| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
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DGR FARMS & LEISURES LTD.
(CIN:U01100MP2009PLC022547
PAN:AADCD2895N)
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ALOK KUMAR SINGH
DIN:03627367
PAN:AWJPS1018D
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JAINENDRA KUMAR PATEL
DIN:03627378
PAN:AKOPP8093N
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JITENDRA KUMAR PATEL
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JITENDRA KUMAR TRIPATHI
DIN:06374893
PAN:ADIPT4968P
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NIVEDITA GUPTA
DIN:03512748
PAN:AHLPG5454E
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RAKESH KUMAR GUPTA
DIN:02732171
PAN:AIXPG8273A
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SANJAY KUMAR GUPTA
DIN:03627386
PAN:AIZPG2134Q
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SHANKAR LAL GUPTA
DIN:03627395
PAN:AGMPG4657M
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SUSHIL KUMAR DUBEY
DIN:02864899
PAN:AFAPD7831F
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UMESH GUPTA
DIN:02778413
PAN:AHAPG4380N
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UMESH SONI
DIN:02778413
PAN:BTKPS1732H
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VIJAY KUMAR SHUKLA
DIN:06420025
PAN:BLHPS3014H
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OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
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DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 29-JUL-2019 TO 28-JUL-2023
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 29-JUL-2019 TO 28-JUL-2023
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED TO PROVIDE INVENTORY OF ALL ASSETS PURCHASED IN NAME OF THE COMPANY OR DIRECTORS INCLUDING ALL ASSETS MOVABLE AND/OR IMMOVABLE WHEREIN NOTICEES HAVE INTEREST DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER FROM 29-JUL-2019 TO 28-JUL-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUL-2019 TO 28-JUL-2023
29-JUL-2019
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SEBI VIDE ITS NOTICE DATED 16/09/2020 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
SEBI VIDE ITS ORDER DATED 23/12/2021 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY DULY CERTIFIED BY BOARD OF DIRECTORS ALONG WITH ORIGINAL TITLE DEEDS WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, WESTERN REGIONAL OFFICE, AHMEDABAD D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) 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 OWNED / HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
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| 2 |
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OSIAN’S- CONNOISSEURS OF ART PVT.LTD.
(CIN:U51900MH2000PTC127339)
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ANUJIT GANGOLI
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NEVILLE TULI
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OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
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DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 15-APR-2013 TILL CIS WIND UP
DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-APR-2013 TILL CIS WIND UP
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
15-APR-2013
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SAT: SAT VIDE ITS ORDER DATED 13/10/2015 UPHELD THE IMPUGNED ORDER OF SEBI TO THE EXTENT IT HOLDS THAT THE SCHEME OPERATED BY THE APPELLANT FROM 2006 TO 2010 CONSTITUTED CIS AND SET ASIDED THE DIRECTION GIVEN BY SEBI TO APPELLANT TO PAY PROFITS/INCOME DUE TO INVESTORS OR PAY INTEREST @ 10% P.A. FROM DATE OF INVESTMENT TILL DATE OF REFUND. APPEAL PARTLY ALLOWED. NO COSTS
SEBI VIDE ITS ORDER DATED 28/05/2021 DIRECTED TO A) REFUND BALANCE AMOUNT TO REMAINING INVESTORS AND ALSO PAY TOTAL PRINCIPAL AMOUNT COLLECTED FROM EACH OF THE REMAINING INVESTOR @ 10% P.A. TILL DATE OF CLOSURE OF ITS SCHEME. BALANCE AMOUNT COLLECTED TO BE REFUNDED WITHIN SIX MONTHS FROM DATE OF THIS ORDER AND INTEREST ON TOTAL AMOUNT TO BE PAID WITHIN NINE MONTHS FROM DATE OF COMING INTO FORCE OF THIS ORDER B) DIRECTED TO FILE WINDING UP AND REPAYMENT REPORT DULY CERTIFIED BY AUDITOR TO SEBI IN THE FORMAT PROVIDED UNDER SEBI (CIS) (CIS) REGULATIONS, 1999 ALONG WITH TRAIL OF FUNDS CLAIMED TO BE REFUNDED, BANK ACCOUNT STATEMENTS INDICATING REFUND TO INVESTORS AND RECEIPT FROM INVESTORS ACKNOWLEDGING SUCH REFUNDS WITHIN 15 DAYS AFTER EXPIRY OF SIX MONTHS AND NINE MONTHS PERIOD C) NOT TO ALIENATE OR DISPOSE OF OR SELL ANY ASSETS EXCEPT FOR THE PURPOSE OF MAKING REFUND TO ITS INVESTORS
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| 3 |
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PARIVAR DAIRIES & ALLIED LTD.
