| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANKIT PRACHI TRADING & INVESTMENTS LTD.
(PAN:AACCA2024M
CIN:L65923WB1992PLC054001)
|
|
|
|
AJAY KUMAR DOKANIA
|
|
|
JAIEDEO DOKANIA
|
|
|
PRADEEP PODDAR
|
|
DID NOT CARRY INSCRIPTION NON-TRANSFERABLE ON SHARES WHICH WERE UNDER LOCK-IN
|
NO ACTION AS BENEFIT OF DOUBT GRANTED
07-SEP-2004
|
|
| 2 |
|
|
ASHISH KIRTI KOTHARI (HUF)
(PAN:AAKHA2028N)
|
|
|
INDULGED IN FRONT RUNNING THE TRADES OF BIG CLIENTS VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) READ WITH 2(1) (C) OF SEBI (PFUTP) REGULATIONS, 2003
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.4,82,63,670 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-JAN-2025 UNTIL FURTHER ORDERS
DIRECTED TO CREDIT/DEPOSIT AMOUNT OF UNLAWFUL GAINS IN INTEREST BEARING ESCROW ACCOUNT WITH NATIONALIZED BANK WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
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 CEASE & DESIST FROM DIRECTLY OR INDIRECTLY, ENGAGED IN FRAUDULENT, MANIPULATIVE OR UNFAIR TRADE PRACTICE INCLUDING FRONT RUNNING ACTIVITIES FROM 27-JAN-2025 UNTIL FURTHER ORDERS
27-JAN-2025
|
|
| 3 |
|
|
BASIL INTERNATIONAL LTD.
(PAN:AACCB0938K)
|
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|
BIPLAB TALUKDAR
PAN:AEQPT3738N
|
|
|
JAYANTA KUMAR BASU
DIN:02827066
PAN:AKSPB8412H
|
|
|
MOHAMMED AFAQUE AHMAD
DIN:05110815
PAN:AJCPA6064F
|
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MONAMI BASU
PAN:ADPKB3250C
|
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NIRMALENDU BHOWMIK
PAN:ASFPB6456J
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|
PINTU ROY
DIN:06395752
|
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|
SANTANU CHAKRABORTY
DIN:02403146
|
|
|
SUSANTA KUMAR JANA
PAN:AGJPJ1097K
|
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|
SUSANTO CHATTERJEE
PAN:ADNPC9257F
|
|
|
VIVEK KUMAR
DIN:03524074
PAN:ADNPK9149E
|
|
MOBILIZED RS.9.35 CRORE FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 5,180 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH 2(36), 67(1) TO 67(3) AND 73(1) TO 73(3) OF COMPANIES ACT, 1956
MOBILIZED RS.9.35 CRORE FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 5,180 INVESTORS VIOLATING REGULATION 16(1) OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
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 29-FEB-2024 TO 28-FEB-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-FEB-2024 TO 28-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-FEB-2024 TO 28-FEB-2025
29-FEB-2024
|
SEBI VIDE ITS NOTICE DATED 15/04/2025 DIRECTED TO PAY RS.9,35,00,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 4 |
|
|
DIAMONDRAY INDUSTRIES LTD.
(CIN:U29253WB2012PLC175512)
|
|
|
|
MOHAMMED ABDUR RAZZAK MONDAL
DIN:03499377
PAN:AJLPM6376M
|
|
|
SUBRATA BANDYOPADHYAY
DIN:03499342
PAN:AGYPB6263A
|
|
|
TAIEBUL HAQUE SAHAJI
DIN:02844680
PAN:BAAPS3033G
|
|
MOBILIZED RS.40.25 LAC FROM PUBLIC THROUGH ISSUANCE OF 4025 REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 208 INVESTORS VIOLATING SECTIONS 56 (1) AND (3), SECTION 60 READ WITH SECTIONS 2(36), 67(3), 73(1) TO 73(3) OF THE COMPANIES ACT, 1956 READ WITH SECTION 465(2) OF THE COMPANIES ACT, 2013 IN MATTER OF DIAMONDRAY INDUSTRIES LTD.
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
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
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
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-JUL-2024 TO 30-JUL-2026
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 31-JUL-2024 TO 30-JUL-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-JUL-2024 TO 30-JUL-2026
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 31-JUL-2024 TO 30-JUL-2026
31-JUL-2024
|
|
| 5 |
|
|
GREATDEAL FINCONSULT ADVISORS LLP
(PAN:AAJFG7532J)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
25-JUL-2024
|
|
| 6 |
|
|
MAXGROW FINTRADE PVT.LTD.
(PAN:AAJCM8974D)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (CONSENT ORDER) (DIRECTED TO DISGORGE)
26-APR-2024
|
|
| 7 |
|
|
RE INDIA INFRATECH LTD.
