| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
CAPITAL SMALL FINANCE BANK LTD.
(PAN:AABCC3632Q)
|
|
|
ALLEGED INDULGENCE IN ALLOTMENT OF EQUITY SHARES TO 402 PERSONS VIOLATING SECTION 67(3) OF COMPANIES ACT, 1956 READ WITH CORRESPONDING PROVISIONS OF COMPANIES ACT, 2013
ALLEGED INDULGENCE IN ALLOTMENT OF EQUITY SHARES TO 402 PERSONS VIOLATING SEBI (DISCLOSURE AND INVESTOR PROTECTION) GUIDELINES, 2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,80,000 VIDE CONSENT ORDER)
10-JUN-2022
|
|
| 2 |
|
|
MANGALAM GLOBAL ENTERPRISE PVT.LTD.
|
|
|
|
ANILKUMAR AGARWAL
PAN:ADJPA0005B
|
|
|
MADHUSUDAN GARG
PAN:AAWPG4088Q
|
|
|
MANISH BAGADIA
PAN:AAYPB4783F
|
|
|
PRAVEEN KUMAR GUPTA
PAN:ABMPG5461G
|
|
|
RUTU SHAH
PAN:HIJPS7864A
|
|
|
SARIKA MODI
PAN:AJDPM8227B
|
|
|
SHUBHANG MITTAL
PAN:ACSPM9459K
|
|
|
VRUNDA PATEL
PAN:CUQPP7384G
|
|
ALLEGED INDULGENCE IN PUBLISHING OF MISSTATED FINANCIAL STATEMENTS, PASSING OF FICTITIOUS BOOK ENTRIES AND DIVERSION OF FUNDS FROM THE COMPANY FOR BENEFIT OF PROMOTER GROUP COMPANIES VIOLATING REGULATIONS 4(2)(E) (1), 4(2)(F)(I)(1),(2), 4(2)(F)(II)(2),(5),(6),(7),(8) AND 4(2)(F)(III)(1),(2),(3),(6),(8),(12),(14), 25(5) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27(1) OF SEBI ACT, 1992 IN MATTER OF MANGALAM GLOBAL ENTERPRISE LTD.
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE AS A MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PART A OF PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANGALAM GLOBAL ENTERPRISE LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF RELATED PARTY TRANSACTIONS IN ANNUAL REPORTS VIOLATING REGULATION 34(3) READ WITH SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF MANGALAM GLOBAL ENTERPRISE LTD.
ALLEGED FAILURE IN PERFORMING DUTY AS COMPLIANCE OFFICER VIOLATING REGULATIONS 6(2)(A), 6(2)(C) AND 27(2) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF MANGALAM GLOBAL ENTERPRISE LTD.
ALLEGED VIOLATING SECTION 177 OF COMPANIES ACT, 2013
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,85,000 VIDE CONSENT ORDER)
30-MAR-2026
|
|
| 3 |
|
|
SK FINANCE LTD.
(PAN:AAACE5115F)
|
|
|
ALLEGED INDULGENCE IN ALLOTMENT OF 50 LACS NCDS TO KARVY CAPITAL LTD. ON 21/12/2018 AND KARVY DOWN SOLD THE SAME TO 500 NCD HOLDERS, ONE DAY PRIOR TO LISTING OF SUCH NCDS ON 31/12/2018 VIOLATING SECTIONS 23(1), 26(4), 26(6) AND 33(1) OF THE COMPANIES ACT, 2013
ALLEGED INDULGENCE IN ALLOTMENT OF 50 LACS NCDS TO KARVY CAPITAL LTD. ON 21/12/2018 AND KARVY DOWN SOLD THE SAME TO 500 NCD HOLDERS, ONE DAY PRIOR TO LISTING OF SUCH NCDS ON 31/12/2018 VIOLATING REGULATIONS 4(3), 6 TO 9 AND 16 OF SEBI (ISSUE & LISTING OF DEBT SECURITIES) REGULATIONS, 2008
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,75,000 VIDE CONSENT ORDER)
12-FEB-2026
|
|
| 4 |
|
|
TATA CAPITAL LTD.
(PAN:AADCP9147P)
|
|
|
ALLEGED INDULGENCE IN ISSUANCES OF UNLISTED CUMULATIVE REDEEMABLE PREFERENCE SHARES ON PRIVATE PLACEMENT BASIS VIOLATING SECTIONS 23(1), 26(4) READ WITH 2(70), 26(6) READ WITH SECTIONS 26(1), 33(1) AND 40 OF COMPANIES ACT, 2013
ALLEGED CUMULATIVE REDEEMABLE PREFERENCE SHARES WERE SOLD TO MORE THAN TWO HUNDRED INVESTORS WITHIN SIX MONTHS FROM DATE OF ALLOTMENT VIOLATING REGULATIONS 4(2)(A), 4(5), 5(2)(B), 6 TO 9, 13, 16 AND 22 OF SEBI (ISSUE AND LISTING OF NCRPS) REGULATIONS, 2013
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,40,000 VIDE CONSENT ORDER)
02-DEC-2025
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
