| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
PAWAN N.AGARWAL
(PAN:AABPA4115D)
|
|
|
ALLEGED ENGAGE IN FRONT RUNNING/MIRROR TRADING OF TRADES OF ITS CLIENTS AEQUITAS VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FINSEC LAW ADVISORS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.45,99,600 VIDE CONSENT ORDER)
04-JUL-2023
|
|
| 42 |
|
|
PRAKASH KUMAR MOHTA
(PAN:AGUPM2260N)
|
|
|
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
|
|
| 43 |
|
|
PRATIBHA KHAITAN
(PAN:AFNPK7949A)
|
|
|
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
|
|
| 44 |
|
|
PRATIBHA KHANDELWAL ADVANI
(PAN:ACOPA4171A)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF NIIT TECHNOLOGIES LTD.
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NIIT TECHNOLOGIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.89,50,500, DISGORGEMENT AMOUNT RS.13,69,500, INTEREST RS.9,00,944 VIDE CONSENT ORDER)
12-NOV-2020
|
|
| 45 |
|
|
PREMLATA SINGHANIA
(PAN:AKRPS9735K)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING OF VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEUTSCHE MUTUAL FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.93,50,817, DISGORGEMENT AMOUNT RS.1,42,21,775, INTEREST RS.27,49,771 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-DEC-2021
|
|
| 46 |
|
|
R.NANDAKUMAR
|
|
|
|
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
|
|
| 47 |
|
|
RAJAT MONGA
(PAN:ABOPM6135F)
|
|
|
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
|
|
| 48 |
|
|
RAJEEV GUPTA
(PAN:AEHPG4730Q)
|
|
|
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
|
|
| 49 |
|
|
RAMAKRISHNAN PRABHAKARAN
(PAN:ALBPP2261L)
|
|
|
|
SOBHA LTD.
(PAN:AABCS7723E)
|
|
ALLEGED PUBLISH UNTRUE AND MISLEADING FINANCIAL RESULTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SOBHA LTD.
ALLEGED INDULGENCE IN MISREPRESENTATION OF FINANCIAL RESULTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(III)(7), 17(8) AND 33 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SOBHA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,92,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-AUG-2022
|
|
| 50 |
|
|
RAVI PUTHAN NADUVAKKAT CHENTHA MARAKSHA MENON
(PAN:AKIPM1316R)
|
|
|
|
SOBHA LTD.
(PAN:AABCS7723E)
|
|
ALLEGED PUBLISH UNTRUE AND MISLEADING FINANCIAL RESULTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SOBHA LTD.
ALLEGED INDULGENCE IN MISREPRESENTATION OF FINANCIAL RESULTS VIOLATING REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(6), 4(2)(F)(II)(7), 4(2)(F)(III)(7), 17(8) AND 33 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SOBHA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,92,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-AUG-2022
|
|
| 51 |
|
|
SACHIN AGARWAL
(PAN:AEDPA9226P)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO MARKET PARTICIPANTS BEFORE THE SAME WAS DISCLOSED TO STOCK EXCHANGE VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, READ WITH REGULATION 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MANAPPURAM FINANCE LTD.
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO MARKET PARTICIPANTS BEFORE THE SAME WAS DISCLOSED TO STOCK EXCHANGE VIOLATING REGULATION 21(1) OF SEBI (PIT) REGULATIONS READ WITH CLAUSES 1.2, 2.1 AND 2.1-1 OF CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MANAPPURAM FINANCE LTD.
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO MARKET PARTICIPANTS BEFORE THE SAME WAS DISCLOSED TO STOCK EXCHANGE VIOLATING SECTION 12A(C) OF SEBI ACT, READ WITH REGULATION 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MANAPPURAM FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,37,70,000 VIDE CONSENT ORDER)
08-JUL-2020
|
|
| 52 |
|
|
SAMIR JAIN
(PAN:AEHPJ3016Q)
|
|
|
|
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 (SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 53 |
|
|
SAMIR JAIN
(PAN:AEHPJ3016Q)
|
|
|
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 (SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 54 |
|
|
SAMIR JAIN
(PAN:AEHPJ3016Q)
|
|
|
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 (SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 55 |
|
|
SANDEEP DASGUPTA
(PAN:ADTPD1196J)
|
|
|
ALLEGED FAILURE IN ENSURING THE AMC COMPLIED WITH ALL THE PROVISIONS OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 AND DID NOT ENSURE THAT INVESTMENTS MADE BY FUND MANAGER WERE IN INTEREST OF UNIT HOLDERS VIOLATING REGULATION 25(6A) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF BANK OF INDIA INVESTMENT MANAGERS PVT.LTD. (PREVIOUSLY: BOI AXA INVESTMENT MANAGERS PVT.LTD.)
