| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
HBJ CAPITAL SERVICES PVT.LTD.
(CIN:U65999KA2010PTC052350
PAN:AACCH3450L)
|
|
|
|
ABHISHEK KUMAR SINGH
PAN:BGJPS4452C
|
|
|
AMRITA SINGH
PAN:BDPPS4879G
|
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ARUNMOZHI GOPALAN
PAN:AIJPA0575F
|
|
|
JITENDRA KUMAR
PAN:AVVPJ1321K
|
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KUMAR HARENDRA
PAN:AJSPK3749B
|
|
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PONNURAJ GOKULRAJ
PAN:AOWPG7071H
DIN:06716876
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
ACTED AS AN ALTERNATIVE INVESTMENT FUNDS WITHOUT SEBI REGISTRATION
|
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS , KEPT IN BANK ACCOUNT (S) AND / OR IN THE CUSTODY OF HBJ CAPITAL OR ITS DIRECTORS AND HBJ CAPITAL LLP AND ITS DISIGNATED PARTNERS
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR ALTERNATIVE INVESTMENT FUND AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITIES IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 15-JUN-2015 TILL FURTHER ORDERS
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 15-JUN-2015 TILL FURTHER ORDERS
DIRECTED TO FURNISH DETAILS OF VARIOUS SERVICES OFFERED BY COMPANY / LLP
DIRECTED TO FURNISH DETAILS OF PRESENT ASSET UNDER MANAGEMENT (AUM) OF EACH OF SERVICES OFFERED BY HBJ CAPITAL LLP FROM DATE OF INITATION
DIRECTED TO FURNISH BREAK UP OF AUM UNDER VARIOUS ASSET CLASSES
DIRECTED TO FURNISH DETAILS OF CLIENTS AVAILING VARIOUS SCHEMES OFFERED BY THEM, SUCH AS NAMES, JOINING DATE, NAME OF SCHEME, END DATE AND KYC PARTICULARS ETC.
DIRECTED TO FURNISH CLIENT-WISE DETAILS OF FUNDS MOBILIZED
DIRECTED TO FURNISH OF DEMAT ACCOUNTS STATEMENTS
DIRECTED TO FURNISH COPIES OF LLP AGREEMENTS
DIRECTED TO PROVIDE PAN NO.AND/OR DIN OF DIRECTORS
15-JUN-2015
|
SEBI VIDE ITS ORDER DATED 07/01/2020 DIRECTED TO A) REFUND THE MONEY COLLECTED FROM CLIENTS IN THE FORM OF FEES WITHIN THREE MONTHS FROM DATE OF THIS ORDER THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PRODUCE PEER REVIEWED CHARTERED ACCOUNTANT’S CERTIFICATE, FOR REPAYMENTS CLAIMED TO MADE BY THE COMPANY, CERTIFYING REPAYMENT ON VERIFICATION OF ACKNOWLEDGMENT OF RECEIPT OF PAYMENT FROM THE INVESTORS WITH ORIGINAL DOCUMENT OF PROOF OF IDENTITY, ADDRESS AND SIGNATURE ISSUED BY STATE/CENTRAL GOVERNMENT TO THE INVESTOR BEARING HIS SIGNATURE, CORRESPONDING DEBIT FROM THE BANK ACCOUNT OF COMPANY AND A STATEMENT IN CHARTERED ACCOUNTANT’S CERTIFICATE ENCLOSING COPIES OF VERIFIED DOCUMENTS
|
| 2 |
|
|
HBJ CAPITAL VENTURES LLP
(PAN:AAFFH9963E)
|
|
|
|
AMRITA SINGH
PAN:BDPPS4879G
|
|
|
KUMAR HARENDRA
PAN:AJSPK3749B
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
ACTED AS AN ALTERNATIVE INVESTMENT FUNDS WITHOUT SEBI REGISTRATION
|
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS , KEPT IN BANK ACCOUNT (S) AND / OR IN THE CUSTODY OF HBJ CAPITAL OR ITS DIRECTORS AND HBJ CAPITAL LLP AND ITS DISIGNATED PARTNERS
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR ALTERNATIVE INVESTMENT FUND AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITIES IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 15-JUN-2015 TILL FURTHER ORDERS
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 15-JUN-2015 TILL FURTHER ORDERS
DIRECTED TO FURNISH DETAILS OF VARIOUS SERVICES OFFERED BY COMPANY / LLP
DIRECTED TO FURNISH DETAILS OF PRESENT ASSET UNDER MANAGEMENT (AUM) OF EACH OF SERVICES OFFERED BY HBJ CAPITAL LLP FROM DATE OF INITATION
DIRECTED TO FURNISH BREAK UP OF AUM UNDER VARIOUS ASSET CLASSES
DIRECTED TO FURNISH DETAILS OF CLIENTS AVAILING VARIOUS SCHEMES OFFERED BY THEM, SUCH AS NAMES, JOINING DATE, NAME OF SCHEME, END DATE AND KYC PARTICULARS ETC.
