| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANITA GUPTA
(DIN:06501012
PAN:AOFPG8504E)
|
|
|
|
EDYNAMICS SOLUTIONS LTD.
CIN:L74900DL2000PLC106755
PAN:AAACE7849N
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2020 TO 26-APR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2020 TO 26-APR-2022
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 27-APR-2020 TO 26-APR-2022
07-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 23/08/2017 DIRECTED SEBI TO DISPOSE OFF REPRESENTATION OF THE APPELLANT AS EXPEDITIOUSLY AS POSSIBLE AND IN ANY EVENT WITHIN A PERIOD OF THREE WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 13/09/2017 MODIFIED THE ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 AND CONSEQUENTIAL ACTIONS TAKEN BY STOCK EXCHANGES 1) TRADING IN SECURITIES OF ESL SHALL BE REVERTED TO T GROUP OF BSE WITH APPLICABLE PRICE BAND IN TRADE TO TRADE SETTLEMENT 2) EXCHANGE SHALL APPOINT AN INDEPENDENT AUDITOR TO CONDUCT FORENSIC AUDIT OF ESL FOR VERIFICATION, INCLUDING CREDENTIALS/FINANCIALS OF ESL 3) PROMOTERS AND DIRECTORS IN ESL ARE PERMITTED ONLY TO BUY THE SECURITIES OF ESL. THE SHARES HELD BY PROMOTERS AND DIRECTORS IN ESL SHALL NOT BE ALLOWED TO BE TRANSFERRED FOR SALE, BY DEPOSITORIES 4) THE OTHER ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 IN PARA 1 (D), AS MAY BE APPLICABLE, AND THE CONSEQUENTIAL ACTION TAKEN BY STOCK EXCHANGES SHALL CONTINUE TO HAVE EFFECT AGAINST EDYNAMICS SOLUTIONS LTD. DIRECTIONS SHALL TAKE EFFECT IMMEDIATELY AND SHALL BE IN FORCE UNTIL FURTHER ORDERS
|
| 2 |
|
|
ARTIBEN JAYESHBHAI THAKKAR
(PAN:AAUPT5643E)
|
|
|
|
KAVIT INDUSTRIES LTD.
CIN:L23100GJ1990PLC014692
PAN:AAACJ4907C
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
07-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2017 DIRECTED SEBI TO DISPOSE OFF REPRESENTATION OF THE APPELLANT. NO COSTS
SEBI VIDE ITS ORDER DATED 04/09/2017 MODIFIED THE ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 AND CONSEQUENTIAL ACTIONS TAKEN BY STOCK EXCHANGES 1) TRADING IN SECURITIES OF KIL SHALL BE REVERTED TO XT GROUP OF BSE WITH APPLICABLE PRICE BAND IN TRADE TO TRADE CATEGORY. EXCHANGE SHALL APPOINT AN INDEPENDENT AUDITOR TO CONDUCT FORENSIC AUDIT OF KIL FOR VERIFICATION, INCLUDING CREDENTIALS/FINANCIALS OF KIL 2) PROMOTERS AND DIRECTORS IN KIL ARE PERMITTED ONLY TO BUY THE SECURITIES OF KIL. SHARES HELD BY PROMOTERS AND DIRECTORS IN KIL SHALL NOT BE ALLOWED TO BE TRANSFERRED FOR SALE, BY DEPOSITORIES 3) OTHER ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 IN PARA 1 (D), AS MAY BE APPLICABLE, AND THE CONSEQUENTIAL ACTION TAKEN BY STOCK EXCHANGES SHALL CONTINUE TO HAVE EFFECT AGAINST KAVIT INDUSTRIES LTD. THESE DIRECTIONS SHALL TAKE EFFECT IMMEDIATELY AND SHALL BE IN FORCE UNTIL FURTHER ORDERS
|
| 3 |
|
|
BHARAT GUPTA
(DIN:06507664
PAN:ALFPG6480L)
|
|
|
|
EDYNAMICS SOLUTIONS LTD.
