| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ORIENT TRADELINK LTD.
(PAN:AAACO5359B)
|
|
|
ALLEGED FAILURE 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.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JUL-2013 TO 22-JUL-2017 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM RAISING FRESH CAPITAL FOR A PERIOD OF ONE YEAR)
23-JUL-2013
|
SETTLEMENT CHARGES OF RS.10 LACS HAS BEEN PAID BY THE COMPANY BY DEMAND DRAFT NO.219159 DATED 20/05/2013 DRAWN ON ICICI BANK
|
| 22 |
|
|
PADMINI TECHNOLOGIES LTD.
|
|
|
|
VIVEK NAGPAL
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-OCT-2007 TO 15-OCT-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2007 TO 15-OCT-2012
16-OCT-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.55,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2007 TO 15-OCT-2012 VIDE CONSENT ORDER)
11-AUG-2009
|
SAT: IMPUGNED ORDER DATED 16/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY A SUM OF RS.10,00,000 TOWARDS SETTLEMENT CHARGES AND RS.55,000 TOWARDS LEGAL EXPENSES ALONGWITH VOLUNTARILY UNDERTOOK TO REMAIN OUT OF CAPITAL MARKET FOR A PERIOD OF FIVE YEARS INCLUDING PERIOD FOR WHICH THEY HAVE REMAINED OUT OF CAPITAL MARKET IN TERMS OF IMPUGNED ORDER DATED 16/10/2007
|
| 23 |
|
|
PHULCHAND SONS INVESTMENTS PVT. LTD.
|
|
|
ALLEGED PRICE MANIPULATION IN SCRIP OF GRANULES INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-FEB-2008 TO 14-AUG-2008 VIDE CONSENT ORDER)
15-FEB-2008
|
|
| 24 |
|
|
PURSARTH TRADING CO.PVT.LTD.
|
|
|
ALLEGED VIOLATION OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PRUDENTIAL PHARMACEUTICALS LTD. AND CEAT LTD.
ALLEGED VIOLATION OF SEBI (PFUTP) REGULATIONS, 1995 IN MATTER OF PRUDENTIAL PHARMACEUTICALS LTD. AND CEAT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-MAR-2010 TO 31-AUG-2010 VIDE CONSENT ORDER)
22-FEB-2010
|
|
| 25 |
|
|
SHALIBHADRA INFOSEC LTD.
|
|
|
|
ATULBHAI HIRALAL SHAH
|
|
|
RAJU BACHUBHAI SHAH
|
|
ALLEGED INDULGENCE IN ISSUANCE OF ADVERTISEMENTS IN NEWSPAPER REGARDING A PROPOSED BUYBACK OF SHARES OF SHALIBHADRA INFOSEC LTD.
|
REACHED SETTLEMENT (CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-SEP-2008 TO 17-SEP-2009 VIDE CONSENT ORDER)
18-SEP-2008
|
|
| 26 |
|
|
SHALIBHADRA INFOSEC LTD.
|
|
|
ALLEGED VIOLATION OF REGULATIONS 5(1) AND 6(A) OF SEBI (PFUTP) REGULATIONS, 1995 IN SCRIP OF SHALIBHADRA INFOSEC LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-JUL-2008 TO 08-JAN-2011 VIDE CONSENT ORDER)
09-JUL-2008
|
|
| 27 |
|
|
SHONKH TECHNOLOGIES INTERNATIONAL LTD.
|
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-OCT-2007 TO 15-OCT-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2007 TO 15-OCT-2012
16-OCT-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000, LEGAL EXPENSES RS.55,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2007 TO 15-OCT-2012 VIDE CONSENT ORDER)
11-AUG-2009
|
SAT: IMPUGNED ORDER DATED 16/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY A SUM OF RS.3,00,000 TOWARDS SETTLEMENT CHARGES AND RS.55,000 TOWARDS LEGAL EXPENSES ALONGWITH VOLUNTARILY UNDERTOOK TO REMAIN OUT OF CAPITAL MARKET FOR A PERIOD OF FIVE YEARS INCLUDING PERIOD FOR WHICH THEY HAVE REMAINED OUT OF CAPITAL MARKET IN TERMS OF IMPUGNED ORDER DATED 16/10/2007
|
| 28 |
|
|
SHREE RAMA MULTI-TECH LTD.
|
|
|
|
SHARAD CHHOTABHAI PATEL
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHRI RAMA MULTI-TECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-NOV-2008 TO 27-MAY-2010 VIDE CONSENT ORDER)
28-NOV-2008
|
|
| 29 |
|
|
SHREE TULSI ONLINE.COM LTD.