(CIN:U01211MP2002PLC015368)
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GIRJA NARWARIA
PAN:AFEPN2325L
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PHOOL SINGH RAJPUT
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RAKESH SINGH NARWARIA
PAN:ACNPN0341E
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OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-MAR-2018 TO 26-MAR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-MAR-2018 TO 26-MAR-2022
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC BY WAY OF SPONSORING/CAUSING TO SPONSOR OR CARRYING ON/CAUSING TO BE CARRIED ON THE COLLECTIVE INVESTMENT SCHEMES
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 27-MAR-2018 TO 26-MAR-2022
10-OCT-2017
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| 4 |
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SAI PRAKASH PROPERTIES DEVELOPMENT LTD.
(PAN:AANCS7178R)
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DHEERENDRA KRISHAN PRATAP
DIN:03545450
PAN:AXMPB0165C
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MRAGENDRA SINGH BAGHEL
DIN:03544515
PAN:BKJPB6325H
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PUSHPANJALI SINGH BAGHEL
PAN:AFZPB0557M
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PUSHPENDRA SINGH BAGHEL
PAN:AFZPB0624B
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RANVAJAY PRATAP SINGH BAGHEL
DIN:03538188
PAN:ATTPB8254D
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SHAHENDRA SINGH BAGHEL
PAN:ATTPB8244M
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OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
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DIRECTED NOT TO COLLECT ANY MONEY FROM THE INVESTORS FROM 29-JUL-2019 TO 28-JUL-2026
DIRECTED NOT TO LAUNCH ANY NEW SCHEMES FROM 29-JUL-2019 TO 28-JUL-2026
DIRECTED NOT TO DISPOSE OF ANY OF THE PROPERTIES OR ALIENATE (DIRECTLY OR INDIRECTLY) ASSETS OF THE SCHEME FROM 29-JUL-2019 TO 28-JUL-2026
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 29-JUL-2019 TO 28-JUL-2026
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO SUBMIT SCHEME WISE LIST OF INVESTORS AND THEIR CONTACT NUMBERS AND ADDRESS ALONG WITH DETAILS OF AMOUNT MOBILIZED & REFUNDED
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 SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUL-2019 TO 28-JUL-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUL-2019 TO 28-JUL-2026
26-DEC-2014
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SEBI VIDE ITS ORDER DATED 29/07/2019 DIRECTED TO 1) JOINTLY AND SEVERALLY TO WIND UP ITS EXISTING COLLECTIVE INVESTMENT SCHEMES AND REFUND MONEY COLLECTED UNDER SCHEME WITH RETURNS DUE TO INVESTORS WITHIN THREE MONTHS FROM DATE OF THIS ORDER THROUGH BANK DEMAND DRAFT OR PAY ORDER AND SUBMIT WINDING UP AND REPAYMENT REPORT (WRR) TO SEBI INCLUDING PROOF OF TRAIL OF FUNDS CLAIMED TO BE REFUNDED, BANK ACCOUNT STATEMENTS INDICATING REFUND TO INVESTORS AND RECEIPT FROM INVESTORS ACKNOWLEDGING SUCH REFUNDS ALONG WITH CERTIFICATION OF SUCH REPAYMENT FROM TWO INDEPENDENT CHARTERED ACCOUNTS 2) NOT TO ALIENATE OR DISPOSE OFF OR SELL OF ASSETS OF COMPANY EXCEPT FOR PURPOSE OF MAKING REFUND TO ITS INVESTORS 3) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR SEVEN YEARS FROM DATE OF COMPLETION OF REFUND
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| 5 |
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SANGHI PLANTATIONS LTD.