CIN:L74900DL2000PLC106755
PAN:AAACE7849N
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2020 TO 26-APR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2020 TO 26-APR-2022
RESTRAINED FROM HOLDING OR OCCUPYING POSITION AS DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY FROM 27-APR-2020 TO 26-APR-2022
07-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 23/08/2017 DIRECTED SEBI TO DISPOSE OFF REPRESENTATION OF THE APPELLANT AS EXPEDITIOUSLY AS POSSIBLE AND IN ANY EVENT WITHIN A PERIOD OF THREE WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 13/09/2017 MODIFIED THE ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 AND CONSEQUENTIAL ACTIONS TAKEN BY STOCK EXCHANGES 1) TRADING IN SECURITIES OF ESL SHALL BE REVERTED TO T GROUP OF BSE WITH APPLICABLE PRICE BAND IN TRADE TO TRADE SETTLEMENT 2) EXCHANGE SHALL APPOINT AN INDEPENDENT AUDITOR TO CONDUCT FORENSIC AUDIT OF ESL FOR VERIFICATION, INCLUDING CREDENTIALS/FINANCIALS OF ESL 3) PROMOTERS AND DIRECTORS IN ESL ARE PERMITTED ONLY TO BUY THE SECURITIES OF ESL. THE SHARES HELD BY PROMOTERS AND DIRECTORS IN ESL SHALL NOT BE ALLOWED TO BE TRANSFERRED FOR SALE, BY DEPOSITORIES 4) THE OTHER ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 IN PARA 1 (D), AS MAY BE APPLICABLE, AND THE CONSEQUENTIAL ACTION TAKEN BY STOCK EXCHANGES SHALL CONTINUE TO HAVE EFFECT AGAINST EDYNAMICS SOLUTIONS LTD. DIRECTIONS SHALL TAKE EFFECT IMMEDIATELY AND SHALL BE IN FORCE UNTIL FURTHER ORDERS
|
| 4 |
|
|
BHARATBHAI LIMJIBHAI PATEL
(PAN:ALDPP1518Q)
|
|
|
|
KAVIT INDUSTRIES LTD.
CIN:L23100GJ1990PLC014692
PAN:AAACJ4907C
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
07-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2017 DIRECTED SEBI TO DISPOSE OFF REPRESENTATION OF THE APPELLANT. NO COSTS
SEBI VIDE ITS ORDER DATED 04/09/2017 MODIFIED THE ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 AND CONSEQUENTIAL ACTIONS TAKEN BY STOCK EXCHANGES 1) TRADING IN SECURITIES OF KIL SHALL BE REVERTED TO XT GROUP OF BSE WITH APPLICABLE PRICE BAND IN TRADE TO TRADE CATEGORY. EXCHANGE SHALL APPOINT AN INDEPENDENT AUDITOR TO CONDUCT FORENSIC AUDIT OF KIL FOR VERIFICATION, INCLUDING CREDENTIALS/FINANCIALS OF KIL 2) PROMOTERS AND DIRECTORS IN KIL ARE PERMITTED ONLY TO BUY THE SECURITIES OF KIL. SHARES HELD BY PROMOTERS AND DIRECTORS IN KIL SHALL NOT BE ALLOWED TO BE TRANSFERRED FOR SALE, BY DEPOSITORIES 3) OTHER ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 IN PARA 1 (D), AS MAY BE APPLICABLE, AND THE CONSEQUENTIAL ACTION TAKEN BY STOCK EXCHANGES SHALL CONTINUE TO HAVE EFFECT AGAINST KAVIT INDUSTRIES LTD. THESE DIRECTIONS SHALL TAKE EFFECT IMMEDIATELY AND SHALL BE IN FORCE UNTIL FURTHER ORDERS
|
| 5 |
|
|
BIREN KANTILAL SHAH (AKA.SHAH BIREN KANTILAL)
(PAN:AVZPS0368P)
|
|
|
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI
|
IMPOSED PENALTY RS.5,00,000
28-MAR-2012
|
SEBI VIDE ITS NOTICE DATED 15/10/2013 DIRECTED ALL THE BANKS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 6 |
|
|
DIBYENDU SARKAR
(PAN:DHFPS9442K)
|
|
|
|
RITMAN INFRA LTD.
