| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANANYA TRADERS PVT.LTD.
|
|
|
|
S.DUTTA ROY
|
|
|
S.SENGUPTA
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 2 |
|
|
BRIGGS TRADING CO.PVT.LTD.
(PAN:AAACB4674J)
(Along with : ZEE TELEFILMS LTD.)
|
|
|
AIDED AND ABETTED KP ENTITIES IN LARGE SCALE MARKET MANIPULATIONS OF VARIOUS SCRIPS INCLUDING ZEE ENTERTAINMENT ENTERPRISES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-MAR-2008
|
|
| 3 |
|
|
CHURU TRADING CO.PVT.LTD.
(Along with : ZEE TELEFILMS LTD.)
|
|
|
AIDED AND ABETTED KP ENTITIES IN LARGE SCALE MARKET MANIPULATIONS OF VARIOUS SCRIPS INCLUDING ZEE ENTERTAINMENT ENTERPRISES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-MAR-2008
|
|
| 4 |
|
|
DIGITAL SUPER HIGHWAY PVT.LTD.
(Along with : ZEE TELEFILMS LTD.)
|
|
|
AIDED AND ABETTED KP ENTITIES IN LARGE SCALE MARKET MANIPULATIONS OF VARIOUS SCRIPS INCLUDING ZEE ENTERTAINMENT ENTERPRISES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-MAR-2008
|
|
| 5 |
|
|
EXV FINVEST LTD.
|
|
|
|
S.G.DHANUKA
|
|
|
S.N.SINGH
|
|
DID NOT EXERCISE DUE SKILL AND DILIGENCE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-JAN-2009
|
|
| 6 |
|
|
FARM SILO TECH LLP (AKA.GROWPITAL)
(PAN:AAHFF4274C)
|
|
|
|
GAYATRI RINWA
PAN:AQPPR9353N
|
|
|
KRISHNA SHARMA (AKA.KRISHNNA JOSHI)
PAN:DFXPS7404R
|
|
|
KRISHNNA JOSHI (AKA.KRISHNA SHARMA)
PAN:DFXPS7404R
|
|
|
RITURAJ SHARMA
PAN:DEMPS5345H
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
OFFERED FIXED TAX-FREE PROFITS IN THE RANGE OF 11 TO 14% THROUGH INVESTMENTS IN AGRICULTURE SECTOR
|
DIRECTED TO CEASE & DESIST FROM FLOATING ANY COLLECTIVE INVESTMENT SCHEMES (CIS), DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER
DIRECTED TO CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITY AS COLLECTIVE INVESTMENT SCHEMES (CIS), IN ANY MANNER WHATSOEVER
DIRECTED NOT TO COLLECT MONEY FROM NEW INVESTORS OR ANY ADDITIONAL SUM OF MONEY FROM EXISTING INVESTORS UNDER ITS EXISTING SCHEMES
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 29-JAN-2024 UNTIL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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 IMMEDIATELY WITHDRAW AND REMOVE ALL WEBSITES, ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, COMMUNICATIONS ETC. IN RELATION TO UNREGISTERED CIS ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JAN-2024 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JAN-2024 UNTIL FURTHER ORDERS
DIRECTED TO SUBMIT DETAILS OF PARTNERS/INVESTORS (CONTACT NUMBER, ADDRESS AND DATE OF ENROLLMENT) WHO HAVE CONTRIBUTED TO ZF PROJECT LLPS (NOW OR IN THE PAST) THROUGH GROWPITAL OR ANY OTHER PLATFORM AND TO SUBMIT DETAILS OF CONTRIBUTIONS RECEIVED FROM EACH SUCH PARTNER/INVESTOR
DIRECTED NOT TO ACCEPT ANY PAYMENTS MADE THROUGH GROWPITAL OR ON BEHALF OF GROWPITAL
DIRECTED BANKS, DEPOSITORIES, REGISTRAR AND TRANSFER AGENTS TO FREEZE BANK ACCOUNTS, DEMAT ACCOUNTS BELONGING TO ENTITIES AND NOT TO ALLOW TRANSFER OR REDEMPTION OF SECURITIES OF THE ENTITIES
29-JAN-2024
|
SEBI VIDE ITS ORDER DATED 26/04/2024 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 29/01/2024 AND
SAT: SAT VIDE ITS ORDER DATED 16/04/2024 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED SEBI TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND FURTHER, DIRECTED APPELLANTS TO FILE REJOINDER WITHIN THREE WEEKS THEREAFTER
|
| 7 |
|
|
GANJAM TRADING CO.PVT.LTD.
