| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ARUN POLYMERS PVT.LTD.
|
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
INDULGED IN OFF-LOADING OF UNLISTED SHARES OF DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2019
13-JAN-2009
|
|
| 2 |
|
|
ASPOLIGHT BARTER PVT.LTD.
|
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
INDULGED IN OFF-LOADING OF UNLISTED SHARES OF DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2019
13-JAN-2009
|
|
| 3 |
|
|
BERRAL TRADING & INVESTMENT CO.PVT.LTD.
|
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
INDULGED IN OFF-LOADING OF UNLISTED SHARES OF DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2019
13-JAN-2009
|
|
| 4 |
|
|
BONANZA BIOTECH LTD.
|
|
|
OFFLOADED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN MARKET WITH ACTIVE CONNIVANCE OF COMPANY MANAGEMENT
|
IMPOSED PENALTY RS.1,00,00,000
24-JAN-2006
|
SAT: APPEAL DISMISSED
|
| 5 |
|
|
COOLTEX COMMODITIES PVT.LTD.
|
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
INDULGED IN OFF-LOADING OF UNLISTED SHARES OF DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2019
13-JAN-2009
|
|
| 6 |
|
|
COVERAGE & CONSULTANTS LTD.
|
|
|
|
BHAVARBHAI JOSHI
|
|
|
NARENDRA CHOUHAN
|
|
|
SHARAD GUJRATHI
|
|
INTRODUCED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN THE MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-OCT-2007 TO 21-OCT-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-OCT-2007 TO 21-OCT-2014
22-OCT-2007
|
|
| 7 |
|
|
DESIGN AUTO SYSTEMS LTD.
(CIN:U03410MP1987PLC003941)
|
|
|
|
PRASHANT S.RAJGARHIA
|
|
|
RAJENDRA TARE
|
|
|
RITA GARG
DIN:01804914
|
|
|
SARVESH GARG
|
|
VIOLATED REGULATIONS 3 AND 4 OF PFUTP, REGULATIONS, 1995
VIOLATED REGULATIONS 4(A) AND (C) OF PFUTP REGULATIONS, 1995
INDULGED IN CREATING ARTIFICIAL PRICE RISE IN UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD.
VIOLATED SEBI TAKEOVER REGULATIONS IN MATTER OF DESIGN AUTO LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-MAR-2007 TO 05-MAR-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-MAR-2007 TO 05-MAR-2014
06-MAR-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUL-2008~
|
SAT: APPLICANT AGREED TO PAY RS.10,00,000 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 30/07/2008
SAT: DIRECTED APPLICANT TO PROCURE REMAINING QUANTITY OF SHARES ON OR BEFORE 31/08/2009 AND MAKE THEM AVAILABLE TO COMPANY FOR CANCELLATION, FAILING WHICH CONSENT APPLICATION FILED BEFORE SEBI SHALL BE DEEMED TO HAVE BEEN REJECTED. APPEAL STANDS DISPOSE OFF ACCORDINGLY
|
| 8 |
|
|
DESIGN AUTO SYSTEMS LTD.
(CIN:U03410MP1987PLC003941)
|
|
|
|
MURALI NAIR
|
|
OFFLOADED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN MARKET WITH ACTIVE CONNIVANCE OF COMPANY MANAGEMENT
INTRODUCED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN THE MARKET
VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN MATTER OF DESIGN AUTO SYSTEMS LTD.
INDULGED IN CREATING ARTIFICIAL PRICE RISE IN UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-DEC-2007 TO 26-DEC-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-DEC-2007 TO 26-DEC-2013
27-DEC-2007
|
|
| 9 |
|
|
DSQ BIOTECH LTD.
|
|
|
|
DINESH DALMIA
PAN:ACPPD9838G
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
INDULGED IN OFF-LOADING OF UNLISTED SHARES OF DSQ BIOTECH LTD.
|
DIRECTED DSQ BIOTECH LTD.TO KEEP 80,30,000 SHARES OF THE CO.IN SEPARATE DEMAT ACCOUNT AND TAKE STEPS TO EXTINGUISH/ CANCEL THEM
13-JAN-2009
|
|
| 10 |
|
|
DSQ BIOTECH LTD.
|
|
|
|
DINESH DALMIA
PAN:ACPPD9838G
|
|
|
K.GOPALAKRISHNAN
|
|
|
M.G.ANANT KUMAR
|
|
|
P.S.BALASUBRAMANIUM
|
|
|
S.GANAPATHY SUBRAMANIUM
|
|
|
VASUDEV SUBANTHORE
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
INDULGED IN OFF-LOADING OF UNLISTED SHARES OF DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2019
13-JAN-2009
|
|
| 11 |
|
|
DSQ HOLDINGS LTD.
|
|
|
|
DINESH DALMIA
PAN:ACPPD9838G
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
INDULGED IN OFF-LOADING OF UNLISTED SHARES OF DSQ BIOTECH LTD.
|
DIRECTED TO MAKE OFFER FOR PURCHASES EQUIVALENT AMOUNT OF 80,30,000 SHARES OF DSQ BIOTECH LTD.WITHIN 45 DAYS FROM DATE OF THIS ORDER
DIRECTED TO DEPOSIT RS.122.19 CRORE IN ESCROW ACCOUNT FOR PURCHASE OF 80,30,000 SHARES OF DSQ BIOTECH LTD.
