| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.H.RIZVI
|
|
|
|
RIZVI EXPORTS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-AUG-2001 TO 13-AUG-2006
14-AUG-2001
|
|
| 2 |
|
|
A.K.AHILAN
|
|
|
|
AVR SECURITIES LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 3 |
|
|
A.K.GUPTA
|
|
|
|
SEEMA INDUSTRIES LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 4 |
|
|
A.K.KHEMKA
|
|
|
|
GLOBE STOCKS & SECURITIES LTD.
PAN:AABCG0032A
CIN:L67120WB1994PLC065574
|
|
DID NOT FURNISH FINANCIAL RESULTS INCLUDING CASH FLOW STATEMENTS, BALANCE SHEET AND PROFIT & LOSS ACCOUNT TO STOCK EXCHANGE
SECURITIES UNDER INVESTIGATION
|
SUSPENDED TRADING ON ALL STOCK EXCHANGES FROM 30-NOV-2005 TILL FURTHER ORDERS
30-NOV-2005
|
INTERIM ORDER DATED 30/11/2005 STANDS VACATED
|
| 5 |
|
|
A.K.MAHESHWARY
|
|
|
|
VIDIANI AGROTECH INDUSTRIES LTD.
CIN:U05001UP1992PLC014547
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2001 TO 27-FEB-2006
28-FEB-2001
|
|
| 6 |
|
|
A.KRISHNA KUMAR
|
|
|
|
SAIGRUHA FINANCES & ENGINEERING LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 7 |
|
|
A.KRISHNAMURTHY
|
|
|
|
UNIVERSAL VITA ALIMENTARE LTD.
|
|
DECLARED AS A VANISHING COMPANY
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2002 TO 26-SEP-2007
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2002 TO 26-SEP-2007
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 27-SEP-2002 TO 26-SEP-2007
27-SEP-2002
|
|
| 8 |
|
|
A.RAMAKRISHNA REDDY
|
|
|
|
PREMIER AQUA FARMS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2001 TO 27-FEB-2006
28-FEB-2001
|
|
| 9 |
|
|
A.RAMAKRISHNA REDDY
|
|
|
|
PREMIER AQUA FARMS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 10 |
|
|
A.SHANTI
|
|
|
|
PREMIER AQUA FARMS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2001 TO 27-FEB-2006
28-FEB-2001
|
|
| 11 |
|
|
A.SHANTI
|
|
|
|
PREMIER AQUA FARMS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-1999 TO 16-DEC-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-1999 TO 16-DEC-2004
17-DEC-1999
|
|
| 12 |
|
|
A.VASANTA KUMARI
|
|
|
|
SAIGRUHA FINANCES & ENGINEERING LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-FEB-2000 TO 02-FEB-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2000 TO 02-FEB-2005
03-FEB-2000
|
|
| 13 |
|
|
ABHA GOYAL
|
|
|
|
HINDUSTAN TOOLS & FORGINGS LTD.
|
|
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
HINDUSTAN TOOLS & FORGINGS LTD. NOT PHYSICALLY TRACEABLE AT THE REGISTERED OFFICE ADDRESS
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-AUG-2004 TO 05-AUG-2009
PROHIBITED PUBLIC COMPANIES IN WHICH THIS DIRECTOR HAS CONTROLLING/SUBSTANTIAL INTEREST TO RAISE FUNDS FROM CAPITAL MARKET FROM 06-AUG-2004 TO 05-AUG-2009
06-AUG-2004
|
|
| 14 |
|
|
ABHIJIT PRABHAKAR DESAI
(PAN:AEKPD9806M)
|
|
|
|
BIRLA PACIFIC MEDSPA LTD.
