| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
CAPITAL SMALL FINANCE BANK LTD.
(PAN:AABCC3632Q)
|
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|
ALLEGED INDULGENCE IN ALLOTMENT OF EQUITY SHARES TO 402 PERSONS VIOLATING SECTION 67(3) OF COMPANIES ACT, 1956 READ WITH CORRESPONDING PROVISIONS OF COMPANIES ACT, 2013
ALLEGED INDULGENCE IN ALLOTMENT OF EQUITY SHARES TO 402 PERSONS VIOLATING SEBI (DISCLOSURE AND INVESTOR PROTECTION) GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,80,000 VIDE CONSENT ORDER)
10-JUN-2022
|
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| 2 |
|
|
CONCORD DRUGS LTD.
(PAN:AAACC8171D)
|
|
|
|
AKANSHA
PAN:AWRPA9608B
|
|
|
ESWAR RAO
PAN:AFIPM0175K
|
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JYOTI GOYAL
PAN:BTYPG3872L
|
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K.RAMACHANDRA REDDY
PAN:AFGPK1990L
|
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MONICA BHUTTADA
PAN:BCUPB1464J
|
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P.CHADRAKALA
PAN:BYEPP9563Q
|
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P.VENKATARAM REDDY
PAN:BYEPP9569E
|
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S.KONI REDDY
PAN:APHPR3654R
|
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S.NAGI REDDY
PAN:AIRPS8676D
|
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SONIA BIDLAN
PAN:ATQPB6253K
|
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T.NARASIMHA REDDY
PAN:AQBPT1842Q
|
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MISREPRESENTED FINANCIAL STATEMENTS AND DID NOT TAKE APPROVAL FROM AUDIT COMMITTEE/SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS
TRANSACTED WITH STRUCK OFF ENTITY
DID NOT FILE LIMITED REVIEW REPORT TO STOCK EXCHANGES
WRONGLY REPORTED TRADE RECEIVABLES
MISREPRESENTED IN FINANCIALS OF DEBTORS-CREDITORS NETTING OFF
DISCREPANCIES / DEFICIENCIES IN DOCUMENTATION FOUND IN TRANSACTIONS ENTERED WITH BHUVANA ENTERPRISES
APPOINTED INELIGIBLE INDEPENDENT DIRECTORS
DID NOT ADHERE TO REGULATIONS 33(2)(A) FOR CERTIFICATION AND APPROVAL OF FINANCIAL RESULTS IN MATTER OF CONCORD DRUGS LTD.
DEFAULTED IN APPOINTMENT OF COMPLIANCE OFFICER VIOLATING REGULATION 6(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT HAVE SUFFICIENT AND ADEQUATE INTERNAL CONTROL IN PLACE
|
IMPOSED PENALTY RS.15,00,000
11-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 14/02/2024 CONDONED THE DELAY IN FILING OF REPLY BY RESPONDENT AND ALLOWED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/04/2024 ALLOWED APPELLANT ADDITIONAL THREE WEEKS TO FILE REJOINDER
|
| 3 |
|
|
CONTINENTAL SEEDS & CHEMICALS LTD.
(PAN:AAACC2341R)
|
|
|
|
PRAVEEN RASTOGI
PAN:AEEPR1283A
|
|
|
SACHIN RASTOGI
PAN:ANOPR3507J
|
|
|
VIVEK KUMAR VARSHNEY
PAN:AWTPV7908B
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
PROVIDED FINANCIAL ASSISTANCE FOR PURCHASING ITS SHARES VIOLATING SECTION 67(2) OF COMPANIES ACT, 2013
|
IMPOSED PENALTY RS.10,00,000
29-NOV-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND ALSO STAYED THE DIRECTION IN PARAGRAPH 129.4 SUBJECT TO DEPOSIT OF RS.50 LAC DISGORGEMENT AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 GRANTED APPELLANTS TWO MORE WEEKS TO DEPOSIT AMOUNT AS DIRECTED ON 06/01/2025
|
| 4 |
|
|
CONTINENTAL SEEDS & CHEMICALS LTD.
