| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ACTIVE DEBENTURE TRUST
|
|
|
|
ABHINASH KUMAR JHA
|
|
|
JAGDISH KUMAR SINGH
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 04-JAN-2018 TO 03-JAN-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-JAN-2018 TO 03-JAN-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JAN-2018 TO 03-JAN-2022
25-JUN-2015
|
SEBI VIDE ITS ORDER DATED 04/01/2018 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 2 |
|
|
ADAMANT DEBENTURE TRUST
|
|
|
|
SUSHMITA SINHA
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 11-FEB-2015 TO 10-FEB-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-FEB-2015 TO 10-FEB-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-FEB-2015 TO 10-FEB-2019
11-FEB-2015
|
SEBI VIDE ITS ORDER DATED 03/10/2016 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS
|
| 3 |
|
|
AMBITIOUS DIVERSIFIED TRUST
|
|
|
|
SRIPARNA GUPTA
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 13-NOV-2017 TO 12-NOV-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-NOV-2017 TO 12-NOV-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-NOV-2017 TO 12-NOV-2019
15-FEB-2016
|
SEBI VIDE ITS ORDER DATED 13/11/2017 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 4 |
|
|
ANGEL ECONOMIC DEBENTURE TRUST
|
|
|
|
SUCCHHANDA GHOSH
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 29-SEP-2017 TO 28-SEP-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-SEP-2017 TO 28-SEP-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-SEP-2017 TO 28-SEP-2021
29-JUN-2015
|
SEBI VIDE ITS ORDER DATED 29/09/2017 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 5 |
|
|
ASOKA LIFE SCIENCE LTD.
(CIN:U24239WB2006PLC107733
PAN:AAFCA5687H)
|
|
|
|
DILIP MUKHERJEE
|
|
|
SOUMEN CHATTERJEE
PAN:ALGPC9635C
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 19-JUN-2018 TO 18-JUN-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUN-2018 TO 18-JUN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2018 TO 18-JUN-2019
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 19-JUN-2018 TO 18-JUN-2019
11-MAR-2015
|
SEBI VIDE ITS ORDER DATED 17/03/2015 DIRECTED 1) INSPECTORS GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES, CONCERNED TAHASILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES, IF PRESENTED FOR REGISTRATION AND 2) ALL THE BANKS/ DEPOSITORIES/MUTUAL FUNDS TO ATTACH ALL THE ACCOUNTS AND SUBMIT THE STATEMENT FOR THE LAST ONE YEAR
SEBI VIDE ITS ORDER DATED 19/06/2018 DIRECTED TO A) JOINTLY AND SEVERALLY REFUND THE MONEY COLLECTED THROUGH OFFER AND ALLOTMENT OF RPS AND NCDS WITH INTEREST @ 15% P.A. WITHIN A PERIOD OF 90 DAYS FROM THE DATE OF RECEIPT OF THIS ORDER THROUGH BANKING CHANNEL SUCH AS DEMAND DRAFT OR ELECTRONIC MODE OF TRANSFER B) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT CHARTERED ACCOUNTANTS AFTER PROPER VERIFICATION OF THE DETAILS OF ALL SUCH REFUNDS ACTUALLY BEEN MADE C) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY AND FURTHER RESTRAINED FROM ASSOCIATING THEMSELVES, WITH ANY LISTED PUBLIC COMPANY OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 6 |
|
|
ASPEN DEBENTURE TRUST
|
|
|
|
RAJU SARKAR
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 06-JUL-2017 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-JUL-2017 UNTIL FURTHER ORDERS
06-JUL-2017
|
SEBI VIDE ITS NOTICE DATED 03/12/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
|
| 7 |
|
|
ASPEN DEBENTURE TRUST
|
|
|
|
RAJU SARKAR
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 10-OCT-2017 TO 09-OCT-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2017 TO 09-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2017 TO 09-OCT-2021
15-JUL-2015
|
SEBI VIDE ITS ORDER DATED 10/10/2017 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 8 |
|
|
ATM SECURE DEBENTURE TRUST
|
|
|
|
AMIT SAMANTA
|
|
|
JAGADISH CHANDRA NAG