PAN:AAACL5238Q
CIN:L70109WB1981PLC033662
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-MAY-2019 TO 09-NOV-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-MAY-2019 TO 09-NOV-2019
07-AUG-2017
|
SEBI VIDE ITS ORDER DATED 10/05/2019 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR INDIRECTLY FOR SIX MONTHS FROM DATE OF THIS ORDER
|
| 7 |
|
|
DINESH MAJUMDAR
(PAN:ADUPM4085C)
|
|
|
|
RITMAN INFRA LTD.
PAN:AAACL5238Q
CIN:L70109WB1981PLC033662
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-MAY-2019 TO 09-NOV-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-MAY-2019 TO 09-NOV-2019
07-AUG-2017
|
SEBI VIDE ITS ORDER DATED 10/05/2019 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR INDIRECTLY FOR SIX MONTHS FROM DATE OF THIS ORDER
|
| 8 |
|
|
FALGUNI MAJUMDAR
(PAN:AHTPM7003M)
|
|
|
|
RITMAN INFRA LTD.
PAN:AAACL5238Q
CIN:L70109WB1981PLC033662
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-MAY-2019 TO 09-NOV-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-MAY-2019 TO 09-NOV-2019
07-AUG-2017
|
SEBI VIDE ITS ORDER DATED 10/05/2019 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR INDIRECTLY FOR SIX MONTHS FROM DATE OF THIS ORDER
|
| 9 |
|
|
HANSABEN JASWANTBHAI THAKKAR
(PAN:ABKPT5167A)
|
|
|
|
KAVIT INDUSTRIES LTD.
CIN:L23100GJ1990PLC014692
PAN:AAACJ4907C
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
07-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2017 DIRECTED SEBI TO DISPOSE OFF REPRESENTATION OF THE APPELLANT. NO COSTS
SEBI VIDE ITS ORDER DATED 04/09/2017 MODIFIED THE ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 AND CONSEQUENTIAL ACTIONS TAKEN BY STOCK EXCHANGES 1) TRADING IN SECURITIES OF KIL SHALL BE REVERTED TO XT GROUP OF BSE WITH APPLICABLE PRICE BAND IN TRADE TO TRADE CATEGORY. EXCHANGE SHALL APPOINT AN INDEPENDENT AUDITOR TO CONDUCT FORENSIC AUDIT OF KIL FOR VERIFICATION, INCLUDING CREDENTIALS/FINANCIALS OF KIL 2) PROMOTERS AND DIRECTORS IN KIL ARE PERMITTED ONLY TO BUY THE SECURITIES OF KIL. SHARES HELD BY PROMOTERS AND DIRECTORS IN KIL SHALL NOT BE ALLOWED TO BE TRANSFERRED FOR SALE, BY DEPOSITORIES 3) OTHER ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 IN PARA 1 (D), AS MAY BE APPLICABLE, AND THE CONSEQUENTIAL ACTION TAKEN BY STOCK EXCHANGES SHALL CONTINUE TO HAVE EFFECT AGAINST KAVIT INDUSTRIES LTD. THESE DIRECTIONS SHALL TAKE EFFECT IMMEDIATELY AND SHALL BE IN FORCE UNTIL FURTHER ORDERS
|
| 10 |
|
|
HASHMUKHBHAI DHANJIBHAI THAKKAR
(PAN:ABLPT4221E)
|
|
|
|
KAVIT INDUSTRIES LTD.
