| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
FIIDEX INDUSTRIES LTD.
(CIN:U45400WB2011PLC160414
PAN:AABCF7024P)
|
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ANISH AHMAD
PAN:AEEPA3369Q
DIN:03405663
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BINIMOY BISWAS
DIN:03127960
PAN:AHZPB2842H
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DIBYENDU ROY
PAN:ANEPR4085P
DIN:03534449
|
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GOLAM MUSTAFA SYED
PAN:BCCPS2989F
DIN:03405714
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HASIBUL ISLAM
PAN:AAMPI0966M
DIN:03405732
|
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SAMIM REZA
DIN:06615175
|
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SEKH ARFAT ALI
DIN:06611933
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MOBILIZED RS.1.02 CRORE FROM PUBLIC THROUGH ISSUANCE OF SECURED REDEEMABLE NON-CONVERTIBLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 102 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(3) READ WITH 465 OF COMPANIES ACT, 2013
DID NOT MAKE APPLICATION TO STOCK EXCHANGES TO GET SECURITIES LISTED WITH STOCK EXCHANGES, DID NOT FILE PROSPECTUS IN CONNECTION WITH ISSUANCE OF SECURITIES, DID NOT KEEP AMOUNTS COLLECTED IN A SEPARATE DESIGNATED BANK ACCOUNT, APPOINTED UNREGISTERED DEBENTURE TRUSTEE AND DID NOT CREATE DEBENTURE REDEMPTION RESERVE VIOLATING 73(1) AND 73(3) OF THE COMPANIES ACT, 1956, REGULATIONS 4(4) AND 16(1) OF SEBI (ILDS) REGULATIONS, 2008 READ WITH SECTIONS 117B AND 117C OF THE COMPANIES ACT, 1956 READ WITH SECTION 465 OF THE COMPANIES ACT, 2013, REGULATIONS 4(2)(A) TO 4(2)(D), 4(4), 5(2)(B), 6 TO 9, 12, 14, 15, 16(1), 17, 19, 26 OF SEBI (ISSUE AND LISTING OF DEBT SECURITIES) REGULATIONS, 2008 READ WITH REGULATION 59 OF SEBI (ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES) REGULATIONS, 2021
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF NCDS 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 DEPOSIT PROCEEDS OF TRANSACTION IN AN ESCROW ACCOUNT
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 22-JAN-2025 TO 21-JAN-2028
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JAN-2025 TO 21-JAN-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JAN-2025 TO 21-JAN-2028
22-JAN-2025
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| 2 |
|
|
MAX WEALTH INFRACON INDIA LTD.
(CIN:U45400WB2010PLC153347
PAN:AAGCM8372A)
|
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|
|
AMAN GOYAL
DIN:03221975
PAN:AUDPG0283G
|
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GOUTAM RAY
PAN:ATKPR4708H
DIN:03122557
|
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PARTHA SARATHI GHOSAL
DIN:03121257
PAN:ALNPG7331C
|
|
MOBILIZED RS.27.00 CRORE FROM PUBLIC THROUGH ISSUANCE OF NCDS BY WAY OF PRIVATE PLACEMENT TO 213 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(3), 73(1) TO 73(3) OF COMPANIES ACT 1956
MOBILIZED RS.27.00 CRORE FROM PUBLIC THROUGH ISSUANCE OF NCDS BY WAY OF PRIVATE PLACEMENT TO 213 INVESTORS VIOLATING REGULATION 4(4) OF SEBI (ILDS) REGULATIONS, 2008 READ WITH SECTIONS 117B READ WITH 465(2) OF COMPANIES ACT, 2013 AND REGULATIONS 4(2)(A) TO 4(2)(D), 4(4), 5(2)(B), 6 TO 9, 12, 14, 15, 17, 19 AND 26 OF SEBI (ILDS) REGULATIONS, 2008 READ WITH REGULATION 59 OF SEBI (ISSUE AND LISTING OF NON-CONVERTIBLE SECURITIES) REGULATIONS, 2021 READ WITH SECTION 5 OF THE COMPANIES ACT, 1956
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF NCDS 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 FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
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 30-SEP-2024 TO 29-SEP-2027
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2024 TO 29-SEP-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2024 TO 29-SEP-2027
30-SEP-2024
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| 3 |
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PARAMJYOTI TRADELINKS PVT.LTD.
(PAN:AAGCP2758K)
|
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INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF NCDS INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
17-OCT-2024
|
SEBI VIDE ITS NOTICE DATED 03/01/2025 DIRECTED TO PAY RS.5,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 22/04/2025 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
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| 4 |
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VAISHNO DEVI DAIRY PRODUCTS LTD.
|
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MAYURA NANDKISHOR ATTAL
PAN:AESPA3803P
DIN:00120857
|
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NANDKISHOR HARIKISHAN ATTAL
DIN:00120538
PAN:ADBPA2424J
|
|
MOBILIZED RS.25.00 CRORE FROM PUBLIC THROUGH ISSUANCE OF NCDS BY WAY OF PRIVATE PLACEMENT TO 185 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(3), 73 AND 117C OF COMPANIES ACT, 1956 READ WITH SECTIONS 25(2) AND 465(2) OF THE COMPANIES ACT, 2013 READ WITH SEBI (ILDS) REGULATIONS, 2008
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF NCDS INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
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-SEP-2024 TO 24-SEP-2026
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-SEP-2024 TO 24-SEP-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-SEP-2024 TO 24-SEP-2026
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 25-SEP-2024 TO 24-SEP-2026
25-SEP-2024
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