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 02-MAY-2016 TO 01-MAY-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-MAY-2016 TO 01-MAY-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-MAY-2016 TO 01-MAY-2020
12-FEB-2015
|
SEBI VIDE ITS ORDER DATED 02/05/2016 DIRECTED NOT TO OFFER THEMSELVES TO BE ENGAGED AS DEBENTURE TRUSTEE OR IN ANY CAPACITY AS AN INTERMEDIARY IN SECURITIES MARKET, WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION TO UNDERTAKE ASSIGNMENT AS REQUIRED UNDER LAW. FURTHER RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| 9 |
|
|
ATM SECURED DEVENTURE DEVELOPMENT TRUST
|
|
|
|
ARGHYA SENGUPTA
|
|
|
JAGADISH CHANDRA NAG
|
|
|
RAM SUNDER BHATTACHARYA
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 29-APR-2016 TO 28-APR-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-APR-2016 TO 28-APR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-APR-2016 TO 28-APR-2020
12-FEB-2015
|
SEBI VIDE ITS ORDER DATED 29/04/2016 DIRECTED NOT TO OFFER THEMSELVES TO BE ENGAGED AS DEBENTURE TRUSTEE OR IN ANY CAPACITY AS AN INTERMEDIARY IN SECURITIES MARKET, WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION TO UNDERTAKE ASSIGNMENT AS REQUIRED UNDER LAW. FURTHER RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| 10 |
|
|
BEACON TRUSTEESHIP LTD.
(PAN:AAGCB5444C)
|
|
|
DID NOT TAKE PRIOR APPROVAL FROM STOCK EXCHANGES IN RESPECT OF RESTRUCTURING OF NCDS VIOLATING REGULATION 59(1) OF SEBI (LODR) REGULATIONS, 2015
DID NOT EXERCISE DUE DILIGENCE WITH RESPECT TO RESTRUCTURING OF NCDS OF AZEEM INFINITE DWELLING INDIAPVT.LTD. VIOLATING REGULATION 59 OF SEBI (LODR) REGULATIONS, 2015
DID NOT INFORM CREDIT RATING AGENCY ABOUT DEFAULT IN INTEREST PAYMENT DUE
DID NOT INTIMATE SEBI ABOUT INFORMATION ON NON-RECEIPT/DISCLOSURE OF INFORMATION ON PAYMENT
|
IMPOSED PENALTY RS.3,00,000
27-MAR-2024
|
|
| 11 |
|
|
BHABISWAJYOTI DEBENTURE TRUST
|
|
|
|
SANJOY CHAUDHURI
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 10-APR-2019 TO 09-APR-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-APR-2019 TO 09-APR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-APR-2019 TO 09-APR-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
17-JUN-2015
|
SEBI VIDE ITS ORDER DATED 10/04/2019 DIRECTED TO RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING,SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER. DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN
|
| 12 |
|
|
BHARAT KRISHI SECURED DEBENTURE DEVELOPMENT TRUST
|
|
|
|
AMIT SAMANTA
|
|
|
JAGDISH CHANDRA NAG
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 09-OCT-2015 TO 08-OCT-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-OCT-2015 TO 08-OCT-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-OCT-2015 TO 08-OCT-2019
05-SEP-2014
|
SEBI VIDE ITS ORDER DATED 09/10/2015 RESTRAINED FROM ACTING AS ANY INTERMEDIARY, ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF 4 YEARS
|
| 13 |
|
|
BHARAT KRISHI SECURED DEBENTURE TRUST
|
|
|
|
SWADESH BANERJEE
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 09-OCT-2015 TO 08-OCT-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-OCT-2015 TO 08-OCT-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-OCT-2015 TO 08-OCT-2019
05-SEP-2014
|
SEBI VIDE ITS ORDER DATED 09/10/2015 RESTRAINED FROM ACTING AS ANY INTERMEDIARY, ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF 4 YEARS
|
| 14 |
|
|
BISHAL ABASAN DEBENTURE TRUST
|
|
|
|
TAPAS DAS
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 16-MAY-2016 TO 15-MAY-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-MAY-2016 TO 15-MAY-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-MAY-2016 TO 15-MAY-2020
06-MAY-2015
|
SEBI VIDE ITS ORDER DATED 16/05/2016 RESTRAINED FROM ACTING AS AN INTERMEDIARY, ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF 4 YERAS
|
| 15 |
|
|
BITTU ABRAHAM & ASSOCIATES
(Along with : KERALA HOUSING FINANCE LTD.)