CIN:L23100GJ1990PLC014692
PAN:AAACJ4907C
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
07-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2017 DIRECTED SEBI TO DISPOSE OFF REPRESENTATION OF THE APPELLANT. NO COSTS
SEBI VIDE ITS ORDER DATED 04/09/2017 MODIFIED THE ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 AND CONSEQUENTIAL ACTIONS TAKEN BY STOCK EXCHANGES 1) TRADING IN SECURITIES OF KIL SHALL BE REVERTED TO XT GROUP OF BSE WITH APPLICABLE PRICE BAND IN TRADE TO TRADE CATEGORY. EXCHANGE SHALL APPOINT AN INDEPENDENT AUDITOR TO CONDUCT FORENSIC AUDIT OF KIL FOR VERIFICATION, INCLUDING CREDENTIALS/FINANCIALS OF KIL 2) PROMOTERS AND DIRECTORS IN KIL ARE PERMITTED ONLY TO BUY THE SECURITIES OF KIL. SHARES HELD BY PROMOTERS AND DIRECTORS IN KIL SHALL NOT BE ALLOWED TO BE TRANSFERRED FOR SALE, BY DEPOSITORIES 3) OTHER ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 IN PARA 1 (D), AS MAY BE APPLICABLE, AND THE CONSEQUENTIAL ACTION TAKEN BY STOCK EXCHANGES SHALL CONTINUE TO HAVE EFFECT AGAINST KAVIT INDUSTRIES LTD. THESE DIRECTIONS SHALL TAKE EFFECT IMMEDIATELY AND SHALL BE IN FORCE UNTIL FURTHER ORDERS
|
| 11 |
|
|
JAGDISHBHAI RAICHANDBHAI THAKKAR
(PAN:AAVPT9901A)
|
|
|
|
KAVIT INDUSTRIES LTD.
CIN:L23100GJ1990PLC014692
PAN:AAACJ4907C
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
07-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2017 DIRECTED SEBI TO DISPOSE OFF REPRESENTATION OF THE APPELLANT. NO COSTS
SEBI VIDE ITS ORDER DATED 04/09/2017 MODIFIED THE ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 AND CONSEQUENTIAL ACTIONS TAKEN BY STOCK EXCHANGES 1) TRADING IN SECURITIES OF KIL SHALL BE REVERTED TO XT GROUP OF BSE WITH APPLICABLE PRICE BAND IN TRADE TO TRADE CATEGORY. EXCHANGE SHALL APPOINT AN INDEPENDENT AUDITOR TO CONDUCT FORENSIC AUDIT OF KIL FOR VERIFICATION, INCLUDING CREDENTIALS/FINANCIALS OF KIL 2) PROMOTERS AND DIRECTORS IN KIL ARE PERMITTED ONLY TO BUY THE SECURITIES OF KIL. SHARES HELD BY PROMOTERS AND DIRECTORS IN KIL SHALL NOT BE ALLOWED TO BE TRANSFERRED FOR SALE, BY DEPOSITORIES 3) OTHER ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 IN PARA 1 (D), AS MAY BE APPLICABLE, AND THE CONSEQUENTIAL ACTION TAKEN BY STOCK EXCHANGES SHALL CONTINUE TO HAVE EFFECT AGAINST KAVIT INDUSTRIES LTD. THESE DIRECTIONS SHALL TAKE EFFECT IMMEDIATELY AND SHALL BE IN FORCE UNTIL FURTHER ORDERS
|
| 12 |
|
|
JASWANT RAICHAND THAKKAR
(PAN:AAQPT8875L)
|
|
|
|
KAVIT INDUSTRIES LTD.
