| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANIK SHIP BREAKING INDUSTRIES LTD.
|
|
|
|
A.B.LAKHANI
|
|
|
C.P.BHUTA
|
|
|
I.B.LAKHANI
|
|
|
P.P.BHUTA
|
|
|
R.K.IRANI
|
|
VIOLATED SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
VIOLATED SECTION 11 OF SEBI ACT, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 2 |
|
|
ARAVALI HOUSING & FINANCE PVT.LTD.
|
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 3 |
|
|
BHAGYASHREE LEASING & FINANCE LTD.
(PAN:AAACB4719L
CIN:L65910PN1994PLC138655)
|
|
|
ALLEGED FAILURE IN MAKING CORRECT DISCLOSURE OF EQUITY SHARES ISSUED ON PREFERENTIAL BASIS VIOLATING CLAUSE 13.4.2 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2009
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING PATTERN IN PRE AND POST PREFERENTIAL ISSUE VIOLATING CLAUSE 13.1A (III) (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,65,000 VIDE CONSENT ORDER)
06-NOV-2017
|
|
| 4 |
|
|
BRD SECURITIES LTD.
(PAN:AAACB9980B)
|
|
|
MOBILIZED RS.9.75 CRORE FROM PUBLIC THROUGH ISSUANCE OF 97,53,318 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 3,534 INVESTORS VIOLATING SECTIONS 56(1), 56(3) 60(1) AND 73(1) TO 73(3) READ WITH 67 OF THE COMPANIES ACT, 1956 IN MATTER OF BRD SECURITIES LTD.
MOBILIZED RS.9.75 CRORE FROM PUBLIC THROUGH ISSUANCE OF 97,53,318 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 3,534 INVESTORS VIOLATING CLAUSES 2.1.4, 2.1.5, 5.3.1, 2.1.1, 5.6.2, 2.2, 4.14.11, 4.14, 8.8.1, 5.6A, 8.6.1, 6.0 TO 6.33 AND 5.12 OF SEBI (DIP) GUIDELINES, 2000
MOBILIZED RS.9.75 CRORE FROM PUBLIC THROUGH ISSUANCE OF 97,53,318 EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 3,534 INVESTORS VIOLATING REGULATIONS 4(2)(D), 4(2)(E), 5(1), (2), (5) & (7), 6(1), 7, 26(1), (2) & (6) 32(1), 36, 37, 46(1), 47(1), 49(1), 57(1), 58(1) & (2) AND 63 OF SEBI (ICDR) REGULATIONS 2009 READ WITH SEBI (ICDR) REGULATIONS, 2018
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ALLOTMENT OF SHARES ALONGWITH INTEREST @15% PER ANNUM FROM DATE OF RECEIPT OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ISSUING ANY FURTHER SECURITIES AND FROM ACCESSING SECURITIES MARKET
25-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 20/07/2021 DISPOSED OFF URGENCY APPLICATION. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 30/09/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
|
| 5 |
|
|
CAPITAL SMALL FINANCE BANK LTD.
(PAN:AABCC3632Q)
|
|
|
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
|
|
| 6 |
|
|
DLF LTD.
(PAN:AAACD3494N)
|
|
|
|
G.S.TALWAR
PAN:AEYPT8609L
|
|
|
K.P.SINGH
PAN:ABIPS6464P
|
|
|
KAMESHWAR SWARUP
PAN:ABQPS1072H
|
|
|
PIA SINGH
PAN:AAAPS6436J
|
|
|
RAJIV SINGH
PAN:ABIPS6665G
|
|
|
RAMESH SANKA
PAN:ABAPS1340L
|
|
|
T.C.GOYAL
PAN:AAGPG8173N
|
|
DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATION/FIR AGAINST SUBSIDIARIES IN OFFER DOCUMENTS (RED HEARING PROSPECTUS (RHP) AND PROSPECTUS) IN MATTER OF IPO OF DLF LTD.
|
IMPOSED PENALTY RS.26,00,00,000
26-FEB-2015
|
|
| 7 |
|
|
DLF LTD.
(PAN:AAACD3494N)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF FIR AGAINST ITS GROUP COMPANY SUDIPTI ESTATES PVT.LTD.FOR TRANSACTION OF RS.34 CRORE IN ITS DRAFT RED HEARING PROSPECTUS (DRHP) DATED 02/01/2007
|
ORDERED FOR INVESTIGATION
20-OCT-2011
|
|
| 8 |
|
|
DLF LTD.
