| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
21ST CENTURY ENTERTAINMENT PVT.LTD.
(PAN:AAACZ1383L)
|
|
|
ACTED IN CONCERT WITH PROMOTERS OF THE BANK OF RAJASTHAN LTD.FOR THE PURPOSE OF ACQUISITION OF SHARES/VOTING RIGHTS INDIRECTLY FOR PROMOTERS FOR THE PURPOSE OF CONCEALMENT OF THEIR ACQUISITION OF SHARES VIOLATING SEBI TAKEOVER CODE, 1997
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-MAR-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-MAR-2010 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
08-MAR-2010
|
SEBI VIDE ITS ORDER DATED 26/03/2012 REVOKED THE DIRECTIONS ISSUED VIDE ITS ORDER DATED 08/03/2010
SEBI VIDE ITS ORDER DATED 24/10/2019 DISPOSED OFF THE PROCEEDINGS AGAINST WITHOUT ANY DIRECTIONS
|
| 2 |
|
|
21ST CENTURY ENTERTAINMENT PVT.LTD.
(PAN:AAACZ1383L)
|
|
|
INDULGED IN OFF-MARKET TRANSACTIONS IN SCRIP OF BANK OF RAJASTHAN LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF BANK OF RAJASTHAN LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BANK OF RAJASTHAN LTD.
|
IMPOSED PENALTY RS.15,00,000
14-FEB-2013
|
SAT: SAT VIDE ITS ORDER DATED 11/02/2014 UPHELD PENALTY IMPOSED UNDER SECTIONS 15HA AND 15A(B) AND SET ASIDE PENALTY IMPOSED UNDER SECTION 15 A(A) OF SEBI ACT.
INCLUDED IN SEBI LIST DATED 31/03/2014, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 3 |
|
|
A F ENTERPRISES LTD.
(PAN:AAACA0482D)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(4) AND 8(3) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.4,70,000
13-SEP-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 05/03/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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
|
| 4 |
|
|
A.J.PATEL (HUF)
(PAN:AAHHP4235R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GMM PFAUDLER LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GMM PFAUDLER LTD.
|
IMPOSED PENALTY RS.13,50,000 ALONG WITH OTHER ENTITIES/PERSONS
07-FEB-2020
|
|
| 5 |
|
|
A.J.PATEL (HUF)
(PAN:AAHHP4235R)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GMM PFAUDLER LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GMM PFAUDLER LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF GMM PFAUDLER LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF GMM PFAUDLER LTD.
|
IMPOSED PENALTY RS.11,50,000
30-MAY-2014
|
SAT: SAT VIDE ITS ORDER DATED 20/11/2015 SET ASIDED THE ORDER PASSED BY SEBI AND RESTORE THE APPEALS TO THE FILE OF SEBI FOR PASSING FRESH ORDER ON MERITS. NO COSTS
|
| 6 |
|
|
A.R.DAHIYA & ASSOCIATES
|
|
|
|
ABHEY RAM DAHIYA
PAN:ABVPD0924C
|
|
|
AMARDEEP SINGH DAHIYA
PAN:AANPD3910B
|
|
|
PANKAJ DAHIYA
PAN:AGLPD1665M
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN ACCORDANCE WITH THE PROVISIONS OF SEBI TAKEOVER CODE, 1997 BY THE ACQUIRER ON 24.4.1999 IN THE CASE OF POLO HOTELS LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
01-AUG-2003
|
SAT: APPEAL FAILED AND DISMISSED
SAT: SAT VIDE ITS ORDER DATED 29/08/2017 GRANTED EXTENSION OF TIME FOR A FURTHER PERIOD OF FOUR WEEKS FOR COMPLIANCE OF SEBI ORDER DATED 01/08/2003 SUBJECT TO PAYMENT OF COSTS QUANTIFIED AT RS.50,000 TO BE PAID BY THE APPELLANT TO SEBI WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER
|
| 7 |
|
|
A.V.COTTEX LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2) AND 6(4) OF SEBI TAKEOVER CODE, 1997
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 FOR PERIOD 1998 TO 2004
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,60,000 VIDE CONSENT ORDER)
18-NOV-2010
|
|
| 8 |
|
|
A.V.COTTEX LTD.
