| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
BABANRAOJI SHINDE SUGAR & ALLIED INDUSTRIES LTD.
(CIN:U15420PN2011PLC138268
PAN:AACCI5569F)
|
|
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MOBILIZED RS.42.99 CRORE THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) BY WAY OF PRIVATE PLACEMENT TO 7,278 INVESTORS VIOLATING REGULATIONS 4(2)(A) TO 4(2)(D), 4(5), 5, 6, 7, 8, 9, 13, 15, 16, 16(B)(1) AND 22 OF SEBI (NCRPS) REGULATIONS, 2013
|
IMPOSED PENALTY RS.5,00,000
08-DEC-2022
|
|
| 2 |
|
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BASIL INTERNATIONAL LTD.
(PAN:AACCB0938K)
|
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BIPLAB TALUKDAR
PAN:AEQPT3738N
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JAYANTA KUMAR BASU
DIN:02827066
PAN:AKSPB8412H
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MOHAMMED AFAQUE AHMAD
DIN:05110815
PAN:AJCPA6064F
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MONAMI BASU
PAN:ADPKB3250C
|
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NIRMALENDU BHOWMIK
PAN:ASFPB6456J
|
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PINTU ROY
DIN:06395752
|
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SANTANU CHAKRABORTY
DIN:02403146
|
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SUSANTA KUMAR JANA
PAN:AGJPJ1097K
|
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SUSANTO CHATTERJEE
PAN:ADNPC9257F
|
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VIVEK KUMAR
DIN:03524074
PAN:ADNPK9149E
|
|
MOBILIZED RS.9.35 CRORE FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 5,180 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(1) TO 67(3) AND 73(1) TO 73(3) OF COMPANIES ACT, 1956
MOBILIZED RS.9.35 CRORE FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 5,180 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
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 29-FEB-2024 TO 28-FEB-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-FEB-2024 TO 28-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-FEB-2024 TO 28-FEB-2025
29-FEB-2024
|
SEBI VIDE ITS NOTICE DATED 15/04/2025 DIRECTED TO PAY RS.9,35,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 3 |
|
|
CHEMMANUR GOLD PALACE INTERNATIONAL LTD.
(CIN:U36911KL2007PLC020604
PAN:AADCC4861D)
|
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|
MOBILIZED FUNDS OF RS.288.28 CRORE FROM PUBLIC THROUGH ISSUANCE OF 28,82,828 PARTICIPATING PREFERENCE SHARES (PPS) BY WAY OF PRIVATE PLACEMENT TO 5,323 INVESTORS VIOLATING SECTIONS 56, 60, 64 AND 73 OF THE COMPANIES ACT, 1956 READ WITH SECTION 465 OF THE COMPANIES ACT, 2013
RAISED FUNDS THROUGH ISSUANCE OF PARTICIPATING PREFERENCE SHARES (PPS) WITHOUT MAKING APPLICATION FOR LISTING OF SECURITIES NOR OBTAINED IN-PRINCIPLE APPROVAL FOR LISTING OF SECURITIES, DID NOT OBTAIN CREDIT RATING NOR APPOINTED MERCHANT BANKER, DID NOT DISCLOSE REQUIREMENT IN OFFER DOCUMENT NOR FILED DRAFT OFFER DOCUMENT WITH STOCK EXCHANGES, DID NOT ADVERTISE FOR PUBLIC ISSUES NOR DISCLOSE IN ABRIDGED PROSPECTUS & APPLICATION FORMS AND DID NOT APPLY FOR LISTING OF SECURITIES POST ISSUANCE VIOLATING REGULATIONS 4(2)(A) TO 4(2)(C), 4(5), 5, 6, 8, 9 AND 16 OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
|
IMPOSED PENALTY RS.25,00,000
30-APR-2021
|
|
| 4 |
|
|
INDRESHWAR SUGAR MILLS LTD.
(PAN:AACCI2876F)
|
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|
MOBILIZED RS.14.04 CRORE THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) BY WAY OF PRIVATE PLACEMENT TO 10,924 INVESTORS VIOLATING REGULATIONS 4(2)(A) TO 4(2)(D), 4(5), 5 TO 9, 13, 15, 16, 16B(1) AND 22 OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
|
IMPOSED PENALTY RS.5,00,000
28-OCT-2022
|
|
| 5 |
|
|
INDUS WEIR INDUSTRIES LTD.
