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S. No.
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DATE OF ORDER
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PERSON
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ENTITY
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COMPETENT AUTHORITY
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REGULATORY CHARGES
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REGULATORY ACTION(S) / DATE OF ORDER
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FURTHER DEVELOPMENTS
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1
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11-JUN-2026
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PRERNA SHARMA
(PAN:BJEPS7547A)
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SEBI
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DID NOT RENEW NISM CERTIFICATE
DID NOT SUBMIT PERIODIC REPORTS TO INVESTMENT ADVISER ADMINISTRATION AND SUPERVISORY BODY (IAASB)
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CANCELLED REGISTRATION AS INVESTMENT ADVISOR
11-JUN-2026
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|
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2
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08-JUN-2026
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VIVEK MATHUR
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EATONN FOODS & BEVERAGES PVT.LTD.
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DRT
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DEFAULTED IN PAYMENT OF DUES
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SUMMON
DEBTS RECOVERY TRIBUNAL,LUCKNOW
08-JUN-2026
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|
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3
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05-JUN-2026
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KAVITA DIDWANIA
(PAN:ABTPA8605K)
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SEBI
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INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
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IMPOSED PENALTY RS.5,00,000
05-JUN-2026
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|
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4
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04-JUN-2026
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SAMIR DUA
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|
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G.D.ISPAT UDYOG
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CBI
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OBTAINED CASH CREDIT LIMIT OF RS.4 CRORE BASED ON FALSE AND FABRICATED INFORMATION THEREBY CAUSING A WRONGFUL LOSS TO INDIAN OVERSEAS BANK
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RIGOROUS IMPRISONMENT FOR THREE YEARS AND FINE RS.15,000
04-JUN-2026
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5
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04-JUN-2026
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SASHA GULU MIRCHANDANI
(PAN:AACPM1608G)
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KAE CAPITAL FUND II
(PAN:AACTK5644C)
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|
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KAE CAPITAL MANAGEMENT PVT.LTD.
(PAN:AAGCM3183K)
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SEBI
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ALLEGED FAILURE TO ENSURE COMPLIANCE WITH MINIMUM CONTINUING INTEREST REQUIREMENT IN FUND VIOLATING REGULATIONS 20(1) READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN FOURTH SCHEDULE OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
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REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-JUN-2026
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6
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03-JUN-2026
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RAJESH JASVANTRAI MEHTA
(PAN:ADKPM0172C)
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|
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RAJESH EXPORTS LTD.
(PAN:AAACR8642N)
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SEBI
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DISSEMINATED FINANCIAL STATEMENTS AND ANNUAL REPORTS TO STOCK EXCHANGES AND INVESTORS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RAJESH EXPORTS LTD.
PUBLISHED MISREPRESENTED FINANCIAL RESULTS AND ANNUAL FINANCIAL STATEMENTS TO STOCK EXCHANGES AND INVESTORS VIOLATING REGULATIONS 4(1)(C), 4(1)(E), 4(1)(G), 4(1)(H), 4(1)(J) AND 4(2)(E)(I) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RAJESH EXPORTS LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS VIOLATING REGULATION 34(3) READ WITH CLAUSE 1 OF PARA A OF SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RAJESH EXPORTS LTD.
DID NOT PLACE RELATED PARTY TRANSACTIONS BEFORE AUDIT COMMITTEE AND DID NOT OBTAIN PRIOR APPROVAL FOR SUCH TRANSACTIONS VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RAJESH EXPORTS LTD.
DID NOT ADHERE TO ACCOUNTING STANDARDS INCLUDING IND AS 1, IND AS 21, IND AS 24, IND AS 32, IND AS 107, IND AS 110 AND IND AS 115 VIOLATING REGULATIONS 4(1)(A), 4(1)(B), 4(2)(E)(I), 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF RAJESH EXPORTS LTD.
DID NOT UPLOAD AUDITED FINANCIAL STATEMENTS OF ITS SUBSIDIARIES/STEP-DOWN SUBSIDIARIES ON WEBSITE VIOLATING REGULATION 46(2)(S) OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 136(1) OF THE COMPANIES ACT, 2013 IN MATTER OF RAJESH EXPORTS LTD.
DID NOT PROVIDE INFORMATION TO SEBI
PROVIDED INCOMPLETE AND INACCURATE INFORMATION / DOCUMENTS
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
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DIRECTED TO CO-OPERATE WITH SEBI IN INVESTIGATION BY FURNISHING ALL RELEVANT INFORMATION
DIRECTED SEBI TO APPOINT FORENSIC AUDITOR TO EXAMINE BOOKS OF ACCOUNTS
DIRECTED TO EXTEND NECESSARY CO–OPERATION TO FORENSIC AUDITOR/AUDIT FIRM APPOINTED AND FURNISH ALL INFORMATION/DOCUMENTS SOUGHT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-JUN-2026 UNTIL FURTHER ORDERS
03-JUN-2026
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7
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02-JUN-2026
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AJAY KUMAR ARUN
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DRT
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DEFAULTED IN PAYMENT OF DUES
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PROCLAMATION OF SALE- RS.18,58,696
DEBTS RECOVERY TRIBUNAL-I,DELHI
02-JUN-2026
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|
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8
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02-JUN-2026
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KOMIL SINGH
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DRT
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DEFAULTED IN PAYMENT OF DUES
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PROCLAMATION OF SALE- RS.18,58,696
DEBTS RECOVERY TRIBUNAL-I,DELHI
02-JUN-2026
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|
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9
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02-JUN-2026
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RAJESH KUMAR
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DRT
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DEFAULTED IN PAYMENT OF DUES
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PROCLAMATION OF SALE- RS.18,58,696
DEBTS RECOVERY TRIBUNAL-I,DELHI
02-JUN-2026
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|
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10
|
31-MAY-2026
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JASPREET SINGH
|
|
AMFI
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NOT AVAILABLE
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TERMINATED FROM UNDERTAKING MUTUAL FUND BUSINESS FROM 18-MAY-2026
31-MAY-2026
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|
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11
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31-MAY-2026
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MOHAN KUMAR
|
|
AMFI
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NOT AVAILABLE
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SUSPENDED FROM UNDERTAKING MUTUAL FUND BUSINESS FROM 19-MAY-2026 TO 18-NOV-2026
31-MAY-2026
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