Reporting Principle (P1): Details of fines / penalties / punishment / award / compounding fees / settlement amount paid in proceedings The dataset contains year- and company-wise compiled data on violations of the National Guidelines on Responsible Business Conduct (NGRBC) principles and the penalties imposed in connection with such violations, including fines, imprisonment, and other regulatory ...
| start_date | end_date | company_name | cin_number | main_business_activity | sector | ngrbc_principle | type_of_action_taken | action_taken_agency_name | brief_of_case | fine_imposed_in_inr | note |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 01-04-2025 | 31-03-2026 | Sumitomo Chemical India Limited | L24110MH2000PLC124224 | Manufacturing | Industrials | No material cases of fines/penalties/awards/compounding fees/settlement. | Settlement | No material cases of fines/penalties/awards/compounding fees/settlement. | No material cases of fines/penalties/awards/compounding fees/settlement. | 0 | |
| 01-04-2025 | 31-03-2026 | Voltas Limited | L29308MH1954PLC009371 | Unitary Cooling Products | Industrials | Nil | Settlement | Nil | Nil | 0 | |
| 01-04-2025 | 31-03-2026 | Icici Prudential Life Insurance Company Limited | L66010MH2000PLC127837 | Financial And Insurance Service | Corporate and Retail Banking | Not Applicable | Compounding fee | Not Applicable | Not Applicable | 0 | |
| 01-04-2025 | 31-03-2026 | Icici Prudential Life Insurance Company Limited | L66010MH2000PLC127837 | Financial And Insurance Service | Corporate and Retail Banking | Not Applicable | Settlement | Not Applicable | Not Applicable | 0 | |
| 01-04-2025 | 31-03-2026 | Heritage Foods Limited | L15209TG1992PLC014332 | Processing, Manufacturing and sales | Sector Agnostic | 9 | Compounding fee | FSSAI | The Paneer sample was reported to have a fat content lower than the prescribed standard. | 16000 | |
| 01-04-2025 | 31-03-2026 | Geojit Financial Services Limited | L67120KL1994PLC008403 | Financial and Insuracne Activities | Capital Markets | Principle 1 | Settlement | Securities and Exchange Board of India (SEBI) | SEBI initiated adjudication proceedings in the matter of Tradetron and subsequently introduced a Settlement Scheme for stock brokers associated with certain algorithmic trading platforms, including the Tradetron Algo Platform. This Scheme allowed stockbrokers with cases pending before any authority, such as the Adjudicating Officer, the Securities Appellate Tribunal, or Courts, to settle by paying 1 lakh each. Although no API was ever provided to clients and no client orders were routed through this integration, the Company decided to utilise the Scheme due to its administrative efficiency, reasonable settlement amount, and broad industry acceptance. Accordingly, the Company has paid Rs. 1 lakh and settled the proceedings. | 100000 | |
| 01-04-2025 | 31-03-2026 | LMW Limited | L72900MH1996PLC104693 | Information and communication (J6, J8) | Technology | Principle 1 | Compounding fee | Regional Director (RD), Western Region, Ministry of Corporate Affairs, Mumbai | During the year under review, Company has received Compounding order under section 441 of Companies Act, 2013 issued by the Regional Director (RD), Western Region, Ministry of Corporate Affairs, Mumbai for violation of Section 134 of the Companies Act, 2013 by the previous management of erstwhile Mindtree Limited for the Financial Year 2017-18. RD has levied a Compounding fee amounting to INR 3,00,000 to be paid by Company and a cumulative amount of INR 4,30,000 to be paid by the ex-promoters/ Directors/ Officers of erstwhile Mindtree Limited. The Company and ex-promoters/ Directors/ Officers paid the Compounding fee levied by RD and the final order was issued by the RD on June 12, 2025. | 730000 | |
| 01-04-2025 | 31-03-2026 | Motilal Oswal Financial Services Limited | L67190MH2005PLC153397 | Financial And Insurance Service | Corporate and Retail Banking | Principle 1 | Settlement | SEBI | SEBI has issued the Settlement Order dated September 18, 2025 wherein the Company has paid a settlement amount of R 34,85,000/- pursuant to the investigation carried out by SEBI to ascertain as to whether the trades of an entity (i.e. Big Client) was front run by certain entities i.e. Chaturvedi Group during the period January 01, 2022 to December 08, 2023. | 3485000 | |
| 01-04-2025 | 31-03-2026 | Trent Limited | L24240MH1952PLC008951 | Retail Sales - Through Physical and Online | Consumer Goods Retail | - | Compounding fee | - | - | 0 | |
| 01-04-2025 | 31-03-2026 | Trent Limited | L24240MH1952PLC008951 | Retail Sales - Through Physical and Online | Consumer Goods Retail | - | Settlement | - | - | 0 |
Securities and Exchange Board of India. BRSR_P1: Year- and Company-wise NGRBC Principle Violations and Penalties Imposed [Data set]. Dataful. https://dataful.in/datasets/19953
