| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.DEEPTHIKUMARI SHAH
(PAN:ALDPK3627M)
|
|
|
|
ARVIND REMEDIES LTD.
PAN:AACCA7407Q
|
|
AIDED AND ABETTED PROMOTERS AND PROMOTER CONNECTED ENTITIES IN OFF-LOADING OF SHARES IN FRAUDULENT MANNER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ARVIND REMEDIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF IN MATTER OF ARVIND REMEDIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) TO 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARVIND REMEDIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARVIND REMEDIES LTD.
|
IMPOSED PENALTY RS.17,00,000
24-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 14/01/2025 GRANTED TWO DAYS TO FILE IMPUGNED ORDER
|
| 2 |
|
|
A.DEEPTHIKUMARI SHAH
(PAN:ALDPK3627M)
|
|
|
AIDED AND ABETTED PROMOTERS AND PROMOTER CONNECTED ENTITIES IN OFF-LOADING OF SHARES IN FRAUDULENT MANNER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ARVIND REMEDIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF IN MATTER OF ARVIND REMEDIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) TO 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARVIND REMEDIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARVIND REMEDIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-AUG-2022 TO 23-AUG-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-AUG-2022 TO 23-AUG-2025
RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 24-AUG-2022 TO 23-AUG-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED TO DISGORGE RS.56,52,800
24-AUG-2022
|
SAT: SAT VIDE ITS ORDER DATED 14/01/2025 GRANTED TWO DAYS TO FILE IMPUGNED ORDER
|
| 3 |
|
|
A.GANESAN
(PAN:AACPG8259M)
|
|
|
|
KAASHYAP TECHNOLOGIES LTD.
CIN:U72300TN1997PLC038233
PAN:AAACK4451A
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION OF GDR ISSUE VIOLATING SECTION 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 KASHYAP TECHNOLOGIES LTD.
|
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-APR-2019 TO 11-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-APR-2019 TO 11-APR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 23/12/2022 CONDONED THE DELAY IN FILING OF APPEAL AND GRANTED THREE WEEKS TO FILE REJOINDER FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 13/02/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 4 |
|
|
A.GANESAN
(PAN:AACPG8259M)
|
|
|
|
KAASHYAP TECHNOLOGIES LTD.
CIN:U72300TN1997PLC038233
PAN:AAACK4451A
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION OF GDR ISSUE VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KAASHYAP TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.10,00,000
29-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 26/05/2023 DIRECTED TO PAY RS.11,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 23/06/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 5 |
|
|
A.H.GEETHA
(PAN:AMDPG6469L)
|
|
|
AIDED AND ABETTED PROMOTERS AND PROMOTER CONNECTED ENTITIES IN OFF-LOADING OF SHARES IN FRAUDULENT MANNER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ARVIND REMEDIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-AUG-2022 TO 23-FEB-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-AUG-2022 TO 23-FEB-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.5,00,000
24-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 26/02/2024 DIRECTED TO PAY RS.5,96,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/03/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 6 |
|
|
A.N.ALAWANI
(PAN:AAXPA8052D)
|
|
|
TRADED WHILE IN POSSESSION OF NON-PUBLIC INFORMATION OF CAPITAL LOSS 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 KIRLOSKAR BROTHERS LTD.
TRADED ON BEHALF OF KIRLOSKAR INDUSTRIES LTD. WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 2(HA) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KIRLOSKAR BROTHERS LTD.
|
IMPOSED PENALTY RS.15,00,000
20-OCT-2020
|
SAT: SAT VIDE ITS ORDER DATED 29/11/2023 DIRECTED CHIEF REGULATORY OFFICER OF NSDL TO FILE AFFIDAVIT BY TOMORROW WHY THE DEMAT ACCOUNT WAS NOT DEFREEZE IMMEDIATELY AFTER RECEIVING THE ORDER OF THE TRIBUNAL
SAT: SAT VIDE ITS ORDER DATED 04/12/2023 DISPOSED OF MISC.APPLICATION AND DIRECTED SEBI TO PAY COST RS.5 LAC, TO BE DEPOSITED BEFORE REGISTRAR OF TRIBUNAL WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 7 |
|
|
A.P.KURIAS
(PAN:AAHPK2699E)
|
|
|
DEVISED AND IMPLEMENTED SCHEME WHICH FACILITATED SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA BY PLEDGING GDR VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF ZENITH BIRLA (INDIA) LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-MAR-2021 TO 29-MAR-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAR-2021 TO 29-MAR-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-MAR-2021
|
|
| 8 |
|
|
A.P.KURIAS
(PAN:AAHPK2699E)
|
|
|
|
ZENITH STEEL PIPES & INDUSTRIES LTD.