|
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 10-AUG-2017 TO 09-AUG-2018
20-NOV-2015
|
SEBI VIDE ITS ORDER DATED 14/08/2017 DIRECTED NOT TO ACT AS DEBENTURE TRUSTEE IN RESPECT OF DEBENTURES OF KERALA HOUSING FINANCE LTD. AND SHALL NOT TAKE UP ANY NEW ASSIGNMENT OR INVOLVEMENT IN ANY NEW ISSUE OF SECURITIES IN A SIMILAR CAPACITY, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER
|
| 16 |
|
|
BSP INFRASTRUCTURE & CONSTRUCTION LTD.
(CIN:U45400WB2010PLC144665
DIN:00144665
PAN:AAECB0693B)
|
|
|
|
SUSHANTA NANDY
DIN:06806136
PAN:AGKPN7436P
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-OCT-2020 TO 26-OCT-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-OCT-2020 TO 26-OCT-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 27-OCT-2020 TO 26-OCT-2023
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC EITHER THROUGH OFFER AND ALLOTMENTS OF PREFERENCE SHARES AND/OR ALLOTMENT OF DEBENTURES
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 27-OCT-2020 TO 26-OCT-2023
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 27-OCT-2020 TO 26-OCT-2023
12-SEP-2018
|
SAT: SAT VIDE ITS ORDER DATED 05/03/2020 CONDONED DELAY IN FILING OF APPEAL AND DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 27/10/2020 DIRECTED TO A) JOINTLY AND SEVERALLY, REFUND THE MONEY COLLECTED THROUGH SECURED REDEEMABLE DEBENTURES, WITH INTEREST @ 15% P.A. TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK C) PREVENTED FROM SELLING THEIR ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED AND DEPOSIT THE PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING MODALITIES FOR REFUND E) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION THEIR F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 17 |
|
|
CELL DEBENTURE TRUST
|
|
|
|
ABDUL BASAD MOLLA
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 04-OCT-2017 TO 03-OCT-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2017 TO 03-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2017 TO 03-OCT-2021
17-JUN-2015
|
SEBI VIDE ITS ORDER DATED 04/10/2017 RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FOUR YEARS FROM DATE OF THIS ORDER
|
| 18 |
|
|
CEMENDIA DEBENTURE TRUST
|
|
|
|
APARAJITA DEY
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 29-MAY-2015 TO 28-MAY-2019
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-MAY-2015 TO 28-MAY-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-MAY-2015 TO 28-MAY-2019
29-MAY-2015
|
SEBI VIDE ITS ORDER DATED 01/11/2016 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS
|
| 19 |
|
|
CHAKRA DEBENTURE TRUST
|
|
|
|
SUNIL KUMAR SAHA
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 20-APR-2016 TO 19-APR-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-APR-2016 TO 19-APR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2016 TO 19-APR-2020
29-JAN-2015
|
SEBI VIDE ITS ORDER DATED 20/04/2016 RESTRAINED FROM ACTING AS AN INTERMEDIARY, ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YERAS
|
| 20 |
|
|
DEBENTURE TRUST SURAKSHA
|
|
|
|
BHABANI SHANKAR BISWAL
|
|
ACTED AS DEBENTURE TRUSTEE WITHOUT SEBI REGISTRATION
|
PROHIBITED FROM CONTINUING WITH THE PRESENT ASSIGNMENT AS DEBENTURE TRUSTEE
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT AS DEBENTURE TRUSTEE OR INVOLVEMENT IN ANY NEW ISSUE OF CAPITAL INCLUDING IPO, FOLLOW-ON ISSUE FROM 25-APR-2016 TO 24-APR-2020
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-APR-2016 TO 24-APR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-APR-2016 TO 24-APR-2020
04-DEC-2014
|
SEBI VIDE ITS ORDER DATED 25/04/2016 DIRECTED NOT TO OFFER THEMSELVES TO BE ENGAGED AS DEBENTURE TRUSTEES OR IN ANY CAPACITY AS AN INTERMEDIARY IN SECURITIES MARKET, WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION TO UNDERTAKE THAT ASSIGNMENT AS REQUIRED UNDER LAW. FURTHER, RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE FURTHER RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF 4 YEARS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 5
|