(CIN:U45400DL2010PLC206350
PAN:AAECR8905J)
|
|
|
|
NITESH KUMAR SINGH
PAN:BACPS9359B
|
|
MOBILIZED RS.16.88 CRORE FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 13,662 INVESTORS VIOLATING SECTIONS 56, 60 READ WITH SECTIONS 2(36), 67(3) AND 73 OF THE COMPANIES ACT, 1956 READ WITH SECTION 465(2) OF THE COMPANIES ACT, 2013 IN MATTER OF RE INDIA INFRATECH LTD.
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
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 24-FEB-2025 TO 23-FEB-2027
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-FEB-2025 TO 23-FEB-2027
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-FEB-2025 TO 23-FEB-2027
24-FEB-2025
|
|
| 8 |
|
|
S.P.NATURAL ECO-GREEN PROJECTS (INDIA) LTD.
(CIN:U74900WB2011PLC165318)
|
|
|
|
BARNALI NATUYA
DIN:06401255
PAN:AQIPN8430D
|
|
|
BISHWAJIT NATUYA
DIN:03491395
PAN:AGXPN6610N
|
|
|
SUBAL NATUYA
DIN:03491438
|
|
MOBILIZED RS.59.52 LAC FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 649 INVESTORS VIOLATION OF SECTION 56, 60, 67(3) AND 73(1) TO 73(3) OF THE COMPANIES ACT, 1956 READ WITH SECTION 465(2) OF THE COMPANIES ACT, 2013 IN MATTER OF S.P.NATURAL ECO-GREEN PROJECTS (INDIA) LTD.
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
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
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
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 29-JUL-2024 TO 28-JUL-2026
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUL-2024 TO 28-JUL-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUL-2024 TO 28-JUL-2026
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 29-JUL-2024 TO 28-JUL-2026
29-JUL-2024
|
|
| 9 |
|
|
SAMSON MARKETING PVT.LTD.
|
|
|
DID NOT CARRY INSCRIPTION NON-TRANSFERABLE ON SHARES WHICH WERE UNDER LOCK-IN
|
NO ACTION AS BENEFIT OF DOUBT GRANTED
07-SEP-2004
|
|
| 10 |
|
|
SAMSON VINCOM PVT.LTD.
|
|
|
DID NOT CARRY INSCRIPTION NON-TRANSFERABLE ON SHARES WHICH WERE UNDER LOCK-IN
|
NO ACTION AS BENEFIT OF DOUBT GRANTED
07-SEP-2004
|
|
| 11 |
|
|
SANDHYA PROJECTS LTD.
(CIN:U45400WB2008PLC124935)
|
|
|
|
DILIP SAHA
DIN:01944168
|
|
|
RAJIB KUMAR SAHA
DIN:01534716
|
|
|
SUBINDU PRAMANIK
DIN:01925354
|
|
MOBILIZED RS.20.58 LAC FROM PUBLIC THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) BY WAY OF PRIVATE PLACEMENT TO 221 INVESTORS VIOLATING SECTIONS 56(1), 56(3), 60 READ WITH 2(36), 67(3), 73(1), 73(2) AND 7(3) OF COMPANIES ACT, 1956 READ WITH SECTION 465(2) OF COMPANIES ACT, 2013
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ISSUANCE OF REDEEMABLE PREFERENCE SHARES (RPS) INCLUDING APPLICATION MONEY ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
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 27-FEB-2024 TO 26-FEB-2025
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-FEB-2024 TO 26-FEB-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-FEB-2024 TO 26-FEB-2025
27-FEB-2024
|
|
| 12 |
|
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SAVEDA VENTURE CAPITAL FUND
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
SUSPENDED REGISTRATION AS ALTERNATE INVESTMENT FUND
16-FEB-2024
|
|
| 13 |
|
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SEYA INDUSTRIES LTD.
(PAN:AABCS4522R)
|
|
|
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AMRIT ASHOK RAJANI
PAN:AESPR7990G
|
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ASHOK GHANSHYAMDAS RAJANI
PAN:AFBPR5891J
|
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ASIT KUMAR BHOWMIK
PAN:ABUPB8276C
|
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SIVAPRASADA RAO BUDDI
PAN:ABIPB0047K
|
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MISREPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEYA INDUSTRIES LTD.
SIPHONED OFF FUNDS/ASSETS TO PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS (VIZ. WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD.) ON PRETEXT OF PURCHASES/SALES FROM/TO THEM AND/OR THROUGH UNDISCLOSED FUND TRANSFERS VIOLATING SETIONS 12A(B) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(C) TO 3(D), 4(1), 4(2)(F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SEYA INDUSTRIES LTD.