(PAN:AACCI4265N
CIN:U15410DL2010PLC207057)
|
|
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ANIL KUMAR TRIVEDI
DIN:03116758
|
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ANURESH
DIN:03115467
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MAZHARUL QUADRI
DIN:03128046
|
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PARAS NATH SHARMA
DIN:03142304
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PARTHSARTHI ADHIKARI
DIN:03128071
PAN:AHPPA3304H
|
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PRINCE RANA
PAN:AQXPR2438L
DIN:02694162
|
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RASHEED QUAMAR
DIN:03116801
|
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SHYAM SUNDER SETH
DIN:03129540
|
|
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING SECTIONS 67(3), 73(2), 73(3), 56(1), 56(3) AND 60 READ WITH SECTION 2(36) OF THE COMPANIES ACT, 1956
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
DID NOT MAKE APPLICATION FOR LISTING UNDER SECTION 73(1) OF COMPANIES ACT, 1956
DID NOT PROVIDE CORRECT STATUS OF REFUND DONE TO INVESTORS
|
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 08-MAY-2024 TO 07-MAY-2027
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAY-2024 TO 07-MAY-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL RPS OR ANY OTHER SECURITIES ISSUED BY COMPANY AFTER 31/07/2013
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL REFUNDS MADE TO INVESTORS IN RESPECT OF OFFER AND ALLOTMENT OF RPS
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 08-MAY-2024 TO 07-MAY-2027
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED TO PROVIDE CERTIFICATE FROM CHARTERED ACCOUNTANT IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
25-MAY-2023
|
SEBI VIDE ITS ORDER DATED 08/05/2024 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF RPS WITH INTEREST @ 8% P.A. FROM DATE OF RECEIPT OF MONEY TILL DATE OF REFUND THROUGH BANK DEMAND DRAFT OR PAY ORDER B) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND C) RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR THREE YEARS OR TILL DATE OF REFUND OF MONEY TO ALLOTTEES D) RESTRAINED FROM DIRECTLY OR INDIRECTLY, ACCESSING CAPITAL MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC FOR THREE YEARS OR TILL DATE OF REFUND OF MONEY TO ALLOTTEES E) DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL FORM AND DEMAT FORM WITHIN A PERIOD OF FIFTEEN DAYS FROM DATE OF THIS ORDER F) PERMITTED TO SELL ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM OF THE COMPANY FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK G) FILE REPORT OF SUCH COMPLETION WITH SEBI DULY CERTIFIED FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION H) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS TO REMAIN FROZEN
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| 6 |
|
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INDUS WEIR INDUSTRIES LTD.
(PAN:AACCI4265N
CIN:U15410DL2010PLC207057)
|
|
|
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BALCHAND CHAURASIYA
PAN:AEFPC8555B
DIN:03129523
|
|
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RATNESH KUMAR PANDEY
DIN:03612113
|
|
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING SECTIONS 67(3), 73(2), 73(3), 56(1), 56(3) AND 60 READ WITH SECTION 2(36) OF THE COMPANIES ACT, 1956
MOBILIZED FUNDS OF RS.33.40 CRORE THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 32,454 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
DID NOT MAKE APPLICATION FOR LISTING UNDER SECTION 73(1) OF COMPANIES ACT, 1956
DID NOT PROVIDE CORRECT STATUS OF REFUND DONE TO INVESTORS
|
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 25-MAY-2023 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2023 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2023 TILL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 25-MAY-2023 TILL FURTHER ORDERS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 25-MAY-2023 TILL FURTHER ORDERS
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL RPS OR ANY OTHER SECURITIES ISSUED BY COMPANY AFTER 31/07/2013
DIRECTED TO PROVIDE COMPLETE DETAILS OF ALL REFUNDS MADE TO INVESTORS IN RESPECT OF OFFER AND ALLOTMENT OF RPS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO PROVIDE CERTIFICATE FROM CHARTERED ACCOUNTANT IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
25-MAY-2023
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| 7 |
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INDUS WEIR INDUSTRIES LTD.
(PAN:AACCI4265N
CIN:U15410DL2010PLC207057)
|
|
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RAISED MONEY THROUGH ISSUANCE OF RPS WITHOUT MAKING APPLICATION TO STOCK EXCHANGES FOR LISTING NOR OBTAINED IN-PRINCIPLE APPROVAL FOR LISTING OF NON-CONVERTIBLE RPS, DID NOT OBTAIN CREDIT RATING NOR DISCLOSED IN OFFER DOCUMENT, NOR ENTER INTO ARRANGEMENT WITH DEPOSITORY VIOLATING REGULATION 4(2) OF ISSUE AND LISTING REGULATIONS, 2013
|
IMPOSED PENALTY RS.50,00,000
15-JAN-2018
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2019 ALLOWED THE APPEAL IN PARTLY BY REDUCING PENALTY AMOUNT TO RS.50 LACS FROM RS.1.0 CRORE AND DIRECTED APPELLANT TO PAY RS 50 LACS TO SEBI WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 20/02/2019 DISPOSED OFF MISC. APPLICATION AND DIRECTED APPELLANT TO PAY PENALTY OF RS.50 LACS WITHIN FOUR WEEKS
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| 8 |
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JAGRUTI SUGAR & ALLIED INDUSTRIES LTD.
(PAN:AACCJ2421P)
|
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MOBILIZED RS.2.59 CRORE THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) BY WAY OF PRIVATE PLACEMENT TO 1,034 INVESTORS VIOLATING REGULATIONS 4(2)(A) TO 4(2)(D), 5 TO 9, 13, 15, 16, 16B(1) AND 22 OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
|
IMPOSED PENALTY RS.7,00,000
24-JAN-2022
|
|
| 9 |
|
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SHREENATH MHASKOBA SAKHAR KARKHANA LTD.
(PAN:AAHCS3018G)
|
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MOBILIZED RS.7.46 CRORE THROUGH ISSUANCE OF NON-CONVERTIBLE REDEEMABLE PREFERENCE SHARES (NCRPS) BY WAY OF PRIVATE PLACEMENT TO 3,433 INVESTORS VIOLATING REGULATIONS 4(2)(A) TO 4(2)(D), 5 TO 9, 13, 15, 16, 16B(1) AND 22 OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
|
IMPOSED PENALTY RS.7,00,000
23-MAR-2022
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