CIN:L85100MH2008PLC184689
PAN:AADCB5167F
|
|
INDULGED IN SIPHONING OFF/DIVERSION OF IPO PROCEEDS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), (D) AND (E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
DID NOT MAKE DISCLOSURES OF DEVIATION IN USE OF IPO PROCEEDS ALONG WITH FINANCIAL RESULTS AS PER THE OBJECTS STATED IN THE PROSPECTUS TO STOCK EXCHANGES VIOLATING CLAUSE 43A OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
INDULGED IN MIS-UTILIZATION OF IPO PROCEEDS AS PER THE OBJECTS STATED IN THE PROSPECTUS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(E), (F) AND (K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BIRLA PACIFIC MEDSPA LTD.
|
IMPOSED PENALTY RS.32,00,000
28-SEP-2022
|
|
| 15 |
|
|
AJAI VIKRAM SINGH
|
|
|
ALLEGED VIOLATION OF CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN THE MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 16 |
|
|
AJAY DHAWAN
|
|
|
|
CALDYN AIRCON LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-JUL-1999 TO 18-JUL-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUL-1999 TO 18-JUL-2004
19-JUL-1999
|
|
| 17 |
|
|
AJAY MAHAJAN
|
|
|
|
DANIN LEATHERS LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-MAY-2000 TO 10-MAY-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-MAY-2000 TO 10-MAY-2005
11-MAY-2000
|
|
| 18 |
|
|
AJAY SINGH
(PAN:AMOPS6983Q)
|
|
|
|
RASOYA PROTEINS LTD.
CIN:L15143MH1992PLC066662
PAN:AABCM1757C
|
|
DID NOT MAKE DISCLOSURES TO BSE AS REQUIRED UNDER CLAUSE 22 AND 36 OF LISTING AGREEMENT AND MADE FALSE & MISLESDING DISCLOSURES/REPRESENTATIONS IN ANNUAL REPORT OF RASOYA PROTIEN LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-SEP-2014 TO 22-OCT-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-SEP-2014 TO 22-OCT-2021
DIRECTED NOT TO DEAL IN SECURITIES OR INSTRUMENT EXCHANGEABLE OR CONVERTIBLE INTO SECURITIES, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
24-SEP-2014
|
SEBI VIDE ITS ORDER DATED 23/03/2015 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 24/09/2014
SAT: SAT VIDE ITS ORDER DATED 12/09/2017 DISPOSED OFF THE APPEAL AS THE COUNSEL FOR SEBI ON INSTRUCTION STATES THAT INVESTIGATION IN CASE OF APPELLANT WOULD BE COMPLETED WITHIN A PERIOD OF THREE MONTHS FROM DATE OF THIS ORDER AND IF DEEMED FIT SHOW CAUSE NOTICE WOULD BE ISSUED WITHIN A PERIOD OF TWO WEEKS THEREAFTER. NO COSTS
|
| 19 |
|
|
AJAY SUREKA
|
|
|
|
CALDYN AIRCON LTD.
|
|
DID NOT ADHERE TO LISTING AGREEMENT
COMPANY WAS NOT LOCATED AT ITS REGISTERED OFFICE ADDRESS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 04-OCT-2000 TO 03-OCT-2005
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2000 TO 03-OCT-2005
04-OCT-2000
|
|
| 20 |
|
|
AKASH RAJKUMAR SARAF
(PAN:AAFPS8849C)
|
|
|
|
ZENITH INFOTECH LTD.
PAN:AAACZ0401B
|
|
DID NOT DISCLOSE PENDING LITIGATION BETWEEN ZENITH INFOTECH LTD.AND TRUSTEE FOR FCCB HOLDERS AS REQUIRED UNDER CLAUSE 36(5) OF LISTING AGREEMENT
ATTEMPTED TO TAKE AWAY ASSETS OF COMPANY DIRECTLY OR INDIRECTLY FOR OWN BENEFITS OR FOR BENEFIT OF ENTITIES OWNED & CONTROLLED BY THEM IN MATTER OF ZENITH INFOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-MAR-2018 TO 13-MAR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-MAR-2018 TO 13-MAR-2020
DIRECTED TO FURNISH BANK GUARANTEE OF A MINIMUM TENOR OF ONE YEAR FOR USD 33.93 MILLION IN NAME OF SEBI WITHOUT USING FUNDS OF ZENITH INFOTECH LTD. OR CREATING CHARGE ON ASSETS OF ZENITH INFOTECH LTD.
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 14-MAR-2018 TO 13-MAR-2020
25-MAR-2013
|
SAT: SAT VIDE ITS ORDER DATED 23/07/2013 REMANDED THE MATTER TO SEBI FOR FRESH CONSIDERATION EXPEDITIOUSLY AND PREFERABLY WITHIN A PERIOD OF SIX WEEKS FROM RECEIVING A COPY OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 11/04/2014 CONFIRMED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 25/03/2013
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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