| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ALCHEMIST HOLDINGS LTD.
(CIN:U74899DL1995PLC074874
PAN:AAACM5575D)
|
|
|
|
ASHIMA SOOD
DIN:00037854
PAN:AMZPS9585P
|
|
|
BALVIR SINGH
DIN:00139599
PAN:AAAPS5463P
|
|
|
SUKRIT SOOD
DIN:00084077
PAN:AOBPS0340E
|
|
|
SUNIL KANTI KAR
DIN:00476819
PAN:AEQPK2126K
|
|
MOBILIZED RS.444.67 CRORES THROUGH ALLOTMENT OF 44,46,72,800 REDEEMABLE PREFERENCE SHARES TO 4,26,676 ALLOTTEES VIOLATING SECTIONS 56, 60, 67(3), 69 AND 73 OF COMPANIES ACT, 1956 IN MATTER OF ALCHEMIST HOLDINGS LTD.
|
DIRECTED NOT TO COLLECT ANY MONEY FROM THE INVESTORS FROM 18-JUN-2021 TO 17-JUN-2025
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 18-JUN-2021 TO 17-JUN-2025
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 18-JUN-2021 TO 17-JUN-2025
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-JUN-2021 TO 17-JUN-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
20-SEP-2013
|
SEBI VIDE ITS ORDER DATED 14/08/2015 DIRECTED TO A) JOINTLY AND SEVERALLY, SHALL FORTHWITH REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF RPS WITH INTEREST @ 15% P.A. COMPOUNDED AT HALF YEARLY INTERVALS FROM DATE OF REPAYMENTS BECAME DUE TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PERMITTED TO SELL ASSETS OF THE COMPANY ONLY FOR SOLE PURPOSE OF MAKING REFUND AND DEPOSIT PROCEEDS IN ESCROW ACCOUNT OPENED WITH A NATIONALISED BANK C) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND D) FILE CERTIFICATE OF SUCH COMPLETION WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION E) DIRECTED TO PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, OF HELD IN PHYSICAL FORM F) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, AND ARE ALSO RESTRAINED FROM ASSOCIATING THEMSELVES WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC, FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SAT: SAT VIDE ITS ORDER DATED 29/06/2018 UPHELD IMPUGNED ORDER DATED 14/08/2015 AND DELETED THE DIRECTION GIVEN BY WTM OF SEBI TO PAY INTEREST ‘COMPOUNDED AT HALF YEARLY INVERVALS’. NO COSTS
|
| 2 |
|
|
CAPACIOUS FARMING PVT.LTD.
(CIN:U01200PB2011PTC034816
PAN:AAECC3138N)
|
|
|
|
GAURAV YADAV
PAN:ACQPY5145E
|
|
|
GURBAKHSH SINGH
DIN:01452151
PAN:BCLPS1117G
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
DIRECTED NOT TO COLLECT ANY MONEY FROM THE INVESTORS FROM 31-MAY-2023 TO 30-MAY-2026
DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 31-MAY-2023 TO 30-MAY-2026
DIRECTED TO SUBMIT REPORT IN REGARD TO WINDING UP OF CIS AND REPAYMENT OF MONIES TO SEBI IN ACCORDANCE TO CIS REGULATIONS
DIRECTED NOT TO DISPOSE OF ANY OF THE PROPERTIES OR ALIENATE (DIRECTLY OR INDIRECTLY) ASSETS OF THE SCHEME FROM 31-MAY-2023 TO 30-MAY-2026
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
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 31-MAY-2023 TO 30-MAY-2026
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 31-MAY-2023 TO 30-MAY-2026
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 31-MAY-2023 TO 30-MAY-2026