(PAN:AAACD3494N)
|
|
|
|
K.P.SINGH
PAN:ABIPS6464P
|
|
|
KAMESHWAR SWARUP
PAN:ABQPS1072H
|
|
|
PIA SINGH
PAN:AAAPS6436J
|
|
|
RAJIV SINGH
PAN:ABIPS6665G
|
|
|
RAMESH SANKA
PAN:ABAPS1340L
|
|
|
T.C.GOYAL
PAN:AAGPG8173N
|
|
DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATION/FIR AGAINST SUBSIDIARIES IN OFFER DOCUMENTS (RED HEARING PROSPECTUS (RHP) AND PROSPECTUS) IN MATTER OF IPO OF DLF LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2014 TO 09-OCT-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2014 TO 09-OCT-2017
10-OCT-2014
|
SAT: APPEAL REJECTED
SAT: SAT VIDE ITS ORDER DATED 13/03/2015 QUASHED AND SET ASIDED IMUGNED ORDER DATED 10/10/2014 WITH NO ORDER AS TO COSTS. IN VIEW OF THE CONFLICTING VIEWS IN THE MATTER, OPERATION OF THE ORDER PASSED BY TRIBUNAL STAYED FOR A PERIOD OF FOUR WEEKS
|
| 9 |
|
|
EN AROMATIC & PETROCHEMICALS LTD.
(CIN:U51311DL1996PLC083297
PAN:AAACV4431F)
|
|
|
MOBILSED RS.61.50 CRORE (APPROX) THROUGH ISSUANCE OF RCPS TO 89005 INVESTORS VIOLATING SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 READ WITH ICDR REGULATIONS, 2009
|
IMPOSED PENALTY RS.1,00,00,000
17-MAY-2019
|
SEBI VIDE ITS NOTICE DATED 17/06/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
SEBI VIDE ITS ORDER DATED 23/06/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF EN AROMATIC & PETRO CHEMICALS LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 10 |
|
|
HIRA FERRO ALLOYS LTD.
|
|
|
ALLEGED FAILURE IN MAKING ALLOTMENT OF 78,35,400 BONUS SHARES WITHIN SIX MONTHS FROM DATE OF APPROVAL OF BOARD OF DIRECTORS ON ACCOUNT OF NON RECEIPT OF IN-PRINCIPAL APPROVAL FOR LISTING FROM MPSE AND DSE VIOLATING CLAUSE 15.1.7 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
06-OCT-2010
|
|
| 11 |
|
|
ICORE-E-SERVICES LTD.
(CIN:U72400WB2007PLC115309)
|
|
|
|
AMAL BHATTACHARYA
PAN:AKDPB6648N
|
|
|
ANUKUL MAITI
DIN:01884307
PAN:AOMPM9182R
|
|
|
CHANDAN DEY
|
|
|
KANIKA MAITI
DIN:02029931
PAN:AOTPM3722N
|
|
|
MAHADEB SEN
DIN:01396620
|
|
|
RADHASHYAM GIRI
PAN:ARJPG7051P
|
|
|
SARAL RANJAN GUPTA
PAN:AMAPS4265M
|
|
|
SWAPAN KUMAR ROY
DIN:02621357
PAN:ANVPR7210H
|
|
|
TAPAN KUMAR CHARTERJEE
PAN:AGVPC6440K
|
|
MOBILIZED RS.54.75 CRORES FROM PUBLIC THROUGH ISSUANCE OF EQUITY SHARES BY WAY OF PRIVATE PLACEMENT TO 5,239 INVESTORS VIOLATING SECTIONS 60 READ WITH 2(36), 56(1), 56(3) AND 73 OF COMPANIES ACT, 1956 IN MATTER OF ICORE-E-SERVICES LTD.
VIOLATED SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT ADHERE TO ICDR DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2009
|
RESTRAINED FROM MOBILIZING FUNDS FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 11-DEC-2017 TO 10-DEC-2021
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 11-DEC-2017 TO 10-DEC-2021
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-DEC-2017 TO 10-DEC-2021
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-DEC-2017 TO 10-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED TO SUBMIT INFORMATION/DOCUMENTS AS PER SEBI LETTER DATED 05/11/2012 & 20/12/2012, AUDITED BALANCE SHEETS FOR THE PERIOD 2009-2010 TO 2013-2014, INFORMATION ABOUT AMOUNT RAISED AND RECONCILIATION OF RS.5.50 CRORE
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-DEC-2017 TO 10-DEC-2021
25-JUL-2014
|
SEBI VIDE ITS ORDER DATED 05/03/2015 CONFIRMED ALL THE DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 25/07/2014 AND DIRECTED NOTICEES TO PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF THEIR ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECRUTIES, IF HELD IN PHYSICAL FORM
SEBI VIDE ITS ORDER DATED 11/12/2017 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF EQUITY SHARES WITH INTEREST @ 15% P.A. FROM WITHIN A PERIOD OF 90 DAYS FROM THE DATE OF RECEIPT OF THIS ORDER THROUGH BANK DEMAND DRAFT OR ELECTRONIC MODE OF TRANSFER B) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT CHARTERED ACCOUNTANTS AFTER PROPER VERIFICATION 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 RESTRAINED FROM ASSOCIATING THEMSELVES, WITH ANY LISTED PUBLIC COMPANY OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS TO INVESTORS
|
| 12 |
|
|
IQMS SOFTWARE LTD.