CIN:L23100GJ1990PLC014692
PAN:AAACJ4907C
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
07-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2017 DIRECTED SEBI TO DISPOSE OFF REPRESENTATION OF THE APPELLANT. NO COSTS
SEBI VIDE ITS ORDER DATED 04/09/2017 MODIFIED THE ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 AND CONSEQUENTIAL ACTIONS TAKEN BY STOCK EXCHANGES 1) TRADING IN SECURITIES OF KIL SHALL BE REVERTED TO XT GROUP OF BSE WITH APPLICABLE PRICE BAND IN TRADE TO TRADE CATEGORY. EXCHANGE SHALL APPOINT AN INDEPENDENT AUDITOR TO CONDUCT FORENSIC AUDIT OF KIL FOR VERIFICATION, INCLUDING CREDENTIALS/FINANCIALS OF KIL 2) PROMOTERS AND DIRECTORS IN KIL ARE PERMITTED ONLY TO BUY THE SECURITIES OF KIL. SHARES HELD BY PROMOTERS AND DIRECTORS IN KIL SHALL NOT BE ALLOWED TO BE TRANSFERRED FOR SALE, BY DEPOSITORIES 3) OTHER ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 IN PARA 1 (D), AS MAY BE APPLICABLE, AND THE CONSEQUENTIAL ACTION TAKEN BY STOCK EXCHANGES SHALL CONTINUE TO HAVE EFFECT AGAINST KAVIT INDUSTRIES LTD. THESE DIRECTIONS SHALL TAKE EFFECT IMMEDIATELY AND SHALL BE IN FORCE UNTIL FURTHER ORDERS
|
| 13 |
|
|
KOKILA H.THAKKAR
(PAN:AFEPT1146H)
|
|
|
|
KAVIT INDUSTRIES LTD.
CIN:L23100GJ1990PLC014692
PAN:AAACJ4907C
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
07-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2017 DIRECTED SEBI TO DISPOSE OFF REPRESENTATION OF THE APPELLANT. NO COSTS
SEBI VIDE ITS ORDER DATED 04/09/2017 MODIFIED THE ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 AND CONSEQUENTIAL ACTIONS TAKEN BY STOCK EXCHANGES 1) TRADING IN SECURITIES OF KIL SHALL BE REVERTED TO XT GROUP OF BSE WITH APPLICABLE PRICE BAND IN TRADE TO TRADE CATEGORY. EXCHANGE SHALL APPOINT AN INDEPENDENT AUDITOR TO CONDUCT FORENSIC AUDIT OF KIL FOR VERIFICATION, INCLUDING CREDENTIALS/FINANCIALS OF KIL 2) PROMOTERS AND DIRECTORS IN KIL ARE PERMITTED ONLY TO BUY THE SECURITIES OF KIL. SHARES HELD BY PROMOTERS AND DIRECTORS IN KIL SHALL NOT BE ALLOWED TO BE TRANSFERRED FOR SALE, BY DEPOSITORIES 3) OTHER ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 IN PARA 1 (D), AS MAY BE APPLICABLE, AND THE CONSEQUENTIAL ACTION TAKEN BY STOCK EXCHANGES SHALL CONTINUE TO HAVE EFFECT AGAINST KAVIT INDUSTRIES LTD. THESE DIRECTIONS SHALL TAKE EFFECT IMMEDIATELY AND SHALL BE IN FORCE UNTIL FURTHER ORDERS
|
| 14 |
|
|
LIPIKA RAY
(PAN:BAIPR4092Q)
|
|
|
|
RITMAN INFRA LTD.
PAN:AAACL5238Q
CIN:L70109WB1981PLC033662
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-MAY-2019 TO 09-NOV-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-MAY-2019 TO 09-NOV-2019
07-AUG-2017
|
SEBI VIDE ITS ORDER DATED 10/05/2019 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR INDIRECTLY FOR SIX MONTHS FROM DATE OF THIS ORDER
|
| 15 |
|
|
MITUL JAGDISHBHAI THAKKAR
(PAN:ADJPT6974G)
|
|
|
|
KAVIT INDUSTRIES LTD.