(PAN:AAACC2341R)
|
|
|
|
PRAVEEN RASTOGI
PAN:AEEPR1283A
|
|
|
SACHIN RASTOGI
PAN:ANOPR3507J
|
|
|
VIVEK KUMAR VARSHNEY
PAN:AWTPV7908B
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
PROVIDED FINANCIAL ASSISTANCE FOR PURCHASING ITS SHARES VIOLATING SECTION 67(2) OF COMPANIES ACT, 2013
|
DIRECTED TO DISGORGE RS.2,24,17,400 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
29-NOV-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND ALSO STAYED THE DIRECTION IN PARAGRAPH 129.4 SUBJECT TO DEPOSIT OF RS.50 LAC DISGORGEMENT AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 GRANTED APPELLANTS TWO MORE WEEKS TO DEPOSIT AMOUNT AS DIRECTED ON 06/01/2025
|
| 5 |
|
|
HOTEL LEELAVENTURE LTD.
|
|
|
DID NOT MAKE CRITICAL DISCLOSURES IN POSTAL BALLOT NOTICE THAT WERE REQUIRED TO ENABLE SHAREHOLDERS TO TAKE INFORMAL DECISION
DID NOT MAKE PROPER DISCLOSURES OF MATERIAL LITIGATIONS RELATING TO AIRPORT AUTHORITY OF INDIA’S IN NOTES TO FINANCIAL STATEMENTS
DID NOT APPROACH SEBI FOR EXEMPTION FROM MAKING OPEN OFFER FOR ACQUISITION OF 26% EQUITY SHAREHOLDING BY JMF ARC
|
DIRECTED TO PROVIDE DETAILS OF EACH OF SALE TRANSACTIONS INCLUDING ASSET SALE TRANSACTION AND ADDITIONAL IP TRANSACTION WITH SPECIFIC INFORMATION IDENTIFYING TRANSACTIONS BETWEEN COMPANY & BROOKFIELD AND PROMOTERS & BROOKFIELD INCLUDING AMOUNTS INVOLVED THEREIN UNDER SEPARATE TABLES WITH SPLIT CONSIDERATION AMOUNTS FOR EACH HEAD
DIRECTED TO PROVIDE VALUATION OF BOTH ASSET SALE TRANSACTION AND ADDITIONAL IP TRANSACTION INCLUDING THE METHODS ADOPTED BY COMPANY
DIRECTED TO KEPT VALUATION REPORTS FOR INSPECTION BY SHAREHOLDERS OF HOTEL LEELA VENTURES LTD.
DIRECTED TO PUT TO VOTE ASSET SALE TRANSACTION OF COMPANY ALONG WITH ADDITIONAL IP TRANSACTION OF PROMOTERS/PROMOTERS’ AFFILIATES (EXCLUDING ‘RELATED PARTY TRANSACTION’ INVOLVING TRANSFER OF ‘JAMAVAR’ TRADEMARK) BY HOTEL LEELA VENTURES LTD. BEFORE ITS SHAREHOLDERS
DIRECTED TO SEPARATELY PUT TO VOTE BY HOTEL LEELA VENTURES LTD. BEFORE ITS SHAREHOLDERS ADDITIONAL IP TRANSACTION CONCERNING ‘RELATED PARTY TRANSACTION’ INVOLVING TRANSFER OF JAMAVAR’ TRADEMARK
DIRECTED PROMOTERS/PROMOTER GROUP OF HOTEL LEELA VENTURES LTD. NOT TO PARTICIPATE IN AFOREMENTIONED VOTING PROCESS
DIRECTED TO MAKE ALL MATERIAL DISCLOSURES INCLUDING LITIGATION RELATING TO CLAIM OF AAI WITH RESPECT TO HOTEL LEELA VENTURES LTD., MUMBAI IN POSTAL BALLOT NOTICE AND IN FINANCIAL STATEMENTS IN ANNUAL REPORT
23-JUL-2019
|
SAT: SAT VIDE ITS ORDER DATED 24/09/2021 REJECTED THE APPLICATION FOR CORRECTION OF ALLEGED CLERICAL ERROR, ETC.
|
| 6 |
|
|
MIDFIELD INDUSTRIES LTD.
