| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
HIRAK NATH SOUNTH
|
|
|
|
ROOFERS REALTY LTD.
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI IN MATTER OF IN MATTER OF ROOFERS REALTY LTD.
|
LAUNCHED PROSECUTION PROCEEDINGS
SIMPLE IMPRISONMENT FOR ONE YEAR
IMPOSED FINE RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-JUL-2019
|
CONVICTION
|
| 2 |
|
|
JAYANTI SOUNTH
|
|
|
|
ROOFERS REALTY LTD.
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI IN MATTER OF IN MATTER OF ROOFERS REALTY LTD.
|
LAUNCHED PROSECUTION PROCEEDINGS
SIMPLE IMPRISONMENT FOR ONE YEAR
IMPOSED FINE RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-JUL-2019
|
CONVICTION
|
| 3 |
|
|
KHUDIRAM SOUNTH
|
|
|
|
ROOFERS REALTY LTD.
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI IN MATTER OF IN MATTER OF ROOFERS REALTY LTD.
|
IMPOSED FINE RS.2,50,000
26-JUL-2019
|
CONVICTION
|
| 4 |
|
|
P.K.JAIN
|
|
|
|
XEDD TELECOM LTD.
|
|
DID NOT TRANSFER SHARES LODGED FOR TRANSFER
|
IMPOSED FINE RS.53,150 ALONG WITH OTHER ENTITIES/PERSONS
02-FEB-2000
|
SPECIAL JUDGE FOR ECONOMIC OFFENCES, HYDERABAD. COURT ORDERED THAT OUT OF AMOUNT COLLECTED FROM COMPANY AND ITS MANAGING DIRECTOR, A SUM OF RS. 5,000 SHALL BE PAID TO SEBI TOWARDS COST OF PROCEEDINGS
|
| 5 |
|
|
SAURAVMOY GHOSH
|
|
|
|
ROOFERS REALTY LTD.
|
|
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI IN MATTER OF IN MATTER OF ROOFERS REALTY LTD.
|
LAUNCHED PROSECUTION PROCEEDINGS
SIMPLE IMPRISONMENT FOR ONE YEAR
IMPOSED FINE RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
26-JUL-2019
|
CONVICTION
|
| 6 |
|
|
SUNEETI RAJ MATHUR
|
|
|
|
V.R.MATHUR MASS COMMUNICATIONS LTD.
|
|
MIS-STATEMENTS IN PROSPECTUS OF PUBLIC ISSUE OF V.R.MATHUR MASS COMMUNICATIONS LTD.
|
IMPOSED FINE RS.15,000
22-AUG-2002
|
COMPANY LAW BOARD VIDE ITS ORDER DATED 06/12/2005 CONFIRMED THAT OFFENCES UNDER SECTION 63 AND 68 OF THE COMPANIES ACT, 1956 HAVE BEEN COMPOUNDED AND COMPOUNDING FEE OF RS.45,000.00 HAS BEEN REMMITTED BY THE APPLICANTS ON 28/11/2005
|
| 7 |
|
|
SUSHMA ASHOK GUPTA
(PAN:AAJPG9621L)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 12 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(1) READ WITH 3(3) OF SAST REGULATIONS, 2011 IN MATTER OF SVC RESOURCES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) AND 13(4A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SVC RESOURCES LTD.
|
IMPOSED FINE RS.3,40,000
31-JUL-2020
|
SEBI VIDE ITS NOTICE DATED 22/07/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 31/07/2020. DIRECTED APPELLANTS TO APPEAR BEFORE THE AO ON 30/06/2022 AND DIRECTED AO TO DECIDE THE MATTER AFRESH WITHIN FOUR MONTHS AFTER THE REPLY RECEIVED
|
| 8 |
|
|
VIMAL RAJ MATHUR
(PAN:AIDPM9858P)
|
|
|
|
V.R.MATHUR MASS COMMUNICATIONS LTD.
|
|
MIS-STATEMENTS IN PROSPECTUS OF PUBLIC ISSUE OF V.R.MATHUR MASS COMMUNICATIONS LTD.
|
IMPRISONMENT FOR THREE MONTHS
IMPOSED FINE RS.15,000
22-AUG-2002
|
COMPANY LAW BOARD VIDE ITS ORDER DATED 06/12/2005 CONFIRMED THAT OFFENCES UNDER SECTION 63 AND 68 OF THE COMPANIES ACT, 1956 HAVE BEEN COMPOUNDED AND COMPOUNDING FEE OF RS.45,000.00 HAS BEEN REMMITTED BY THE APPLICANTS ON 28/11/2005
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