CIN:L23100GJ1990PLC014692
PAN:AAACJ4907C
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
07-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2017 DIRECTED SEBI TO DISPOSE OFF REPRESENTATION OF THE APPELLANT. NO COSTS
SEBI VIDE ITS ORDER DATED 04/09/2017 MODIFIED THE ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 AND CONSEQUENTIAL ACTIONS TAKEN BY STOCK EXCHANGES 1) TRADING IN SECURITIES OF KIL SHALL BE REVERTED TO XT GROUP OF BSE WITH APPLICABLE PRICE BAND IN TRADE TO TRADE CATEGORY. EXCHANGE SHALL APPOINT AN INDEPENDENT AUDITOR TO CONDUCT FORENSIC AUDIT OF KIL FOR VERIFICATION, INCLUDING CREDENTIALS/FINANCIALS OF KIL 2) PROMOTERS AND DIRECTORS IN KIL ARE PERMITTED ONLY TO BUY THE SECURITIES OF KIL. SHARES HELD BY PROMOTERS AND DIRECTORS IN KIL SHALL NOT BE ALLOWED TO BE TRANSFERRED FOR SALE, BY DEPOSITORIES 3) OTHER ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 IN PARA 1 (D), AS MAY BE APPLICABLE, AND THE CONSEQUENTIAL ACTION TAKEN BY STOCK EXCHANGES SHALL CONTINUE TO HAVE EFFECT AGAINST KAVIT INDUSTRIES LTD. THESE DIRECTIONS SHALL TAKE EFFECT IMMEDIATELY AND SHALL BE IN FORCE UNTIL FURTHER ORDERS
|
| 16 |
|
|
P.J.MATHEW
|
|
|
DID NOT ADHERE TO SECURITIES CONTRACTS (REGULATIONS) MIMPS (MANNER OF INCREASING AND MAINTAINING PUBLIC SHAREHOLDING IN RECOGNIZED STOCK EXCHANGES) REGULATIONS, 2006
ACTED AS A PROXY FOR CERTAIN INDIVIDUAL SHAREHOLDERS OF EXCHANGE IN EGM
|
RESTRAINED FROM ACCEPTING ANY POSITION AS MANAGING DIRECTOR OR CHIEF EXECUTIVE OFFICER IN ANY OF SEBI RECOGNIZED STOCK EXCHANGES
19-MAR-2015
|
SAT: SAT VIDE ITS ORDER DATED 23/02/2017 DISPOSED OFF THE APPEAL AS INFRUCTUOUS. NO COSTS
|
| 17 |
|
|
PARAG MAJUMDAR
(PAN:AEKPM9980R)
|
|
|
|
RITMAN INFRA LTD.
PAN:AAACL5238Q
CIN:L70109WB1981PLC033662
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-MAY-2019 TO 09-NOV-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-MAY-2019 TO 09-NOV-2019
07-AUG-2017
|
SEBI VIDE ITS ORDER DATED 10/05/2019 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR INDIRECTLY FOR SIX MONTHS FROM DATE OF THIS ORDER
|
| 18 |
|
|
PUSHPA MAJUMDAR
(PAN:AFLPM2418Q)
|
|
|
|
RITMAN INFRA LTD.
PAN:AAACL5238Q
CIN:L70109WB1981PLC033662
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-MAY-2019 TO 09-NOV-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-MAY-2019 TO 09-NOV-2019
07-AUG-2017
|
SEBI VIDE ITS ORDER DATED 10/05/2019 DIRECTED TO RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR INDIRECTLY FOR SIX MONTHS FROM DATE OF THIS ORDER
|
| 19 |
|
|
RAJEEV KAPOOR
|
|
|
|
DELTA ALLIANCE FINANCIAL SERVICES
|
|
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
03-NOV-2004
|
FILED CRIMINAL COMPLAINT ON 11/07/2008 AND PUBLIC CAUTIONED AND ADVISED NOT TO DEAL WITH RAJEEV KAPOOR
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 20 |
|
|
SANTOSH KAHAR
(PAN:ASVPK7560J)
|
|
|
|
KAVIT INDUSTRIES LTD.
