| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
3A CAPITAL SERVICES LTD.
(PAN:AAACZ2547A)
|
|
|
ALLEGED FAILURE IN MAKING PAYMENT FOR 31,66,251 SHARES OF JORD ENGINEERS INDIA LTD.VIOLATING SECTIONS 13 AND 18(1) READ WITH SECTION 2(I) (A) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
09-MAY-2012
|
|
| 2 |
|
|
3D PLM SOFTWARE SOLUTIONS LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,296 VIDE CONSENT ORDER)
16-MAY-2018
|
|
| 3 |
|
|
A & R ENTRPRISE PVT.LTD.
(PAN:AAJCA8830E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 4 |
|
|
A & S DEVELOPMENTS PVT.LTD.
(PAN:AAGCA1015N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 5 |
|
|
A K AGARWAL (HUF)
(PAN:AADHA7899A)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 6 |
|
|
A K BAJORIA (HUF)
(PAN:AAEHA6564M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7 |
|
|
A K LODHA SONS (HUF)
(PAN:AACHA3596H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 8 |
|
|
A K SINGH & SONS (HUF)
(PAN:AANHA4115R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 9 |
|
|
A ONE ISPAT PVT.LTD.
(PAN:AAICA3791P)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.17,82,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 10 |
|
|
A TO Z CONSULTANTS PVT.LTD.
(PAN:AAACA4696F)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLOBE CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 11 |
|
|
A TO Z HOLDINGS PVT.LTD.
(PAN:AAECA0001A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF SBEC SUGAR LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,13,434, INTEREST RS.3,376 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-AUG-2018
|
COMPANY VIDE DEMAND DRAFT NO.116301 DATED 24/07/2018 FOR RS 5,16,810.00 DRAWN ON AXIS BANK LTD. HAS PAID SETTLEMENT CHARGES INCLUDING INTEREST
|
| 12 |
|
|
A TO Z SECURITIES LTD.
(PAN:AAACA3106C)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLOBE CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 13 |
|
|
A.B.FISCAL SERVICES PVT.LTD.
(PAN:AACCA2345R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 14 |
|
|
A.B.PLASTICS PVT.LTD.
(PAN:AAECA1048F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 15 |
|
|
A.K.INVESTMENTS
(PAN:AANFA6009Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 16 |
|
|
A.K.KHANDELWAL (HUF)
(PAN:AAEHA7853D)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 17 |
|
|
A.K.SHARMA & SONS
(PAN:AACHA4794F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 18 |
|
|
A.RAJ ABASAN PVT.LTD.
(PAN:AACCA5757F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,42,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 19 |
|
|
A.V.COTTEX LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2) AND 6(4) OF SEBI TAKEOVER CODE, 1997
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 FOR PERIOD 1998 TO 2004
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,60,000 VIDE CONSENT ORDER)
18-NOV-2010
|
|
| 20 |
|
|
AAA PAPER MARKETING LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) READ WITH 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RAMA PAPER MILLS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUN-2016
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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