(CIN:U27109AP1990PLC011353
PAN:AAACM9490M)
|
|
|
|
ASHOK KUMAR KOLLA
|
|
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KANNURI NAUDI RAJESH
|
|
|
MADHUMOHAN REDDY MARAMREDDY
PAN:ACIPM3240J
|
|
|
RAJARAJU KOTHAPALLI
DIN:01228222
|
|
|
SRIDHAR REDDY GADDAM
|
|
|
URITI SRIKANTH
DIN:02421186
|
|
VIOLATED SECTION 207 OF COMPANIES ACT, 1956
VIOLATED SECTION 127 OF COMPANIES ACT, 2013
VIOLATED SECTION 24 (1) OF SEBI ACT, 1992
VIOLATED SECTION 24 (2) OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-DEC-2016
|
|
| 7 |
|
|
VENMAX DRUGS & PHARMACEUTICALS LTD.
(PAN:AAACY1073C)
|
|
|
|
A.VENKATESWARLU
PAN:BKEPA5210K
|
|
|
N.V.NARENDER
PAN:ABCPN2615D
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A (A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VENMAX DRUGS & PHARMACEUTICALS LTD.
DID NOT OBTAIN NECESSARY APPROVAL FOR MATERIAL RELATED PARTY TRANSACTIONS FROM ITS SHAREHOLDERS VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT COMPLY WITH THE DISCLOSURE REQUIREMENTS OF AS 18/ IND AS 24 VIOLATING REGULATIONS 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
DID NOT MAINTAIN FUNCTIONAL WEBSITE CONTAINING BASIC INFORMATION ABOUT THE COMPANY VIOLATING REGULATION 46(1) (ERSTWHILE CLAUSE 54) OF SEBI (LODR) REGULATIONS, 2015
DID NOT APPOINT QUALIFIED COMPANY SECRETARY VIOLATING SECTION 203(1)(II) OF COMPANIES ACT, 2013
|
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 14-JUL-2021 TO 13-JUL-2022
14-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/01/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/03/2022ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 8 |
|
|
VENMAX DRUGS & PHARMACEUTICALS LTD.
(PAN:AAACY1073C)
|
|
|
|
A.RAMAKRISHNAIAH
PAN:AHKPA5243Q
|
|
|
A.VENKATESWARLU
PAN:BKEPA5210K
|
|
|
G.S.V.DIVYA JYOTHI
PAN:BQSPG9204P
|
|
|
N.KRISHNANIAH
PAN:AYPPN3755J
|
|
|
N.V.NARENDER
PAN:ABCPN2615D
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A (A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VENMAX DRUGS & PHARMACEUTICALS LTD.
DID NOT OBTAIN NECESSARY APPROVAL FOR MATERIAL RELATED PARTY TRANSACTIONS FROM ITS SHAREHOLDERS VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015
DID NOT COMPLY WITH THE DISCLOSURE REQUIREMENTS OF AS 18/ IND AS 24 VIOLATING REGULATIONS 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015
DID NOT APPOINT QUALIFIED AND EXPERIENCE COMPLIANCE OFFICER AND/OR COMPANY SECRETARY
DID NOT MAINTAIN FUNCTIONAL WEBSITE CONTAINING BASIC INFORMATION ABOUT THE COMPANY VIOLATING REGULATION 46(1) (ERSTWHILE CLAUSE 54) OF SEBI (LODR) REGULATIONS, 2015
DID NOT APPOINT QUALIFIED COMPANY SECRETARY VIOLATING SECTION 203(1)(II) OF COMPANIES ACT, 2013
|
IMPOSED PENALTY RS.10,00,000
14-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/01/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/03/2022ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