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 FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
16-JUN-2015
|
SAT: SAT VIDE ITS ORDER DATED 07/11/2017 SET ASIDED IMPUGNED ORDER DATED 16/06/2015 AND DIRECTED APPELLANTS TO FURNISH DOCUMENTS E.G. AGREEMENTS EXECUTED UNDER THE SCHEMES FLOATED BY THE COMPANY, DETAILS OF SALES RETURNS, AMOUNTS RECEIVED AND REFUNDED TO THE CUSTOMERS ETC. WITHIN A PERIOD OF FOUR WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 12/07/2021 DIRECTED TO 1) ABSTAIN FROM COLLECTING ANY MONEY FROM INVESTORS OR LAUNCH OR CARRY OUT ANY COLLECTIVE INVESTMENT SCHEMES 2) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET FOR A PERIOD OF FOUR YEARS 3) WIND UP ITS EXISTING SCHEME AND REFUND THE MONEY COLLECTED UNDER SCHEME WITH RETURNS WHICH ARE DUE TO INVESTORS AS PER TERMS OF OFFER WITHIN A PERIOD OF THREE MONTHS FROM DATE OF THIS ORDER AND SUBMIT WINDING UP AND REPAYMENT REPORT TO SEBI IN ACCORDANCE WITH SEBI (CIS) REGULATIONS, 1999, INCLUDING TRAIL OF FUNDS CLAIMED TO BE REFUNDED, BANK ACCOUNT STATEMENTS INDICATING REFUND TO INVESTORS AND RECEIPT FROM INVESTORS ACKNOWLEDGING SUCH REFUNDS 4) NOT TO ALIENATE OR DISPOSE OFF OR SELL ANY OF THE ASSETS OF THE COMPANY EXCEPT FOR THE PURPOSE OF MAKING REFUNDS TO ITS INVESTORS 5) PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECRUTIES, IF HELD IN PHYSICAL FORM
|
| 3 |
|
|
GOLDEN TREES PLANTATION LTD.
(PAN:AABCG5441R)
|
|
|
|
DINESHBHAI PRAHLADBHAI PATEL
PAN:BAEPP5589A
|
|
|
SHAILESHKUMAR DHAIYALAL PATEL
PAN:AYEPP6275A
|
|
|
USHABEN DIPAKKUMAR PATEL
PAN:ASZPP4304P
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
DID NOT WIND UP TO REPAY INVESTORS AS PER REGULATIONS
|
DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 03-NOV-2021 TO 02-NOV-2026
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
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 DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED TO FREEZE BANK ACCOUNTS
RESTRAINED FROM ACCESSING CAPITAL MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, STARTING FROM DATE OF THIS ORDER TILL EXPIRY OF FIVE YEARS FROM DATE OF BRINGING MONEY BACK INTO KTL’S BANK ACCOUNT AND DURING THIS PERIOD EXISTING HOLDING OF SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS) TO REMAIN FROZEN
14-MAR-2003
|
SEBI VIDE ITS ORDER DATED 03/11/2021 DIRECTED TO 1) JOINTLY AND SEVERALLY REFUND THE MONEY COLLECTED FROM INVESTORS UNDER ITS PLANTATION SCHEMES ALONG WITH SIMPLE INTEREST @ 15% P.A. WITHIN SIX MONTHS FROM DATE OF THIS ORDER, CALCULATED FROM 01/04/1993 TILL 31/10/2021 2) ISSUE PUBLIC NOTICES IN TWO NATIONAL DAILIES (ONE HINDI AND ONE ENGLISH) AND IN ONE LOCAL LANGUAGE NEWSPAPER EACH IN THE STATES OF GUJARAT, MAHARASHTRA AND RAJASTHAN, INVITING CLAIMS FROM THE INVESTORS FOR THE REFUNDS AS DIRECTED AND INFORMING ABOUT THE MODALITIES OF THE REFUND WITHIN A PERIOD OF ONE MONTH FROM THE DATE OF THIS ORDER 3) REPAYMENTS