PAN:AAACZ0103C
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION SUBMITTED TO EURAM BANK VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF ZENITH STEEL PIPES & INDUSTRIES LTD. (ERSTWHILE ZENITH BIRLA (INDIA) LTD.)
|
IMPOSED PENALTY RS.10,00,000
16-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 16/05/2023 DIRECTED TO PAY RS.11,21,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 05/06/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 9 |
|
|
A.R.SATHE
(PAN:ABLPS3829D)
|
|
|
TRADED WHILE IN POSSESSION OF NON-PUBLIC INFORMATION OF CAPITAL LOSS 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 KIRLOSKAR BROTHERS LTD.
|
IMPOSED PENALTY RS.15,00,000
20-OCT-2020
|
|
| 10 |
|
|
A.R.SATHE
(PAN:ABLPS3829D)
|
|
|
TRADED WHILE IN POSSESSION OF NON-PUBLIC INFORMATION OF CAPITAL LOSS 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 KIRLOSKAR BROTHERS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-OCT-2020 TO 19-JAN-2021
20-OCT-2020
|
|
| 11 |
|
|
A.RAMAKRISHNAIAH
(PAN:AHKPA5243Q)
|
|
|
|
VENMAX DRUGS & PHARMACEUTICALS LTD.
PAN:AAACY1073C
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A (A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VENMAX DRUGS & PHARMACEUTICALS LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 14-JUL-2021 TO 13-JAN-2022
14-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/01/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/03/2022ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 12 |
|
|
A.RAMAKRISHNAIAH
(PAN:AHKPA5243Q)
|
|
|
|
VENMAX DRUGS & PHARMACEUTICALS LTD.
PAN:AAACY1073C
|
|
INDULGED IN MIS-STATEMENT OF ACCOUNTS AND DIVERSION OF FUNDS FROM LISTED COMPANY AND/OR ITS SUBSIDIARIES/ASSOCIATES VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS LTD.
|
IMPOSED PENALTY RS.3,00,000
14-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/01/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/03/2022ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 13 |
|
|
A.S.SODHI
(PAN:ALZPS2923G)
|
|
|
|
RANA SUGARS LTD.
PAN:AABCR6744C
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION VIOLATING SECTION 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 RANA SUGARS LTD.
|
DIRECTED TO TAKE APPROPRIATE NECESSARY STEPS TO ENSURE COMPLIANCE OF THE DIRECTION TO BRING BACK USD 2.27 MN
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JAN-2020 TO 30-JAN-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JAN-2020 TO 30-JAN-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
31-JAN-2020
|
SAT: SAT VIDE ITS ORDER DATED 19/11/2020 DISMISSED AS WITHDRAWN THE APPEAL AND APPELLANTS TO FILE A SEPARATE APPEAL WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 DISMISSED THE APPEAL
|
| 14 |
|
|
A.SIVAKUMARAN
(PAN:AIYPS4944H)
|
|
|
|
KAASHYAP TECHNOLOGIES LTD.
CIN:U72300TN1997PLC038233
PAN:AAACK4451A
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION OF GDR ISSUE VIOLATING SECTION 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 KASHYAP TECHNOLOGIES LTD.
|
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-APR-2019 TO 11-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-APR-2019 TO 11-APR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 23/12/2022 CONDONED THE DELAY IN FILING OF APPEAL AND GRANTED THREE WEEKS TO FILE REJOINDER FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 13/02/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 15 |
|
|
A.SIVAKUMARAN
(PAN:AIYPS4944H)
|
|
|
|
KAASHYAP TECHNOLOGIES LTD.
CIN:U72300TN1997PLC038233
PAN:AAACK4451A
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION OF GDR ISSUE VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KAASHYAP TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.10,00,000
29-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 17/05/2023 DIRECTED TO PAY RS.11,11,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 08/06/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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
|
| 16 |
|
|
A.SRINIVAS
(PAN:AHZPA1708R)
|
|
|
|
ABHISHEK INFRAVENTURES LTD.
PAN:AAACE2100L
|
|
MISUSED THE FUNDS RAISED THROUGH PREFERENTIAL ALLOTMENT VIOLATING SECTIONS 12(A) TO 12A(B) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABHISHEK INFRAVENTURES LTD.
|
IMPOSED PENALTY RS.14,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-SEP-2022
|
|
| 17 |
|
|
A.VENKATESWARLU
(PAN:BKEPA5210K)
|
|
|
|
VENMAX DRUGS & PHARMACEUTICALS LTD.