|
|
|
|
G.VENKATARAMANA
|
|
|
GUMMADI SRINIVAS
|
|
|
J.SATYA SURYANARAYANA
|
|
|
K.J.V.NAGESWAR
|
|
|
K.V.N.VIJAYA SIMHA
|
|
|
K.VIJAYA KUMAR
|
|
|
KAMINENI SHRIDHAR
|
|
|
M.GOPALA KRISHNA CHOWDARY
|
|
|
RAMA RAJU V.INDUKURI
|
|
|
T.SIVARAMPRASAD
|
|
|
UMA MAHESHWAR RAO KONERU
|
|
|
VEMULPALLI PRASAD
|
|
INDULGED IN USING COMPANY’S FUNDS TO GET PUBLIC ISSUE SUBSCRIBED VIOLATING CLAUSE 8.6.2 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF IQMS SOFTWARE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-JAN-2016 TO 14-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-JAN-2016 TO 14-JAN-2019
15-JAN-2016
|
|
| 13 |
|
|
JASRANI EQUFIN PVT.LTD.
|
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 14 |
|
|
JAYWANT SUGARS LTD.
(PAN:AABCJ6812D)
|
|
|
MOBILIZED RS.10.78 CRORE THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) BY WAY OF PRIVATE PLACEMENT TO 7,351 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60, 67(3) AND 73 OF THE COMPANIES ACT, 1956
MOBILIZED RS.10.78 CRORE THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) BY WAY OF PRIVATE PLACEMENT TO 7,351 INVESTORS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.1.5, 2.8, 4.1, 4.11, 4.14, 5.3.1, 5.3.3, 5.3.5, 5.3.6, 5.4, 5.6, 5.6A, 5.7, 5.8, 5.9, 5.9.1, 5.10, 5.12.1, 5.13, 6.0, 6.1 TO 6.15, 6.16 TO 6.34, 8.3, 8.8.1, 9, 10.1 AND 10.5 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
IMPOSED PENALTY RS.5,00,000
29-AUG-2022
|
|
| 15 |
|
|
JUGNU SECURITIES PVT.LTD.
|
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 16 |
|
|
KALBADEVI FINANCE PVT.LTD.
(PAN:AAACB4200F)
|
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 17 |
|
|
KWALITY DAIRY (INDIA) LTD.
(PAN:AABCK1289R)
|
|
|
ALLEGED CONVERSION OF 5,00,000 SHARES ALLOTTED TO PROMOTERS UNDER PREFERENTIAL ALLOTMMENT INTO EQUITY SHARES VIOLATING CLAUSES 13.1A AND 13.1.2.2 UNDER SEBI (DISCLOSURES & INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,00,000 VIDE CONSENT ORDER)
30-OCT-2012
|
|
| 18 |
|
|
MALABAR INSTITUTE OF MEDICAL SCIENCES LTD.
|
|
|
ALLEGED NON COMPLIANCE WITH REQUIREMENTS OF LISTING AND FILING OF PROSPECTUS VIOLATING CLAUSES 2.1.1, 2.1.4, 2.1.5, 2.2, 4.11, 4.14, 5.3.1, 5.6A, 5.6.2, 6 TO 6.33 AND 8.8.1 OF SEBI (DIP) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.36,97,500 VIDE CONSENT ORDER)
23-SEP-2019
|
|
| 19 |
|
|
MANORAMA TRADING LTD.
|
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| 20 |
|
|
MASTERMIND MERCANTILE CO-OP.LTD.
|
|
|
|
RAJKUMAR CHAINRAI BASANTANI
PAN:AESPB2834F
|
|
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD
ISSUED MISLEADING ANNOUNCEMENT OF BONUS ISSUE OF SHARES AND OFF-LOADED HOLDINGS VIOLATING CLAUSE 15.1.6 OF SEBI (DISCLOSURE AND INVESTOR PROTECTION) DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2000 IN MATTER OF SOUNDCRAFT INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2009 TO 15-OCT-2010
16-OCT-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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