13-JAN-2009
|
|
| 12 |
|
|
DSQ HOLDINGS LTD.
|
|
|
|
DINESH DALMIA
PAN:ACPPD9838G
|
|
|
K.GOPALAKRISHNAN
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
INDULGED IN OFF-LOADING OF UNLISTED SHARES OF DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2019
13-JAN-2009
|
|
| 13 |
|
|
DSQ SOFTWARE LTD.
(PAN:AAACS5071J)
|
|
|
|
DINESH DALMIA
PAN:ACPPD9838G
|
|
COMMITTED IRREGULARITIES IN ALLOTMENT OF 1.70 CRORE SHARES OF DSQ SOFTWARE LTD IN THE YEAR 2000-01 AND OF THE SAID SHARES, INTRODUCED OF 1.30 CRORE SHARES INTO THE MARKET WITHOUT LISTING
SUBMITTED WRONG INFORMATION TO SEBI
PROVIDED WRONG/INCOMPLETE INFORMATION TO EXCHANGES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-SEP-2004 TO 08-SEP-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-SEP-2004 TO 08-SEP-2014
DIRECTED TO DEPOSIT A SUM OF RS.630 CRORE IN SEPARATE ESCROW ACCOUNT
DIRECTED TO BUY 1.30 CRORE SHARES OF DSQ SOFTWARE LTD. AND RETAIN IT IN SEPARATE DEMAT ACCOUNT
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
09-SEP-2004
|
SAT: DIRECTED SEBI TO APPOINT AN APPROPRIATE AUTHORITY TO IDENTIFY THOSE SHAREHOLDERS HOLDING UNLISTED SHARES AND TO ARRANGE FOR REFUND OF PURCHASE PRICE AFTER THEY SURRENDER UNLISTED SHARES
SAT: MODIFIED PERIOD OF DEBARMENT FROM 27/01/2001 TO 26/01/2011 AND DIRECTED DINESH DALMIA TO PURCHASE REMAINING UNLISTED SHARES AND TO RETAIN SAME IN A SEPERATE DEPOSITORY ACCOUNT AND TO FUND THIS ENTIRE OPERATION
|
| 14 |
|
|
HULDA PROPERTIES & TRADES LTD.
|
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
INDULGED IN OFF-LOADING OF UNLISTED SHARES OF DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2019
13-JAN-2009
|
|
| 15 |
|
|
LUMINANT INVESTMENTS PVT.LTD.
(PAN:AAACL0834A)
|
|
|
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
ACTED IN CONCERT TO CREATE ARTIFICIAL VOLUMES AND PRICES BY USING PARTLY PAID AND UNLISTED SHARES IN THE MARKET FOR RAISING FUNDS THROUGH SYNCHRONIZED TRADING IN THE CASE OF DSQ BIOTECH LTD.
|
IMPOSED PENALTY RS.1,00,00,000
22-NOV-2005
SETTLEMENT ( SETTLEMENT CHARGES RS.24,09,850, LEGAL EXPENSES RS.90,150 VIDE CONSENT ORDER)
30-OCT-2007~
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.25,00,000 FROM RS.1,00,00,000
|
| 16 |
|
|
OASIS MEDIA MATRIX LTD.
(CIN:L27100GJ1995PLC027638)
|
|
|
|
CHANDERKANT MEHTA
|
|
|
JATIN MANUBHAI SHAH
|
|
|
KAMLESH SHAH
DIN:03289234
|
|
|
VASANT C.SHAH
|
|
REISSUED 21457000 SHARES WITHOUT RECEIVING FULL CONSIDERATION AND OFFLOADED UNLISTED SHARES OF OASIS MEDIA MATRIX LTD. IN MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2010
14-FEB-2008
|
|
| 17 |
|
|
PIVOTAL STOXARE LTD.
(CIN:U67120MH1994PTC076353)
|
|
|
AIDED & ABETTED COVERAGE & CONSULTANTS LTD.IN OFF-LOADING UN-LISTED SHARES OF OJAS TECHNOCHEM LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-JAN-2009 TO 08-JUL-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JAN-2009 TO 08-JUL-2009
09-JAN-2009
|
|
| 18 |
|
|
POWERFLOW HOLDING & TRADING PVT.LTD.
|
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
INDULGED IN OFF-LOADING OF UNLISTED SHARES OF DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2019
13-JAN-2009
|
|
| 19 |
|
|
RANSI SOFTWARES INDIA LTD.
|
|
|
|
MAHENDRA AMRUTLAL SHAH
|
|
MADE FALSE REPRESENTATION IN NEWSPAPERS TO MISLEAD/INDUCE INVESTORS
INDULGED IN DEMATERIALIZING AND TRADING IN UNLISTED SHARES
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.54,00,000
30-SEP-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 20 |
|
|
RUJUL FINANCE LTD.
|
|
|
CREATED ARTIFICIAL VOLUMES IN SCRIP OF SHALIBHADRA INFOSEC LTD. AND ASSISTED PROMOTERS OF THE COMPANY IN OFFLOADING ITS UNLISTED SHARES IN THE SECONDARY MARKET
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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