(PAN:AAACG3975H)
(Along with : ZEE TELEFILMS LTD.)
|
|
|
AIDED AND ABETTED KP ENTITIES IN LARGE SCALE MARKET MANIPULATIONS OF VARIOUS SCRIPS INCLUDING ZEE ENTERTAINMENT ENTERPRISES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-MAR-2008
|
|
| 8 |
|
|
GOOD VALUE MARKETING CO.LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
10-OCT-2003
|
|
| 9 |
|
|
INDIA EMERGING COMPANIES INVESTMENT LTD.
|
|
|
DEALT IN SCRIP OF TATA FINANCE LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
11-JAN-2008
|
|
| 10 |
|
|
INVESTOPHER RESEARCH SERVICES PVT.LTD.
(PAN:AAGCI0072B)
|
|
|
MADE MISLEADING CLAIMS ON ITS WEBSITE
DID NOT INTIMATE SEBI ABOUT MATERIAL CHANGE IN INFORMATION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
02-JUL-2025
|
|
| 11 |
|
|
ISPAT INDUSTRIES LTD.
|
|
|
|
ANIL SUREKA
|
|
DID NOT MAKE ADEQUATE DISCLOSURES AS PER SEBI REGULATIONS IN THE LISTING AGREEMENT IN RESPECT OF PRICE SENSITIVE INFORMATION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-MAR-2004
|
|
| 12 |
|
|
NEWAGE FINSEC PVT.LTD.
|
|
|
|
SANJIV MAHAJAN
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF TACTFULL INVESTMENTS LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
02-SEP-2003
|
|
| 13 |
|
|
NIFTYPRO TRADING RESEARCH
(PAN:AMAPP3518Q)
|
|
|
|
SAMEER PANDE
PAN:AMAPP3518Q
|
|
USED WORDS BEST AND ACCURATE ON ITS WEBSITE PROHIBITED AS PER SEBI CIRCULAR
DISPLAYED MISLEADING AND/OR DECEPTIVE TESTIMONIALS ON ITS WEBSITE
DID NOT MENTION ITS PAST PERFORMANCE ON ITS WEBSITE
MISLED CLIENTS BY MAKING ASSURED PROFIT COMMITMENT
MADE SPECIFIC CLAIMS OF EXPECTED RETURNS TO POTENTIAL CLIENTS
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
14-MAY-2025
|
|
| 14 |
|
|
PAISABAZAAR MARKETING & CONSULTING PVT.LTD.
(PAN:AACCE9326L)
|
|
|
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-JAN-2024
|
|
| 15 |
|
|
PRABODH ARTHA SANCHAY PVT.LTD.
|
|
|
|
MOHAN GUJARATI
|
|
|
NALINI GUJARATI
|
|
|
RAM DIMBLE
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE IN SCRIP OF CYBERSPACE LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
13-MAY-2003
|
|
| 16 |
|
|
PRAJATMA TRADING CO.PVT.LTD.
(Along with : ZEE TELEFILMS LTD.)
|
|
|
AIDED AND ABETTED KP ENTITIES IN LARGE SCALE MARKET MANIPULATIONS OF VARIOUS SCRIPS INCLUDING ZEE ENTERTAINMENT ENTERPRISES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-MAR-2008
|
|
| 17 |
|
|
PREMIER FINANCE & TRADING CO.PVT.LTD.
(Along with : ZEE TELEFILMS LTD.)
|
|
|
AIDED AND ABETTED KP ENTITIES IN LARGE SCALE MARKET MANIPULATIONS OF VARIOUS SCRIPS INCLUDING ZEE ENTERTAINMENT ENTERPRISES LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
19-MAR-2008
|
|
| 18 |
|
|
REDDITO CAPITAL INVESTMENT ADVISORS PVT.LTD.
(PAN:AAJCR2361R)
|
|
|
DID NOT OBTAIN “KNOW YOUR CLIENTS” DETAILS BEFORE PROVIDING ADVISORY SERVICES
SOLD HIGH-RISK PRODUCT/SERVICE TO CLIENT WITH MODERATE/LOW RISK APPETITE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
28-MAR-2024
|
|
| 19 |
|
|
RELIGARE ASSET MANAGEMENT CO.LTD.
|
|
|
|
SAURABH NANAVATI
|
|
DISPLAY AND VOICE-OVER STANDARD WARNING IN AUDIO VISUAL OF ADVERTISEMENT OF NFO WAS NOT AS PER STANDARDS AND IT WAS OF LESS THAN FIVE SECONDS AS REQUIRED UNDER REGULATION 77 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
09-FEB-2010
|
|
| 20 |
|
|
TAURAS PORTFOLIOS LTD.
|
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
V.K.AGARWAL
|
|
MANIPULATED PRICE IN SCRIP OF INFORMATION TECHNOLOGIES (INDIA) LTD.
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
31-MAR-2004
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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