| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
HASIBUL ISLAM
(PAN:AAMPI0966M
DIN:03405732)
|
|
|
|
FIIDEX INDUSTRIES LTD.
CIN:U45400WB2011PLC160414
PAN:AABCF7024P
|
|
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
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 22-JAN-2025 TO 21-JAN-2028
22-JAN-2025
|
|
| 2 |
|
|
SATYANARAYAN AGARWAL
|
|
|
|
BHORUKA FINANCIAL SERVICES LTD.
|
|
TRANSACTED AT A RATE HIGHER THAN BOOK VALUE
|
DIRECTED TO DEPOSIT PROCEEDS OF TRANSACTION IN AN ESCROW ACCOUNT
DIRECTED TO TAKE PRIOR APPROVAL OF SEBI FOR DEALING WITH ESCROW ACCOUNT
19-AUG-2005
|
SAT: DIRECTED TO DEPOSIT AMOUNT LEFT WITH SELLERS IN ESCROW ACCOUNT TILL SEBI PASSES FINAL ORDER AND DIRECTED SEBI NOT TO COMMENCE ANY ADJUDICATION PROCEEDINGS
INITIATED ADJUDICATION PROCEEDINGS FOR NON COMPLIANCE OF INTERIM ORDER DATED 19/08/2005
|
| 3 |
|
|
SATYANARAYAN AGARWAL
|
|
|
|
PRAGYA ENTERPRISES
|
|
TRANSACTED AT A RATE HIGHER THAN BOOK VALUE
|
DIRECTED TO DEPOSIT PROCEEDS OF TRANSACTION IN AN ESCROW ACCOUNT
DIRECTED TO TAKE PRIOR APPROVAL OF SEBI FOR DEALING WITH ESCROW ACCOUNT
24-AUG-2005
|
SAT: DIRECTED TO DEPOSIT AMOUNT LEFT WITH SELLERS IN ESCROW ACCOUNT TILL SEBI PASSES FINAL ORDER AND DIRECTED SEBI NOT TO COMMENCE ANY ADJUDICATION PROCEEDINGS
INITIATED ADJUDICATION PROCEEDINGS FOR NON COMPLIANCE OF INTERIM ORDER DATED 19/08/2005
|
| 4 |
|
|
SIDDHARTHA AGARWAL
|
|
|
|
BHORUKA FINANCIAL SERVICES LTD.
|
|
TRANSACTED AT A RATE HIGHER THAN BOOK VALUE
|
DIRECTED TO DEPOSIT PROCEEDS OF TRANSACTION IN AN ESCROW ACCOUNT
DIRECTED TO TAKE PRIOR APPROVAL OF SEBI FOR DEALING WITH ESCROW ACCOUNT
19-AUG-2005
|
SAT: DIRECTED TO DEPOSIT AMOUNT LEFT WITH SELLERS IN ESCROW ACCOUNT TILL SEBI PASSES FINAL ORDER AND DIRECTED SEBI NOT TO COMMENCE ANY ADJUDICATION PROCEEDINGS
INITIATED ADJUDICATION PROCEEDINGS FOR NON COMPLIANCE OF INTERIM ORDER DATED 19/08/2005
|
| 5 |
|
|
UMAH AGARWAL
|
|
|
|
PRAGYA ENTERPRISES
|
|
TRANSACTED AT A RATE HIGHER THAN BOOK VALUE
|
DIRECTED TO DEPOSIT PROCEEDS OF TRANSACTION IN AN ESCROW ACCOUNT
DIRECTED TO TAKE PRIOR APPROVAL OF SEBI FOR DEALING WITH ESCROW ACCOUNT
24-AUG-2005
|
SAT: DIRECTED TO DEPOSIT AMOUNT LEFT WITH SELLERS IN ESCROW ACCOUNT TILL SEBI PASSES FINAL ORDER AND DIRECTED SEBI NOT TO COMMENCE ANY ADJUDICATION PROCEEDINGS
INITIATED ADJUDICATION PROCEEDINGS FOR NON COMPLIANCE OF INTERIM ORDER DATED 19/08/2005
|
| 6 |
|
|
UMAH AGARWAL
|
|
|
|
BHORUKA FINANCIAL SERVICES LTD.
|
|
TRANSACTED AT A RATE HIGHER THAN BOOK VALUE
|
DIRECTED TO DEPOSIT PROCEEDS OF TRANSACTION IN AN ESCROW ACCOUNT
DIRECTED TO TAKE PRIOR APPROVAL OF SEBI FOR DEALING WITH ESCROW ACCOUNT
19-AUG-2005
|
SAT: DIRECTED TO DEPOSIT AMOUNT LEFT WITH SELLERS IN ESCROW ACCOUNT TILL SEBI PASSES FINAL ORDER AND DIRECTED SEBI NOT TO COMMENCE ANY ADJUDICATION PROCEEDINGS
INITIATED ADJUDICATION PROCEEDINGS FOR NON COMPLIANCE OF INTERIM ORDER DATED 19/08/2005
|
| 7 |
|
|
VIVEEK AGARWAL
|
|
|
|
BHORUKA FINANCIAL SERVICES LTD.
|
|
TRANSACTED AT A RATE HIGHER THAN BOOK VALUE
|
DIRECTED TO DEPOSIT PROCEEDS OF TRANSACTION IN AN ESCROW ACCOUNT
DIRECTED TO TAKE PRIOR APPROVAL OF SEBI FOR DEALING WITH ESCROW ACCOUNT
19-AUG-2005
|
SAT: DIRECTED TO DEPOSIT AMOUNT LEFT WITH SELLERS IN ESCROW ACCOUNT TILL SEBI PASSES FINAL ORDER AND DIRECTED SEBI NOT TO COMMENCE ANY ADJUDICATION PROCEEDINGS
INITIATED ADJUDICATION PROCEEDINGS FOR NON COMPLIANCE OF INTERIM ORDER DATED 19/08/2005
|
| 8 |
|
|
VIVEEK AGARWAL
|
|
|
|
PRAGYA ENTERPRISES
|
|
TRANSACTED AT A RATE HIGHER THAN BOOK VALUE
|
DIRECTED TO DEPOSIT PROCEEDS OF TRANSACTION IN AN ESCROW ACCOUNT
DIRECTED TO TAKE PRIOR APPROVAL OF SEBI FOR DEALING WITH ESCROW ACCOUNT
24-AUG-2005
|
SAT: DIRECTED TO DEPOSIT AMOUNT LEFT WITH SELLERS IN ESCROW ACCOUNT TILL SEBI PASSES FINAL ORDER AND DIRECTED SEBI NOT TO COMMENCE ANY ADJUDICATION PROCEEDINGS
INITIATED ADJUDICATION PROCEEDINGS FOR NON COMPLIANCE OF INTERIM ORDER DATED 19/08/2005
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