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-SEP-2009 TO 06-NOV-2009 VIDE CONSENT ORDER)
01-SEP-2009
|
|
| 30 |
|
|
SHREE TULSI ONLINE.COM LTD.
|
|
|
|
BHANWARI DEVI JAIN
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-SEP-2009 TO 06-NOV-2009 VIDE CONSENT ORDER)
01-SEP-2009
|
|
| 31 |
|
|
SHREE TULSI ONLINE.COM LTD.
|
|
|
|
SANJAY KUMAR JAIN
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-SEP-2009 TO 06-NOV-2009 VIDE CONSENT ORDER)
01-SEP-2009
|
|
| 32 |
|
|
SICORP FINLEASE LTD.
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF HIGHLAND INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,25,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-SEP-2009 TO 06-MAR-2011 VIDE CONSENT ORDER)
04-SEP-2009
|
|
| 33 |
|
|
SILICON VALLEY INFOTECH LTD.
(PAN:AABCP5702G)
|
|
|
|
SANTOSH KUMAR JAIN
(PAN:ACQPJ7823E)
|
|
ALLEGED INDULGENCE IN OFF-LOADING OF SHARES WHILE IN POSSESSION OF PRICE SENSITIVE INFORMATION IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT (CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES FROM 20-JUN-2011 TO 19-JUN-2013 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2011 TO 19-JUN-2013 VIDE CONSENT ORDER)
20-JUN-2011
|
|
| 34 |
|
|
SILICON VALLEY INFOTECH LTD.
(PAN:AABCP5702G)
|
|
|
ALLEGED INDULGENCE IN OFF-LOADING OF SHARES WHILE IN POSSESSION OF PRICE SENSITIVE INFORMATION IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES FROM 20-JUN-2011 TO 19-JUN-2012 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2011 TO 19-JUN-2012 VIDE CONSENT ORDER)
20-JUN-2011
|
|
| 35 |
|
|
SMR UNIVERSAL SOFTECH LTD.
|
|
|
|
R.PALANIAPPAN
|
|
ISSUED MISLEADING ADVERTISEMENT OF BUYBACK OF SHARES OF SMR UNIVERSAL SOFTECH LTD. AND ALSO FAILED TO TAKE CONCLUSIVE ACTION THEREON
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 23-JUN-2009 TO 22-JUN-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JUN-2009 TO 22-JUN-2011
25-FEB-2008
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, LEGAL EXPENSES RS.75,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-JUN-2009 TO 22-JUN-2011 VIDE CONSENT ORDER)
23-JUN-2009
|
SAT: APPELLANT FILED AN APPEAL FOR CONSENT ORDER AND OFFERED TO DEPOSIT A SUM OF RS.1,00,000 TOWARDS SETTLEMENT CHARGES AND RS.75,000 TOWARDS LEGAL EXPENSES ALONGWITH VOLUNTARILY DEBARMENT OF TWO YEARS FROM SECURITIES MARKET. APPEAL ACCEPTED. IMPUGNED ORDER MODIFIED WITH NO ORDER AS TO COSTS
|
| 36 |
|
|
SUGANDH ESTATES & INVESTMENTS PVT.LTD.