DIRECTED TO FURNISH CLIENT-WISE DETAILS OF FUNDS MOBILIZED
DIRECTED TO FURNISH OF DEMAT ACCOUNTS STATEMENTS
DIRECTED TO FURNISH COPIES OF LLP AGREEMENTS
DIRECTED TO PROVIDE PAN NO.AND/OR DIN OF DIRECTORS
15-JUN-2015
|
SEBI VIDE ITS ORDER DATED 07/01/2020 DIRECTED TO A) REFUND THE MONEY COLLECTED FROM INVESTORS/PERTNERS ALONG WITH PROMISED RETURN IF ANY, WITHIN THREE MONTHS FROM DATE OF THIS ORDER THROUGH BANK DEMAND DRAFT OR PAY ORDER B) PRODUCE PEER REVIEWED CHARTERED ACCOUNTANT’S CERTIFICATE, FOR REPAYMENTS CLAIMED TO MADE BY THE COMPANY, CERTIFYING REPAYMENT ON VERIFICATION OF ACKNOWLEDGMENT OF RECEIPT OF PAYMENT FROM ITS PARTNERS WITH ORIGINAL DOCUMENT OF PROOF OF IDENTITY, ADDRESS AND SIGNATURE ISSUED BY STATE/CENTRAL GOVERNMENT TO PARTNER BEARING HIS SIGNATURE, CORRESPONDING DEBIT FROM THE BANK ACCOUNT OF COMPANY AND STATEMENT IN CHARTERED ACCOUNTANT’S CERTIFICATE ENCLOSING COPIES OF VERIFIED DOCUMENTS
|
| 3 |
|
|
SWASATA CEMENT LTD.
(PAN:AAICS5911M)
|
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CHANDRANI DAN
PAN:AGOPD6484H
|
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JEBA PARWEEN
|
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JOYDEB BISWAS
DIN:03038041
PAN:AWLPB2553Q
|
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MANAS KUMAR DAN
DIN:06575386
PAN:ACSPD7017Q
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PRASANTA CHATTERJEE
DIN:06575389
PAN:ADQPC5674F
|
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RENU SINGH
|
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SATYA RANJAN CHAUDHARI
DIN:00739191
PAN:ACEPC5756F
|
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SWAPNA CHAUDHURI
DIN:00739243
PAN:AEIPC6387B
|
|
MOBILIZED RS.6.64 CRORES THROUGH ISSUANCE OF SECURED NON-CONVERTIBLE REDEEMABLE DEBENTURES (NCDS) BY WAY OF PRIVATE PLACEMENT TO 11,013 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 73 AND 117B-C OF THE COMPANIES ACT, 1956 AND THE DEBT SECURITIES REGULATIONS
|
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC AND/OR INVITE SUBSCRIPTION, IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 01-FEB-2018 TO 31-JAN-2022
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 01-FEB-2018 TO 31-JAN-2022
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-FEB-2018 TO 31-JAN-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-FEB-2018 TO 31-JAN-2022
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DIRECTED NOT TO DISPOSE OF PROPERTIES/ASSETS OWNED OR ACQUIRED WITHOUT PRIOR PERMISSION OF SEBI FROM 01-FEB-2018 TO 31-JAN-2022
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 01-FEB-2018 TO 31-JAN-2022
DIRECTED TO PROVIDE LIST OF INVESTORS, THEIR ADDRESS, TELEPHONE NO. AND AMOUNT COLLECTED FROM EACH INVETORS
DIRECTED TO PROVIDE ALL INFORMATION REGARDING REPAYMENT MADE INCLUDING NAME OF DEBENTURES HOLDER, ADDRESS, AMOUNT MOBILIZED, NUMBER OF NON-CONVERTIBLE REDEEMABLE SECURED DEBENTURES ISSUED, PROMISED MATURITY AMOUNT WITH DATE OF MATURITY, AMOUNT REFUNDED AND DATE THEREOF
DIRECTED TO PROVIDE PAN NO.AND/OR DIN OF DIRECTORS
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
21-JUL-2015
|
SEBI VIDE ITS ORDER DATED 01/02/2018 DIRECTED TO A) REFUND THE MONEY COLLECTED THROUGH ISSUANCE OF NCDS WITH INTEREST @ 15% P.A. FROM EIGHTH DAY OF COLLECTION OF FUNDS TO INVESTORS TILL DATE OF ACTUAL PAYMENT THROUGH BANK DEMAND DRAFT OR PAY ORDER B) TO PROVIDE FULL INVENTORY OF ASSETS & PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF MUTUAL FUNDS/SHARES/SECURITIES, IF HELD IN PHYSICAL AND DEMAT FORM, OF THE COMPANY AND THEIR OWN C) 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 D) ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES (ONE ENGLISH AND ONE HINDI) AND IN ONE LOCAL DAILY WITH WIDE CIRCULATION, DETAILING THE MODALITIES FOR REFUND E) FILE CERTIFICATE OF SUCH COMPLETION OF WITH SEBI CERTIFIED BY TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION F) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN WHATSOEVER MANNER FOR A PERIOD OF FOUR YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS
SEBI VIDE ITS NOTICE DATED 09/02/2021 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
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
