTS AND DEPOSIT THE SALE PROCEEDS IN BANK FIXED DEPOSIT EARNING INTEREST. FURTHER IT SHALL NOT BE ALLOWED TO WITHDRAW ANY MONIES INCLUDING INTEREST THEREON WITHOUT PRIOR PERMISSION OF SEBI
SAT: SAT VIDE ITS ORDER DATED 21/01/2014 DIRECTED SEBI TO PASS APPROPRIATE ORDER WITHIN A PERIOD OF FOUR MONTHS FROM THE DATE OF THIS ORDER
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2 |
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ASAHI INFRASTRUCTURE & PROJECTS LTD.
(PAN:AAACA8777F)
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
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DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHERS INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER THEIR CAPITAL STRUCTURE IN ANY MANNER FROM 21-SEP-2011 TILL FURTHER ORDERS
21-SEP-2011
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SAT: APPEAL DISPOSED OFF WITHOUT ANY DIRECTIONS. NO ORDER AS TO COSTS
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 21/09/2011 CONFIRMED AND CONVERSION OF OUTSTANDING WARRANTS ALLOWED
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3 |
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AVON CORP.LTD.
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
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DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHERS INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER THEIR CAPITAL STRUCTURE IN ANY MANNER FROM 21-SEP-2011 TILL FURTHER ORDERS
21-SEP-2011
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DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 21/09/2011 CONFIRMED AND CONVERSION OF OUTSTANDING WARRANTS ALLOWED
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4 |
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BASMATI SECURITIES PVT.LTD.
(PAN:AAACB4324K)
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
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DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 21-SEP-2011 TO 20-SEP-2016
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-SEP-2011 TO 20-SEP-2016
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-SEP-2011 TO 20-SEP-2016
21-SEP-2011
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SEBI VIDE ITS ORDER DATED 25/04/2012 MODIFIED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/09/2011 TO THE LIMITED EXTENT BY ALLOWING TO SELL SECURITIES HELD IN ITS DEPOSITORY ACCOUNTS AND DEPOSIT THE SALE PROCEEDS IN BANK FIXED DEPOSIT EARNING INTEREST. FURTHER IT SHALL NOT BE ALLOWED TO WITHDRAW ANY MONIES INCLUDING INTEREST THEREON WITHOUT PRIOR PERMISSION OF SEBI
SAT: 1) SAT VIDE ITS ORDER DATED 09/05/2014 CONDONED THE DELAY OF 725 DAYS IN FILING OF APPEAL. 2) SAT VIDE ITS ORDER DATED 09/05/2014 DIRECTED BASMATI SECURITIES PVT.LTD. TO FILE REPLY ON OR BEFORE 25/06/2014 AND DIRECTED SEBI TO PASS FINAL ORDER ON OR BEFORE 20/09/2014. NO COSTS
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5 |
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CALS REFINERIES LTD.
(CIN:L51909DL1984PLC018775 PAN:AAACC0069N)
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
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DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHERS INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER THEIR CAPITAL STRUCTURE IN ANY MANNER FROM 21-SEP-2011 TO 20-SEP-2021
23-OCT-2013
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DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 21/09/2011 CONFIRMED AND CONVERSION OF OUTSTANDING WARRANTS ALLOWED
SAT: SAT VIDE ITS ORDER DATED 29/08/2013 DIRECTED SEBI TO PASS FINAL ORDER WITHIN A PERIOD OF EIGHT WEEKS FROM DATE OF THIS ORDER OTHERWISE AD-INTERIM ORDER DATED 21/09/2011 AND CONFIRMATION ORDER SHALL STAND VACATED AGAINST THE APPELLANT WITH NO ORDER AS COSTS
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6 |
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CAT TECHNOLOGIES LTD.
(PAN:AABCC9026E)
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
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DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHERS INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER THEIR CAPITAL STRUCTURE IN ANY MANNER FROM 21-SEP-2011 TILL FURTHER ORDERS
21-SEP-2011
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DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 21/09/2011 CONFIRMED AND CONVERSION OF OUTSTANDING WARRANTS ALLOWED
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7 |
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CHERRY COSMETICS PVT.LTD.
(PAN:AAACC4789R)
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-SEP-2014 TO 18-SEP-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-SEP-2014 TO 18-SEP-2019
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 19-SEP-2014 TO 18-SEP-2019
19-SEP-2014
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SAT: SAT VIDE ITS ORDER DATED 22/11/2016 ALLOWED THE APPEALS TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEALS WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
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8 |
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DELIGHT FINANCIAL ADVISORS LTD.
(PAN:AACCD7366D)
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-SEP-2014 TO 18-SEP-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-SEP-2014 TO 18-SEP-2019
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 19-SEP-2014 TO 18-SEP-2019
19-SEP-2014
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9 |
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EDELWEISS ESTATES PVT.LTD.
(PAN:AABCE1275F)
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-SEP-2014 TO 18-SEP-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-SEP-2014 TO 18-SEP-2019
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 19-SEP-2014 TO 18-SEP-2019
19-SEP-2014
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10 |
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EXCEL PAINTS PVT.LTD.
(PAN:AAACE2875N)
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-SEP-2014 TO 18-SEP-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-SEP-2014 TO 18-SEP-2019
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 19-SEP-2014 TO 18-SEP-2019
19-SEP-2014
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11 |
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GUJARAT ENTERPRISE
(PAN:AVZPK0475F)
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
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WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-SEP-2014
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12 |
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IKF TECHNOLOGIES LTD.