PAN:AAACY1073C
|
|
INDULGED IN MIS-STATEMENT OF ACCOUNTS AND DIVERSION OF FUNDS FROM LISTED COMPANY AND/OR ITS SUBSIDIARIES/ASSOCIATES VIOLATING SECTIONS 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CG POWER & INDUSTRIAL SOLUTIONS LTD.
|
IMPOSED PENALTY RS.6,00,000
14-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/01/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/03/2022ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 18 |
|
|
A.VENKATESWARLU
(PAN:BKEPA5210K)
|
|
|
|
VENMAX DRUGS & PHARMACEUTICALS LTD.
PAN:AAACY1073C
|
|
INDULGED IN MISREPRESENTATION OF FINANCIALS AND/OR BUSINESS AND MISUSE OF FUNDS/BOOKS OF ACCOUNTS VIOLATING SECTIONS 12A (A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1) AND 4(2)(F) & (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VENMAX DRUGS & PHARMACEUTICALS LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 14-JUL-2021 TO 13-JUL-2022
14-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/01/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 08/03/2022ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
|
| 19 |
|
|
AAKESH CHOPRA
(PAN:AENPC7889Q)
(Along with : KIRTI SALVI,
AMBRISH BARSATI PAL)
|
|
|
|
MPF SYSTEMS LTD.
PAN:AADCM7896A
|
|
DID NOT DEMONSTRATE ANY STEP TO RECOVER SUNDRY DEBTS AND ALSO FAILED TO FILE ANY DOCUMENT TO SUBSTANTIATE THEIR SUBMISSION TO RECTIFY ERROR MADE BY EARLIER MANAGEMENT VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (R) OF PFUTP REGULATIONS, 2003
ACCEPTED LOANS & ADVANCES FROM DIRECTORS (INCLUDING INDEPENDENT DIRECTORS) WITHOUT SPECIFYING THE TERMS OF REPAYMENT AND PAYING/CHARGING ANY INTEREST
DID NOT ADHERE TO SEBI REGULATIONS APPROVING LOAN TRANSACTIONS BETWEEN COMPANY AND DIRECTORS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (R) OF PFUTP REGULATIONS, 2003
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2020
|
SEBI VIDE ITS ORDER DATED 22/12/2020 ENHANCED PENALTY AMOUNT FROM RS.6.00 LACS TO RS.10.00 LACS AND DIRECTED TO PAY WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/03/2021 ALLOWED TWO WEEKS TIME TO FILE APPROPRIATE APPLICATION ALONG WITH AFFIDAVIT FOR CONDONING THE DELAY
|
| 20 |
|
|
AAKESH CHOPRA
(PAN:AENPC7889Q)
(Along with : KIRTI SALVI,
ANIL KOTHARI,
AMBRISH BARSATI PAL)
|
|
|
|
MPF SYSTEMS LTD.
PAN:AADCM7896A
|
|
DID NOT FOLLOW PRINCIPLES OF CORPORATE GOVERNANCE TO PROTECT RIGHTS OF MINOR SHAREHOLDERS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(F) & (R) OF PFUTP REGULATIONS, 2003
DID NOT CLEAR STATUS REGARDING NUMBER OF INDEPENDENT DIRECTOR DURING INVESTIGATION PERIOD VIOLATING REGULATION 17 OF SEBI (LODR) REGULATIONS, 2015
DID NOT MAKE PROVISION OF INDEPENDENT DIRECTOR IN AUDIT COMMITTEE IN ANNUAL REPORT OF 2014 VIOLATING REGULATION 18(1) (B) OF SEBI (LODR) REGULATIONS, 2015
MISREPRESENTED ACCOUNTING STANDARD AND FINANCIAL DISCLOSURE VIOLATING REGULATION 33(2) (A) OF SEBI (LODR) REGULATIONS, 2015
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-FEB-2020
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SEBI VIDE ITS ORDER DATED 22/12/2020 ENHANCED PENALTY AMOUNT FROM RS.4.00 LACS TO RS.6.00 LACS AND DIRECTED TO PAY WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/03/2021 ALLOWED TWO WEEKS TIME TO FILE APPROPRIATE APPLICATION ALONG WITH AFFIDAVIT FOR CONDONING THE DELAY
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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