(CIN:U20299TG1991PLC013166)
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AMIT SANGHI
DIN:00053271
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BENDA RAM NARAYAN
DIN:02093589
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KODHATY CHANDRASEKHAR RAO
DIN:02093535
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SESHADRI UPADHYAYULA
DIN:02093564
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SIDDHARTH SANGHI
DIN:00033401
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OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
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DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 17-OCT-2017 TO 16-OCT-2021
DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-OCT-2017 TO 16-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-OCT-2017 TO 16-OCT-2021
17-OCT-2017
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SEBI VIDE ITS ORDER DATED 17/10/2017 DIRECTED TO 1) JOINTLY AND SEVEALLY WIND UP ITS EXISTING COLLECTIVE INVESTMENT SCHEMES AND REFUND THE MONEY COLLECTED UNDER SCHEMES WITH RETURNS WHICH ARE DUE TO INVESTORS AS PER TERMS OF OFFER WITHIN A PERIOD OF THREE MONTHS FROM DATE OF THIS ORDER THROUGH ‘BANK DEMAND DRAFT’ OR ‘PAY ORDER’ 2) SUBMIT WINDING UP AND REPAYMENT REPORT (WRR) TO SEBI IN ACCORDANCE WITH SEBI (CIS) REGULATIONS.WRR SHALL BE SUPPORTED BY THE PROOF OF TRAIL OF FUNDS CLAIMED TO BE REFUNDED, BANK ACCOUNT STATEMENTS INDICATING REFUND TO THE INVESTORS AND RECEIPT FROM THE INVESTORS ACKNOWLEDGE SUCH REFUNDS ALONG WITH A CERTIFICATION OF SUCH REPAYMENT FROM TWO INDEPENDENT CHARTERED ACCOUNTANTS 3) NOT TO ALIENATE OR DISPOSE OF OR SELL ANY OF THE ASSETS OF THE COMPANY EXCEPT FOR THE PURPOSE OF MAKING REFUND TO ITS INVESTORS 4) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF FOUR YEARS FROM THE DATE OF COMPLETION OF REFUNDS
SEBI VIDE ITS ORDER DATED 18/05/2021 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL IMMOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF PROPERTIES LISTED IN ORDER C) DIRECTED TO PROVIDE CERTIFIED COPIES OF THE SALE DEEDS/DOCUMENT EVIDENCING THE SAID LAND UNDER THE SURVEY NOS. WHICH STOOD REGISTERED AS MENTIONED IN PARAGRAPH 2 D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF THE STATE OF TELANGANA AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) 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 OWNED / HELD BY THE DEFAULTER, IF PRESENTED FOR REGISTRATION
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| 6 |
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TOUCH WOOD LTD.
(PAN:AAACT9882C)
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PAWAN KANWAR MITTAL
PAN:ALWPM2969H
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SANGEETA MITTAL
PAN:AITPM7648D
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VIRENDER KUMAR MITTAL
PAN:AAXPM7090B
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OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
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DIRECTED NOT TO COLLECT ANY MONEY FROM THE INVESTORS FROM 31-JUL-2018 TO 30-JUL-2022
DIRECTED NOT TO LAUNCH ANY NEW SCHEMES FROM 31-JUL-2018 TO 30-JUL-2022
DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 31-JUL-2018 TO 30-JUL-2022
DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DIRECTED NOT TO DISPOSE OF, ALIENATE OR ENCUMBER ANY ASSETS / PROPERTIES
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JUL-2018 TO 30-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2018 TO 30-JUL-2022
31-JUL-2018
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SEBI VIDE ITS NOTICE DATED 06/02/2020 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
SEBI VIDE ITS ORDER DATED 13/04/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.19,65,795.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTGS
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