(CIN:L72200WB2000PLC111253 PAN:AAACI8167K)
|
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
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DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHERS INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER THEIR CAPITAL STRUCTURE IN ANY MANNER FROM 21-SEP-2011 TO 20-SEP-2021
23-OCT-2013
|
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 21/09/2011 CONFIRMED AND CONVERSION OF OUTSTANDING WARRANTS ALLOWED
SAT: SAT VIDE ITS ORDER DATED 14/10/2014 ACCEPTED THE APPEAL OF SEBI FOR PASSING AN ORDER WITHIN A PERIOD OF FOUR MONTHS AFTER ISSUING SHOW CAUSE NOTICE. NO COSTS
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13 |
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INDIA FOCUS CARDINAL FUND
(PAN:AABCI9518D)
|
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
|
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 21-SEP-2011 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
21-SEP-2011
|
SAT: SAT VIDE ITS ORDER DATED 21/11/2011 DIRECTED SEBI TO CONCLUDE INVESTIGATIONS BEFORE THE END OF FEBRUARY 2012.IN THE MEANWHILE APPLLANT ALLOWED TO SELL ALL THE SECURITIES HELD BY IT AS ENLISTED IN THE EXHIBITS 'G' AND 'J' TO THE APPEAL. SALE PROCEEDS THEREFROM SHALL BE DEPOSITED IN THE FIXED DEPOSIT WITH ICICI BANK EARNING INTEREST WITH NO ORDER AS TO COSTS.
SEBI VIDE ITS ORDER DATED 30/12/2011 DIRECTED THAT THE DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/09/2011, AS MODIFIED BY SAT VIDE ITS ORDER DATED 30/12/2011 SHALL CONTINUE TO REMAIN IN FORCE TILL FURTHER DIRECTIONS
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14 |
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INDRAVARUN TRADE IMPEX PVT.LTD.
(PAN:AACCI3088H)
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-SEP-2014 TO 18-SEP-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-SEP-2014 TO 18-SEP-2019
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 19-SEP-2014 TO 18-SEP-2019
19-SEP-2014
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15 |
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JMP SECURITIES PVT.LTD.
(PAN:AAACJ8850C)
|
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
|
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 21-SEP-2011 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
21-SEP-2011
|
SEBI VIDE ITS ORDER DATED 11/05/2012 MODIFIED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/09/2011 TO THE LIMITED EXTENT BY ALLOWING TO SELL SECURITIES HELD IN ITS DEPOSITORY ACCOUNTS AND DEPOSIT THE SALE PROCEEDS IN BANK FIXED DEPOSIT EARNING INTEREST. FURTHER IT SHALL NOT BE ALLOWED TO WITHDRAW ANY MONIES INCLUDING INTEREST THEREON WITHOUT PRIOR PERMISSION OF SEBI
SAT: APPEAL DISPOSED OFF. NO COSTS
|
16 |
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K SERA SERA LTD.
(PAN:AAACG5103D)
|
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
|
DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHERS INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER THEIR CAPITAL STRUCTURE IN ANY MANNER FROM 21-SEP-2011 TILL FURTHER ORDERS
21-SEP-2011
|
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 21/09/2011 CONFIRMED AND CONVERSION OF OUTSTANDING WARRANTS ALLOWED
SAT: PERMITTED TO WITHDRAW THE APPEAL
|
17 |
|
KII LTD.
(PAN:AACCK8021E)
|
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
|
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 21-SEP-2011 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
21-SEP-2011
|
SEBI VIDE ITS ORDER DATED 23/01/2013 MODIFIED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/09/2011 BY PERMITTING KII LTD. TO SELL ITS SECURITIES HELD IN ITS DEMAT ACCOUNTS AND DEPOSIT SALE PROCEEDS WITH ANY SCHEDULE BANK
|
18 |
|
MAARS SOFTWARE INTERNATIONAL LTD.
(PAN:AAACM4527H)
|
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
|
DIRECTED NOT TO ISSUE EQUITY SHARES OR ANY OTHERS INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER THEIR CAPITAL STRUCTURE IN ANY MANNER FROM 21-SEP-2011 TILL FURTHER ORDERS
21-SEP-2011
|
DIRECTION ISSUED VIDE AD INTERIM EX-PARTE ORDER DATED 21/09/2011 CONFIRMED AND CONVERSION OF OUTSTANDING WARRANTS ALLOWED
|
19 |
|
MAVI INVESTMENT FUND LTD.
(PAN:AAECM5148A)
|
|
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
|
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 21-SEP-2011 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
21-SEP-2011
|
SEBI VIDE ITS ORDER DATED 25/01/2012 MODIFIED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 21/09/2011 TO THE LIMITED EXTENT BY ALLOWING TO SELL SECURITIES HELD IN ITS DEPOSITORY ACCOUNTS AND DEPOSIT THE SALE PROCEEDS IN BANK FIXED DEPOSIT EARNING INTEREST. FURTHER IT SHALL NOT BE ALLOWED TO WITHDRAW ANY MONIES INCLUDING INTEREST THEREON WITHOUT PRIOR PERMISSION OF SEBI
SAT: AS PER STATEMENT MADE BY BOARD, BOARD WILL CONSIDER THE REQUEST OF THE APPELLANT WITHIN A PERIOD OF TWO WEEKS FROM 10/08/2012 FOR PERMISSION TO SELL THE SHARES
|
20 |
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NEWGEN INTERNATIONAL PVT.LTD.
(PAN:AACCN3776H)
|
|
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INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-SEP-2014 TO 18-SEP-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-SEP-2014 TO 18-SEP-2019
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT WITH INDIAN SECURITIES AS UNDERLYING, IN ANY MANNER WHATSOEVER FROM 19-SEP-2014 TO 18-SEP-2019
19-SEP-2014
|
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The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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