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPOS OF VARIOUS COMPANIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 01-MAR-2009 TO 28-FEB-2012
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 01-MAR-2009 TO 28-FEB-2012
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,80,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.24,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-MAR-2009 TO 28-FEB-2012 VIDE CONSENT ORDER)
10-FEB-2009
|
CONFIRMED INTERIM ORDER DATED APR. 27,2006
REVOKED DIRECTIONS ISSUED IN AD-INTERIM CONFIRMATORY ORDER DATED 09/05/2007. DIRECTED TO DISGORGE UNLAWFUL GAIN OF RS.24 LACS AND RS.180.00 LACS TOWARDS SETTLEMENT CHARGES AND UNDERGO VOLUNTARY DEBARMENT FOR 3 YEARS FROM 01/03/2009.DIRECTED NSDL TO PERMIT OPERATION OF DEMAT ACCOUNT FOR LIMITED PURPOSE OF SALE OF SPECIFIED SHARES. INSTRUCTED KARVY STOCKBROKING LTD. (DP) AND KHANDWALA INTEGRATED FINANCIAL SERVICES PVT.LTD. (STOCK BROKER) TO TAKE PRIOR CLEARANCE FROM NSDL AND AMOUNT OF SHARES SOLD SHOULD NOT EXCEED RS.2.04 CRORES. DIRECTED NSE TO PAY ENTIRE SALE PROCEEDS DIRECTLY TO SEBI WITHIN 7 DAYS. FURTHER DIRECTED TO COMPLETE SALE OF SHARES LATEST BY 20/02/2009
WHOLE TIME MEMBER SEBI VIDE ITS ORDER DATED 12/06/2015 DIRECTED SEBI TO RE-INVESTIGATE THE MATTER PERTAINING TO JAYESH P.KHANDWALA (HUF), PROPERITOR OF ZEALOUS TRADING CO., ITS ROLE IN THE INITIAL PUBLIC OFFERS OF IDFC LTD., SASKEN COMMUNICATION TECHNOLOGIES LTD. AND SUZLON ENERGY LTD., ITS ALLEGED DIRECT/INDIRECT TRANSACTIONS, BOTH FINANCIAL AND SECURITIES, WITH THE ENTITIES/ PERSONS (INCLUDING SUGANDH ESTATES AND INVESTMENTS PVT.LTD., MS.ROOPALBEN PANCHAL, MR.BIREN KANTILAL SHAH AND MR.BHANU PRASAD TRIVEDI) AND THE ILLEGAL GAINS MADE BY JAYESH P.KHANDWALA (HUF) IN THE SAID INITIAL PUBLIC OFFERS. ACCORDINGLY, SHOW CAUSE NOTICE DATED 08/04/2009, DISPOSED OFF
|
| 37 |
|
|
TARAI FOODS LTD.
|
|
|
|
G.S.SANDHU
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MISLEADING NEWS TO INDUCE TRANSACTIONS IN SHARES OF TARAI FOODS LTD.
ALLEGED TRADING IN SCRIP OF TARAI FOODS LTD. WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,12,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-APR-2009 TO 26-OCT-2009 VIDE CONSENT ORDER)
24-APR-2009
|
|
| 38 |
|
|
TOP MEDIA ENTERTAINMENT LTD.
|
|
|
|
INDERJEET SINGH VAGHELA LAKHAJI
|
|
ALLEGED ISSUE OF MISLEADING ADVERTISEMENT REGARDING PROPOSED BUYBACK IN MATTER OF TOP MEDIA ENTERTAINMENT LTD.
ALLEGED INDULGENCE IN EXECUTION OF NON-GENUINE TRADES IN COLLUSION WITH A FEW ENTITIES IN SCRIP OF TOP MEDIA ENTERTAINMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2008 TO 29-SEP-2009 VIDE CONSENT ORDER)
30-SEP-2008
|
|
| 39 |
|
|
TOP MEDIA ENTERTAINMENT LTD.
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION BY NON-GENUINE TRADES IN SCRIP OF TOP TELEMEDIA LTD. AND TOP MEDIA ENTERTAINMENT LTD.
|
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES FROM 08-OCT-2008 TO 07-OCT-2011 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-OCT-2008 TO 07-OCT-2011 VIDE CONSENT ORDER)
08-OCT-2008
|
|
| 40 |
|
|
TOP MEDIA ENTERTAINMENT LTD.
|
|
|
ALLEGED ISSUE OF MISLEADING ADVERTISEMENTS AND EXECUTION OF NON-GENUINE TRADES IN COLLUSION WITH OTHER ENTITIES IN SCRIP OF TOP MEDIA ENTERTAINMENT LTD.
|
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES FROM 08-OCT-2008 TO 07-OCT-2011 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-OCT-2008 TO 07-OCT-2011 VIDE CONSENT ORDER)
08-OCT-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
| Page 2 of 3
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