MISPRESENTED FINANCIAL STATEMENTS/RESULTS AND DID NOT GIVE A TRUE AND FAIR VIEW OF FINANCIAL PERFORMANCE AND POSITION VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), (G), (J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH PROMOTER GROUP COMPANY/COMPANIES RELATED TO PROMOTERS (VIZ. WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD.) AND DID NOT TAKE AUDIT COMMITTEE AND/OR SHAREHOLDER’S APPROVAL FOR UNDISCLOSED RELATED PARTY TRANSACTIONS VIOLATING REGULATIONS 4(1)(A) TO 4(1)(B), 4(2)(E)(I), 23(2), 23(4), 23(9), 33(1)(C), 34(3) READ WITH PART A OF SCHEDULE V AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D) TO 4(1)(J) AND 30(2) AND 30(3) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
SHOWN WRONG DETAILS OF ATTENDEES OF BOARD MEETINGS, AUDIT AND RISK MANAGEMENT COMMITTEE MEETINGS IN ANNUAL REPORT VIOLATING REGULATIONS 4(1)(C) AND 34(3) READ WITH CLAUSE 2(B) AND 3(C) OF PART C OF SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
APPOINTED AUDITORS WHO DID NOT HAVE VALID PEER REVIEW CERTIFICATE ISSUED BY ICAI AS STATUTORY AUDITOR VIOLATING REGULATION 33(1)(D) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT PROVIDE INFORMATION AND/OR SUBMITTED WRONG AND MISLEADING INFORMATION TO SEBI IN MATTER OF SEYA INDUSTRIES LTD.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II AND REGULATION 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT DISCLOSE MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES VIOLATING REGULATION 8(1) READ WITH CLAUSE 1 OF SCHEDULE A OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE VIOLATING SECTION 27 OF SEBI ACT, 1992 AND REGULATION 18(3) READ WITH PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SEYA INDUSTRIES LTD.
|
DIRECTED TO FILE PUBLIC DISCLOSURE TO THE STOCK EXCHANGES AS WELL AS PUBLISH ON COMPANY’S WEBSITE THE CONTENTS OF THIS ORDER-CUM-SHOW CAUSE NOTICE WITHIN THREE DAYS FROM DATE OF RECEIPT THIS ORDER
DIRECTED TO DISCLOSE UPDATED STATUS OF ALL UNDISCLOSED MATERIAL EVENTS/INFORMATION TO STOCK EXCHANGES WITHIN FIFTEEN DAYS FROM DATE OF RECEIPT OF THIS ORDER
DIRECTED NOT TO SELL/DISPOSE OF/DILUTE SHAREHOLDING IN COMPANY, HELD DIRECTLY OR INDIRECTLY THROUGH FAMILY MEMBERS OR THROUGH COMPANIES IN WHICH THEY OR THEIR FAMILY MEMBERS DIRECTORS
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 02-MAY-2025 TO 01-MAY-2030
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 02-MAY-2025 TO 01-MAY-2030
IMPOSED PENALTY RS.1,68,00,00,000
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 02-MAY-2025 TO 01-MAY-2030
DIRECTED TO ENSURE THAT FUNDS/VALUE OF ASSETS SIPHONED OFF BY WHIZ ENTERPRISES PVT.LTD., ANEEKA UNIVERSAL PVT.LTD. AND SHRI BALAJI ENTERTAINMENTS PVT.LTD. AMOUNTING TO RS.81.26 CRORE BROUGHT BACK TO SEYA INDUSTRIES LTD. ALONG WITH INTEREST @12 % P.A. FROM DATE OF TRANSFER OF FUNDS/ASSETS AS PER BANK ACCOUNT TRANSACTIONS/GST RETURNS TILL DATE OF BRINGING BACK FUNDS WITHIN SIX MONTHS FROM DATE OF ORDER
20-MAR-2023
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| 14 |
|
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SHARES BAZAAR AIF
|
|
|
SUBMITTED FALSE INFORMATION ALONG WITH APPLICATION FOR REGISTRATION AS ALTERNATIVE INVESTMENT FUND
NOT A FIT & PROPER PERSON TO GRANT REGISTRATION AS ALTERNATE INVESTMENT FUND
|
RESTRAINED FROM TAKING NEW COMMITMENTS/INVESTMENTS FROM ANY INVESTORS
RESTRAINED FROM DRAWING DOWN FUNDS FROM INVESTORS FOR COMMITMENTS ALREADY RECEIVED
01-FEB-2024
|
SEBI VIDE ITS ORDER DATED 30/10/2024 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 01/02/2024
SAT: SAT VIDE ITS ORDER DATED 30/01/2025 CONDONED THE DELAY OF 11 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER
|
| 15 |
|
|
VEDANTA LTD.
(PAN:AACCS7101B)
|
|
|
DELAY IN PAYMENT OF DIVIDEND TO CAIRN UK HOLDINGS LTD.
|
DIRECTED TO PAY RS.77.62 CRORE ALONG WITH SIMPLE INTEREST @18% P.A. FOR THE DELAYED PAYMENT OF DIVIDEND CAINUK HOLDINGS LTD.
12-MAR-2024
|
SAT: SAT VIDE ITS ORDER DATED 20/03/2024 STAYED EFFECT AND OPERATION OF IMPUGNED ORDER AND DIRECTED APPELLANT TO DEPOSIT 50% OF INTEREST AMOUNT TO CAIRN UK HOLDINGS LTD. IN INTEREST BEARING ACCOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 18/06/2024 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK THEREAFTER TO FILE REJOINDER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
