| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
JAIDEV RAJNIKANT SHROFF
(PAN:AALPS9283N)
|
|
|
|
UNITED PHOSPHOROUS LTD.
(PAN:AABCS1698G)
|
|
ALLEGED UNDERTAKE TRANSACTIONS PROVIDED TO TULIPPE UNIVERSAL LTD. THROUGH UNITED PHOSPHORUS LTD. WHOLLY OWNED MAURITIUS BASED SUBSIDIARY COMPANY BIO-WIN CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,19,528, DISGORGEMENT AMOUNT RS.4,29,47,784, INTEREST RS.9,37,41,481 VIDE CONSENT ORDER)
30-OCT-2024
|
|
| 22 |
|
|
JAYANTIKA JATIA
(PAN:AKWPM8544K)
|
|
|
ALLEGED FUNDING OF PURCHASE OF SHARES, A BULK OF WHICH WAS SUBSEQUENTLY SOLD UNDER BUYBACK OFFER VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1), 4(2)(A) & (E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
ALLEGED INDULGENCE IN MANIPULATIVE TRADES AND PLACED BID UNDER DELISTING PROCESS AT A PRICE LOWER THAN PREVAILING MARKET PRICE VIOLATING REGULATIONS 4(5)(A) TO (C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,50,000 VIDE CONSENT ORDER)
28-APR-2020
|
|
| 23 |
|
|
JAYATI DASGUPTA
(PAN:AAEPD6246M)
|
|
|
ALLEGED FAILURE WHILE IN POSSESSION OF UNPUBLISHED MATERIAL INFORMATION ABOUT VALUATION OF DEFAULT SECURITIES AND WITHDREW ENTIRE INVESTMENT FROM FUND TO ADVANTAGE VIOLATING REGULATIONS 3(A), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BANK OF INDIA INVESTMENT MANAGERS PVT.LTD. (PREVIOUSLY: BOI AXA INVESTMENT MANAGERS PVT.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.39,00,000 VIDE CONSENT ORDER)
28-DEC-2022
|
|
| 24 |
|
|
KAMALA K.
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 25 |
|
|
M.N.AHMED
(PAN:ABLPA9796K)
|
|
|
|
NISAR & KUMAR,M/S
|
|
ALLEGED INDULGENCE IN ISSUANCE OF UNMODIFIED AUDIT REPORT AND UNQUALIFIED CERTIFICATE OF CORPORATE GOVERNANCE DURING FINANCIAL YEARS 2008-09 AND 2013-14 VIOLATING SECTION 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(C), (D) AND 4(1), 4(2)(E), K & R OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABG SHIPYARD LTD.
ALLEGED FAILURE IN APPEARING PERSONALLY AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ABG SHIPYARD LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.27,54,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-MAY-2019
|
|
| 26 |
|
|
MAITREYI KANDOI
(PAN:AFSPM9902J)
|
|
|
ALLEGED FUNDING OF PURCHASE OF SHARES, A BULK OF WHICH WAS SUBSEQUENTLY SOLD UNDER BUYBACK OFFER VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1), 4(2)(A) & (E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
ALLEGED PARTICIPATION AT VARIOUS STAGES IN MANIPULATIVE AND FRADULENT SCHEME TO FIRST MAKE THE BUYBACK OFFER SUCCESSFUL AND THEREAFTER DEPRESSING BOTH CUTOFF PRICE AND SCRIP PRICE VIOLATING REGULATIONS 4(5)(A) TO (C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,50,000 VIDE CONSENT ORDER)
28-APR-2020
|
|
| 27 |
|
|
MALCOLM MEHTA
(PAN:AFWPM8643Q)
|
|
|
ALLEGED INDULGENCE IN MANIPULATION IN BOOKS OF ACCOUNTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(C), 3(D), 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ACCEL FRONTLINE LTD.
ALLEGED INDULGENCE IN MANIPULATION IN BOOKS OF ACCOUNTS VIOLATING CLAUSE 41 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF ACCEL FRONTLINE LTD.
