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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PERSONS: BARRED FROM RENDERING SERVICES IN CONNECTION WITH INSTRUMENTS THAT ARE DEFINED AS SECURITIES (AS IN SECTION 2 (H) OF SCRA ACT, 1956) IN INDIAN MARKET OR IN ANY WAY DEALING WITH THEM

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ARUN RAMSWAROOP PANCHARIYA

(PAN:AEVPP6125N)  
Click here to view complete history of this specific entity/person PAN ASIA ADVISORS LTD.
  		INDULGED IN CANCELLATION OF GDRS FOR CONVERTING THEM INTO NORMAL SHARES TO SELL IN INDIAN MARKET   BARRED FROM RENDERING SERVICES IN CONNECTION WITH INSTRUMENTS THAT ARE DEFINED AS SECURITIES (AS IN SECTION 2 (H) OF SCRA ACT, 1956) IN INDIAN MARKET OR IN ANY WAY DEALING WITH THEM

DIRECTED THAT NONE OF THE INTERMEDIARIES REGISTERED WITH SEBI SHALL DEAL WITH PAN ASIA ADVISORS LTD.AND MR.ARUN PANCHARIA IN ANY CAPACITY WITH REGARD TO OR IN CONNECTION WITH DEALING OF SECURITIES AS DEFINED IN INDIAN MARKET

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-JUN-2013 TO 20-OCT-2021

21-SEP-2011 		DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 21/09/2011 CONFIRMED

SAT: SAT VIDE ITS ORDER DATED 09/11/2011 DIRECTED SEBI TO AFFORD AN OPPORTUNITY OF HEARING WITHIN A WEEK THEREAFTER AND THEN PASS FINAL ORDER WITHIN TWO WEEKS  
2
History of entity/person JOHN BEHAR  
Click here to view complete history of this specific entity/person PROSPECT CAPITAL LTD.
  		INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF FARMAX VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FARMAX INDIA LTD.   BARRED FROM RENDERING SERVICES IN CONNECTION WITH INSTRUMENTS THAT ARE DEFINED AS SECURITIES (AS IN SECTION 2 (H) OF SCRA ACT, 1956) IN INDIAN MARKET OR IN ANY WAY DEALING WITH THEM

14-JUL-2020 		SAT: SAT VIDE ITS ORDER DATED 21/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 21/03/2022 DISMISSED THE APPEAL. NO COSTS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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