| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
4W WEALTH MANAGEMENT PVT.LTD.
(PAN:AAACZ6378D
CIN:U67120GJ2013PTC073241)
|
|
|
|
NILESHBHAI CHANDUBHAI PATEL
PAN:CJTPP9131M
|
|
|
VIVEK LAXMANBHAI PATEL
PAN:BCXPP6594E
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
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
DIRECTED TO SELL THEIR SHARES OF VAS INFRASTRUCTURE LTD. ACQUIRED IN VIOLATION OF REGULATION 11(1) OF SAST REGULATIONS, 1997, IN EXCESS OF 5% AND DEPOSIT THE PROCEEDS IN INVESTOR PROTECTION & EDUCATION FUND (IPEF) OF SEBI WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-SEP-2023 TO 14-SEP-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-SEP-2023 TO 14-SEP-2025
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 15-SEP-2023 TO 14-SEP-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
15-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 28/02/2024 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND REJOINDER TO BE FILED THREE WEEKS THEREAFTER
|
| 2 |
|
|
4W WEALTH MANAGEMENT PVT.LTD.
(PAN:AAACZ6378D
CIN:U67120GJ2013PTC073241)
|
|
|
|
BHENSDADIA BHAVESH PRAGJIBHAI
PAN:ARDPB0217G
|
|
|
PARTH KANUBHAI PATEL
PAN:CGZPP5636C
|
|
|
RINKALKUMAR MOHANBHAI CHOPDA
PAN:AJJPC0634J
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
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
DIRECTED TO SELL THEIR SHARES OF VAS INFRASTRUCTURE LTD. ACQUIRED IN VIOLATION OF REGULATION 11(1) OF SAST REGULATIONS, 1997, IN EXCESS OF 5% AND DEPOSIT THE PROCEEDS IN INVESTOR PROTECTION & EDUCATION FUND (IPEF) OF SEBI WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-JUN-2024 TO 25-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-JUN-2024 TO 25-JUN-2026
RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 26-JUN-2024 TO 25-JUN-2026
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
15-SEP-2023
|
|
| 3 |
|
|
JAYESH V.VALIA (HUF)
(PAN:AACHJ8696M)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF VAS INFRASTRUCTURE LTD.
|
DIRECTED TO SELL THEIR SHARES OF VAS INFRASTRUCTURE LTD. ACQUIRED IN VIOLATION OF REGULATION 11(1) OF SAST REGULATIONS, 1997, IN EXCESS OF 5% AND DEPOSIT THE PROCEEDS IN INVESTOR PROTECTION & EDUCATION FUND (IPEF) OF SEBI WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-MAR-2023 TO 15-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-MAR-2023 TO 15-MAR-2024
16-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 25/04/2023 DISMISSED THE APPEAL
|
| 4 |
|
|
PUSHPANJALI DRUMS PVT.LTD.
(PAN:AAECP1906D)
|
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
|
MADHAV JAYESH VALIA
PAN:AENPV8401P
|
|
|
RAJ JAYESH VALIA
PAN:AENPV8400N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF VAS INFRASTRUCTURE LTD.
|
DIRECTED TO SELL THEIR SHARES OF VAS INFRASTRUCTURE LTD. ACQUIRED IN VIOLATION OF REGULATION 11(1) OF SAST REGULATIONS, 1997, IN EXCESS OF 5% AND DEPOSIT THE PROCEEDS IN INVESTOR PROTECTION & EDUCATION FUND (IPEF) OF SEBI WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-MAR-2023 TO 15-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-MAR-2023 TO 15-MAR-2024
16-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 25/04/2023 DISMISSED THE APPEAL
|
| 5 |
|
|
VAS EDUCOMP PVT.LTD.
(PAN:AABCV2889C)
|
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
|
MADHAV JAYESH VALIA
PAN:AENPV8401P
|
|
|
RAJ JAYESH VALIA
PAN:AENPV8400N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF VAS INFRASTRUCTURE LTD.
|
DIRECTED TO SELL THEIR SHARES OF VAS INFRASTRUCTURE LTD. ACQUIRED IN VIOLATION OF REGULATION 11(1) OF SAST REGULATIONS, 1997, IN EXCESS OF 5% AND DEPOSIT THE PROCEEDS IN INVESTOR PROTECTION & EDUCATION FUND (IPEF) OF SEBI WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-MAR-2023 TO 15-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-MAR-2023 TO 15-MAR-2024
16-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 25/04/2023 DISMISSED THE APPEAL
|
| 6 |
|
|
VASPARR SHELTER LTD.
(PAN:AABCV2888D)
|
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
|
MADHAV JAYESH VALIA
PAN:AENPV8401P
|
|
|
RAJ JAYESH VALIA
PAN:AENPV8400N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF VAS INFRASTRUCTURE LTD.
|
DIRECTED TO SELL THEIR SHARES OF VAS INFRASTRUCTURE LTD. ACQUIRED IN VIOLATION OF REGULATION 11(1) OF SAST REGULATIONS, 1997, IN EXCESS OF 5% AND DEPOSIT THE PROCEEDS IN INVESTOR PROTECTION & EDUCATION FUND (IPEF) OF SEBI WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-MAR-2023 TO 15-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-MAR-2023 TO 15-MAR-2024
16-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 25/04/2023 DISMISSED THE APPEAL
|
| 7 |
|
|
YASHRAJ CONTAINEURS LTD.
(CIN:L28120MH1993PLC073160
PAN:AAACV4846L)
|
|
|
|
JAYESH VINODRAI VALIA
PAN:AAFPV5698G
|
|
|
MADHAV JAYESH VALIA
PAN:AENPV8401P
|
|
|
RAJ JAYESH VALIA
PAN:AENPV8400N
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF VAS INFRASTRUCTURE LTD.
|
DIRECTED TO SELL THEIR SHARES OF VAS INFRASTRUCTURE LTD. ACQUIRED IN VIOLATION OF REGULATION 11(1) OF SAST REGULATIONS, 1997, IN EXCESS OF 5% AND DEPOSIT THE PROCEEDS IN INVESTOR PROTECTION & EDUCATION FUND (IPEF) OF SEBI WITHIN THREE MONTHS FROM THE DATE OF THIS ORDER
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-MAR-2023 TO 15-MAR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-MAR-2023 TO 15-MAR-2024
16-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 25/04/2023 DISMISSED THE APPEAL
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