ALLEGED INDULGENCE IN MANIPULATION IN BOOKS OF ACCOUNTS VIOLATING REGULATION 30 OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF ACCEL FRONTLINE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.81,90,000 VIDE CONSENT ORDER)
16-NOV-2022
|
|
| 28 |
|
|
MAYUR SINDHWAD
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 29 |
|
|
MEERA JAIN
(PAN:AEZPJ3882J)
|
|
|
|
CAMAC COMMERCIAL CO.LTD.
(PAN:AABCC0733E)
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT (CONSENT ORDER)
07-SEP-2022
|
|
| 30 |
|
|
MEERA JAIN
(PAN:AEZPJ3882J)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT (CONSENT ORDER)
07-SEP-2022
|
|
| 31 |
|
|
MEERA JAIN
(PAN:AEZPJ3882J)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT (CONSENT ORDER)
07-SEP-2022
|
|
| 32 |
|
|
MOULISHREE GANI
(PAN:AENPM6238B)
|
|
|
ALLEGED FUNDING OF PURCHASE OF SHARES, A BULK OF WHICH WAS SUBSEQUENTLY SOLD UNDER BUYBACK OFFER VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1), 4(2)(A) & (E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
ALLEGED INDULGENCE IN MANIPULATIVE TRADES AND PLACED BID UNDER DELISTING PROCESS AT A PRICE LOWER THAN PREVAILING MARKET PRICE VIOLATING REGULATIONS 4(5)(A) TO (C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,50,000 VIDE CONSENT ORDER)
28-APR-2020
|
|
| 33 |
|
|
MUKESH PAREKH
(PAN:AAFPP9715L)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING THE TRADES OF TATA ABSOLUTE RETURN FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.87,30,881, DISGORGEMENT AMOUNT RS.2,88,269, INTEREST RS.73,165 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-DEC-2022
|
|
| 34 |
|
|
NARAYAN NEELAKANTAN
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 35 |
|
|
NILESH TINAIKAR
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 36 |
|
|
NIRANJAN BANODKAR
(PAN:AJBPB5215E)
|
|
|
ALLEGED INDULGENCE IN DECISION MAKING PROCESS TO INCOMPLETE PRESS RELEASE/PUBLIC ANNOUNCEMENT TO STOCK EXCHANGES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(D), 4(1), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF YES BANK LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,65,37,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-SEP-2021
|
|
| 37 |
|
|
NITESH KUMAR JAIN
(PAN:AFOPJ2850C)
|
|
|
ALLEGED ACTED AS A TIPPER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.68,90,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 26-APR-2024 TO 25-OCT-2024
26-APR-2024
|
|
| 38 |
|
|
NITESH KUMAR JAIN
(PAN:AFOPJ2850C)
|
|
|
ALLEGED ACTED AS A TIPPER VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (DISGORGEMENT AMOUNT RS.85,11,774 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-APR-2024
|
|
| 39 |
|
|
PANKAJ SHARMA
(PAN:AAXPS4300E)
|
|
|
ALLEGED INDULGENCE IN FINANCIAL MISMANAGEMENT AND DIVERSION OF FUNDS OF RELIGARE ENTERPRISES LTD. THROUGH ITS SUBSIDIARIES FOR BENEFIT OF REL’S PROMOTERS/PROMOTER CONNECTED ENTITIES VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.44,20,000 VIDE CONSENT ORDER)
31-MAY-2022
|
|
| 40 |
|
|
PAWAN BHOLUSARIA
(PAN:AADPB9207H)
|
|
|
ALLEGED INDULGENCE IN MAKING FALSE/MISLEADING STATEMENTS AND MISREPRESENTING GDR ISSUE SUBSCRIBED BY SEVERAL INVESTORS WHEN INFACT ISSUE WAS SUBCRIBED BY FUSION INVESTMENTS LTD. VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1), 4(2)(F) (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KEI INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.13,60,000 VIDE CONSENT ORDER)
28-FEB-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
| Page 2 of 4
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