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.93,60,000 VIDE CONSENT ORDER)
28-DEC-2022
|
|
| 56 |
|
|
SANDEEP PURI
(PAN:AHUPP2196B)
|
|
|
ALLEGED CERTIFY CONSOLIDATED FINANCIAL STATEMENTS VIOLATING CLAUSE 49(V) OF LISTING AGREEMENT IN MATTER OF FORTIS HEALTHCARE LTD.
ALLEGED CERTIFY MISLEADING FINANCIAL STATEMENTS VIOLATING CLAUSE 49(IX) OF LISTING AGREEMENT (POST AMENDMENT DATED 17/04/2014) READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956 AND REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FORTIS HEALTHCARE LTD.
ALLEGED FAILURE IN CARRYING OUT DUE DILIGENCE AND EXERCISE INDEPENDENT JUDGEMENT WITH RESPECT TO GRANT OF LOANS/INVESTMENTS TO 3 BORROWER COMPANIES VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992
ALLEGED INDULGENCE IN MISUSE AND DIVERSION OF PUBLIC SHAREHOLDERS FUNDS THROUGH 3 BORROWER COMPANIES FOR BENEFIT OF RHC HOLDING LTD. AND CONSEQUENTLY MR.MALVINDER MOHAN SINGH AND MR.SHIVINDER MOHAN SINGH VIOLATING REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FORTIS HEALTHCARE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.93,50,000 VIDE CONSENT ORDER)
31-JAN-2022
|
|
| 57 |
|
|
SANDEEP SABHARWAL
|
|
|
|
NORTH END FOODS MARKETING PVT.LTD.
(PAN:AABCN9927F)
|
|
ALLEGED INDULGED IN CREATION OF FALSE AND MISLEADING APPEARANCE OF TRADES WHEREIN NOTICEE WAS THE DE-FACTO BENEFICIAL OWNER/TRADER TRANSFER BUT THE TRADES WERE DONE BY ITS CONNECTED ENTITIES WITHOUT DISCLOSING THEIR CONNECTION WITH NEFM VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1)(2)(A) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MENTHE OIL FUTURES CONTRACT
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.45,50,000 VIDE CONSENT ORDER)
06-MAR-2023
|
|
| 58 |
|
|
SANJAY CHAMRIA
(PAN:ABXPC0521A)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 2(1)(C)(1) AND (8) READ WITH 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF POONAWALLA FINCORP LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.42,20,000 VIDE CONSENT ORDER)
27-MAR-2023
|
|
| 59 |
|
|
SANJAY NAMBIAR
(PAN:AFTPG9968H)
|
|
|
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
|
|
| 60 |
|
|
SAURABH MUKHERJE
(PAN:AOEPM2024E)
|
|
|
ALLEGED INDULGENCE IN COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(II) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MANNAPURAM FINANCE LTD.
ALLEGED FAILURE IN MAINTAINING CONFIDENTIALITY OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 12(1)(E) OF SEBI (PIT) REGULATIONS, 1992 READ WITH CLAUSES 2.1 AND 2.2-1 OF CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR OTHER ENTITIES AS SPECIFIED IN PART B OF SCHEDULE I OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MANNAPURAM FINANCE LTD.
ALLEGED INDULGENCE IN COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(D) OF SEBI (PFUTP)) REGULATIONS, 2003 IN MATTER OF MANNAPURAM FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,37,70,000 VIDE CONSENT ORDER)
29-OCT-2020
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
| Page 3 of 4
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