CIN:L23100GJ1990PLC014692
PAN:AAACJ4907C
|
|
DID NOT ADHERE TO SEBI LAWS/REGULATIONS
|
DIRECTED TRADING MEMBERS TO DO THE DUE DILIGENCE ON THE BASIS OF AUDITOR’S CERTIFICATE ALONG WITH THE DOCUMENTS, AS MENTIONED IN THE ORDER AND SUBMIT A REPORT TO THE EXCHANGE BY AUGUST 31, 2017
DIRECTED THAT THE TRADING IN ALL SUCH LISTED SECURITIES SHALL BE PLACED IN STAGE VI OF THE GRADED SURVEILLANCE MEASURE (GSM) WITH IMMEDIATE EFFECT. IF ANY LISTED COMPANY OUT OF THE SAID LIST IS ALREADY IDENTIFIED UNDER ANY STAGE OF GSM, IT SHALL ALSO BE MOVED TO GSM STAGE VI DIRECTLY
DIRECTED THAT THE SHARES HELD BY THE PROMOTERS AND DIRECTORS IN SUCH LISTED COMPANIES SHALL BE ALLOWED TO BE TRANSFERRED BY DEPOSITORIES ONLY UPON VERIFICATION BY CONCERNED EXCHANGES AND THEY SHALL NOT BE ALLOWED TO TRANSACT IN THE SECURITY EXCEPT TO BUY SECURITIES IN THE SAID LISTED COMPANY UNTIL VERIFICATION OF CREDENTIAL / FUNDAMENTAL BY EXCHANGES IS COMPLETED
DIRECTED EXCHANGES TO INITIATE A PROCESS OF VERIFYING THE CREDENTIALS/FUNDAMENTALS OF SUCH COMPANIES ON VERIFICATION, IF EXCHANGES DO NOT FIND APPROPRIATE CREDENTIALS / FUNDAMENTALS ABOUT EXISTENCE OF THE COMPANY, EXCHANGES SHALL INITIATE THE PROCEEDING FOR COMPULSORY DELISTING AGAINST THE COMPANY, AND THE SAID COMPANY SHALL NOT BE PERMITTED TO DEAL IN ANY SECURITY ON EXCHANGE PLATFORM AND ITS HOLDING IN ANY DEPOSITORY ACCOUNT SHALL BE FROZEN TILL SUCH DELISTING PROCESS IS COMPLETED
07-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2017 DIRECTED SEBI TO DISPOSE OFF REPRESENTATION OF THE APPELLANT. NO COSTS
SEBI VIDE ITS ORDER DATED 04/09/2017 MODIFIED THE ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 AND CONSEQUENTIAL ACTIONS TAKEN BY STOCK EXCHANGES 1) TRADING IN SECURITIES OF KIL SHALL BE REVERTED TO XT GROUP OF BSE WITH APPLICABLE PRICE BAND IN TRADE TO TRADE CATEGORY. EXCHANGE SHALL APPOINT AN INDEPENDENT AUDITOR TO CONDUCT FORENSIC AUDIT OF KIL FOR VERIFICATION, INCLUDING CREDENTIALS/FINANCIALS OF KIL 2) PROMOTERS AND DIRECTORS IN KIL ARE PERMITTED ONLY TO BUY THE SECURITIES OF KIL. SHARES HELD BY PROMOTERS AND DIRECTORS IN KIL SHALL NOT BE ALLOWED TO BE TRANSFERRED FOR SALE, BY DEPOSITORIES 3) OTHER ACTIONS ENVISAGED IN SEBI’S LETTER DATED 07/08/2017 IN PARA 1 (D), AS MAY BE APPLICABLE, AND THE CONSEQUENTIAL ACTION TAKEN BY STOCK EXCHANGES SHALL CONTINUE TO HAVE EFFECT AGAINST KAVIT INDUSTRIES LTD. THESE DIRECTIONS SHALL TAKE EFFECT IMMEDIATELY AND SHALL BE IN FORCE UNTIL FURTHER ORDERS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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| Page 1 of 2
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