TO THE INVESTORS TO BE EFFECTED ONLY THROUGH BANK DEMAND DRAFT OR PAY ORDER OR ELECTRONIC FUND TRANSFER OR THROUGH ANY OTHER APPROPRIATE BANKING CHANNELS 4) FILE REPORT OF SUCH COMPLETION OF REFUND WITH SEBI DULY CERTIFIED BY TWO PEER REVIEWED INDEPENDENT CHARTERED ACCOUNTANTS 5) PREVENT FROM SELLING OR DISPOSING OFF THE ASSETS, PROPERTIES (INCLUDING IMMOVABLE PROPERTIES) AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM EXCEPT FOR THE SOLE PURPOSE OF MAKING THE REFUNDS AS DIRECTED 6) PROVIDE FULL INVENTORY OF ASSETS AND DETAILS OF ALL THE BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES IN PHYSICAL OR DEMAT FORMS WITHIN 21 DAYS FROM THE DATE OF THIS ORDER 7) DEPOSITORIES TO NOT TO ALLOW DEBITS FROM DEMAT ACCOUNTS (JOINT OR OTHERWISE) OF THE NOTICEES EXCEPT FOR THE PURPOSES OF COMPLIANCE WITH THE DIRECTION 8) BANKS TO FREEZE BANK ACCOUNTS OF THE NOTICEES WITH IMMEDIATE EFFECT TO THE EXTENT OF MONEY STILL DUE TO BE REFUNDED I.E. RS.32.39 CRORE TILL THE REFUND AS DIRECTED AND BANKS NOT TO ALLOW DEBITS FROM BANK ACCOUNTS (JOINT OR OTHERWISE) OF THE NOTICEES EXCEPT FOR THE PURPOSES 9) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY AND ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR FIVE YEARS FROM DATE OF THIS ORDER OR TILL SUCH TIME THE REFUNDS AS DIRECTED ARE COMPLETED
SEBI VIDE ITS NOTICE DATED 22/05/2023 DIRECTED TO PAY RS.39,93,96,408.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 4 |
|
|
PARADIGM AGRO PRODUCTS LTD.
(CIN:U74999MH1993PLC074700)
|
|
|
|
MANISH RAJENDRA BANTHIA
PAN:ADLPB8925F
|
|
|
PRAVIN PATKAR
|
|
|
RAJENDRAKUMAR DHANRAJ BANTHIA
PAN:AAWPB0958N
|
|
|
SHRIKANT GOPALDAS MANTRI
PAN:AAHPM1105F
|
|
|
SUSHIL GOPALDAS MANTRI
PAN:AFCPM3249L
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
|
DIRECTED TO WIND UP CIS AND REFUND MONEY TO THE INVESTORS FROM 29-NOV-2018 TO 28-NOV-2019
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2018 TO 28-NOV-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2018 TO 28-NOV-2019
29-NOV-2018
|
|
| 5 |
|
|
PARAMOUNT BIO-TECH INDUSTRIES LTD.
(CIN:U24231DL1996PLC082959
PAN:AACCP1163C)
|
|
|
|
BALDEV RAJ VARMA
PAN:AAHPV4890N
|
|
|
BHAWANI SRIVASTAVA
DIN:02833999
PAN:BMHPS8135C
|
|
|
GIRISH CHANDRA GUPTA
DIN:00273787
PAN:AIMPG6205H
|
|
|
PUSHPA GUPTA
DIN:02698562
|
|
DID NOT APPLY FOR REGISTRATION OF CIS
|
DIRECTED NOT TO COLLECT ANY MONEY FROM THE INVESTORS FROM 25-MAY-2018 TO 24-MAY-2023
DIRECTED NOT TO LAUNCH ANY NEW SCHEMES FROM 25-MAY-2018 TO 24-MAY-2023
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
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 25-MAY-2018 TO 24-MAY-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2018 TO 24-MAY-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2018 TO 24-MAY-2023
28-JAN-2005
|
SAT: APPEAL DISMISSED AS WITHDRAWN
SAT: DIRECTED TO DEPOSIT UNCLAIMED AMOUNT IN A NATIONALISED BANK UNDER INTIMATION TO SEBI
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