(Along with : ADB TRADE SERVICES PVT.LTD.,
CONCHEM CONSTRUCTION PVT.LTD.,
JAS EXPOSHIP PVT.LTD.,
LEE INFRATECH PVT.LTD.,
SIX SIGMA REALTY PVT.LTD.)
|
|
|
|
ANUJ DEWAN
PAN:AJPPD0979F
|
|
|
ASHWANI DEWAN
PAN:AAFPD7245M
|
|
|
SUNITA DEWAN
PAN:AGSPD2548J
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF A.V.COTTEX LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) AND 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF A.V.COTTEX LTD.
|
IMPOSED PENALTY RS.18,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-SEP-2011
|
SAT: SAT VIDE ITS ORDER DATED 15/02/2012 HAS MODIFIED SEBI'S ORDER DATED 19/09/2011 BY REDUCING THE PENALTY AMOUNT TO RS.10 LACS FROM RS.18 LACS. NO ORDER AS TO COSTS
|
| 9 |
|
|
AAA PAPER MARKETING LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RAMA PAPER MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUN-2016
|
|
| 10 |
|
|
AAA UNITED B.V.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
30-OCT-2012
|
|
| 11 |
|
|
AANYAPRIYA TRUST
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SHAREHOLDING INCREASED FROM 62.56% TO 75% PURSUANT TO BUY BACK OFFER OF OCL INDIA LTD.
|
REJECTED APPLICATION FILED FOR GRANT OF EXEMPTION FROM TAKEOVER REGULATIONS, 1997
19-JUL-2011
|
SAT: APPEAL ALLOWED AND ORDER DATED 28/01/2010 SET ASIDE AND PRAYERS (I), (III) AND (IV) IN PARA 6 OF THE MEMORANDUM OF APPEAL GRANTED. ORDER DATED 19/07/2011 BECOME INFRUCTUOUS. PARTIES SHALL BEAR THEIR OWN COSTS
|
| 12 |
|
|
AAR KAY STEEL PRODUCTS LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,92,750 VIDE CONSENT ORDER)
31-OCT-2014
|
|
| 13 |
|
|
AAROHI DIAMONDS PVT.LTD.
(PAN:AAACA5988N)
|
|
|
|
KUMAR CHANDRAKANT BHANSALI
DIN:00117998
PAN:AACPB2545D
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CLASSIC DIAMONDS (INDIA) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-SEP-2017 TO 21-SEP-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-SEP-2017 TO 21-SEP-2018
22-SEP-2017
|
|
| 14 |
|
|
ABANS ENTERPRISES LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,75,000 VIDE CONSENT ORDER)
12-APR-2017
|
|
| 15 |
|
|
ABB INDIA LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,69,750 VIDE CONSENT ORDER)
21-NOV-2013
|
|
| 16 |
|
|
ABB NORDEN HOLDING AB
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,250 VIDE CONSENT ORDER)
31-JAN-2014
|
|
| 17 |
|
|
ABEE SHARES & STOCK INDIA PVT.LTD.
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
27-OCT-2005
|
|
| 18 |
|
|
ABEE TELEVISIONS PVT.LTD.
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.40,000 ALONG WITH OTHER ENTITIES/PERSONS
27-OCT-2005
|
|
| 19 |
|
|
ABHIJIT TRADING CO.LTD.
(PAN:AACCA5498B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,41,250 VIDE CONSENT ORDER)
14-NOV-2014
|
|
| 20 |
|
|
ABHIMUKT FINANCIAL PVT.LTD.
(PAN:AABCC4502B)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CORE EMBALLAGE LTD.(PRESENTLY KNOWN AS “AUSOM ENTERPRISE LTD.”)
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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