| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
ANSH BHAVESH GANDHI
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 42 |
|
|
ANURADHA JAITHA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1), 6(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MULTIFARIOUS TRADING & AGENCIES LTD. (NOW KNOWN AS KRISHNA VENTURES LTD.)
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) & 8(2) OF SEBI TAKEOVER CODE, 1997 FOR YEARS 1998 TO 2005 IN MATTER OF MULTIFARIOUS TRADING & AGENCIES LTD. (NOW KNOWN AS KRISHNA VENTURES LTD.)
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AND STOCK EXCHNAGES AS REQUIRED UNDER REGULATIONS 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MULTIFARIOUS TRADING & AGENCIES LTD. (NOW KNOWN AS KRISHNA VENTURES LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-APR-2011
|
|
| 43 |
|
|
ANURAG AGARWAL
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF PARICHAY INVESTMENTS LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PARICHAY INVESTMENTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.55,17,082 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-JAN-2017
|
|
| 44 |
|
|
ANURAG PAWANKUMAR PODDAR
|
|
|
|
GOVIND RUBBER LTD.
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF GOVIND RUBBER LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,91,581 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 45 |
|
|
ANUSHKA BHAVESH GANDHI
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 46 |
|
|
APARNA GARODIA
(PAN:AHUPG8408P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) READ WITH 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HIMACHAL FIBRES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,29,588 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-MAR-2018
|
|
| 47 |
|
|
APOORVA H.SHAH
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(3) AND 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MIDPOINT SOFTWARE & ELECTRO SYSTEMS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.75,000 VIDE CONSENT ORDER)
07-AUG-2008
|
|
| 48 |
|
|
APURVE GOEL
|
|
|
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
|
|
| 49 |
|
|
ARCHANA GARODIA
(PAN:AEBPG0636D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) READ WITH 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HIMACHAL FIBRES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,29,588 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-MAR-2018
|
|
| 50 |
|
|
ARUN G.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF VELAN HOTELS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.27,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-NOV-2017
|
|
| 51 |
|
|
ARUN GOEL
|
|
|
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
|
|
| 52 |
|
|
ARUN MITTAL
|
|
|
|
ARROW CAPITAL SERVICES PVT.LTD.
|
|
|
NMC HOLDINGS LTD.
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND 8(1),8(2) FOR YEARS 1998 TO 2001 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HARYANA FIBRES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,70,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-JUN-2010
|
|
| 53 |
|
|
ARUN MITTAL
|
|
|
|
ARROW CAPITAL SERVICES PVT.LTD.
|
|
|
UMA CARBONICS PVT.LTD.
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND 8(1),8(2) FOR YEARS 1998 TO 2001 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HARYANA FIBRES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,70,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-JUN-2010
|
|
| 54 |
|
|
ARUN MITTAL
|
|
|
|
NMC HOLDINGS LTD.
|
|
|
UMA CARBONICS PVT.LTD.
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND 8(1),8(2) FOR YEARS 1998 TO 2001 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HARYANA FIBRES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,70,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-JUN-2010
|
|
| 55 |
|
|
ARVIND KUMAR AGARWAL
|
|
|
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
|
|
| 56 |
|
|
ASHA JAITHA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1), 6(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MULTIFARIOUS TRADING & AGENCIES LTD. (NOW KNOWN AS KRISHNA VENTURES LTD.)
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) & 8(2) OF SEBI TAKEOVER CODE, 1997 FOR YEARS 1998 TO 2005 IN MATTER OF MULTIFARIOUS TRADING & AGENCIES LTD. (NOW KNOWN AS KRISHNA VENTURES LTD.)
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGE IN SHAREHOLDING TO COMPANY AND STOCK EXCHNAGES AS REQUIRED UNDER REGULATIONS 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MULTIFARIOUS TRADING & AGENCIES LTD. (NOW KNOWN AS KRISHNA VENTURES LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-APR-2011
|
|
| 57 |
|
|
ASHIMA KAPUR
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH REGULATION 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 10,000 MORE SHARES MAKING IT 79.77% HOLDING IN SCRIP OF UNIPRODUCTS (INDIA) LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
03-MAR-2009
|
|
| 58 |
|
|
ASHISH SANGHI
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 22.35% SHARES OF SANGHI INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
12-NOV-2008
|
|
| 59 |
|
|
ASHOK KUMAR AGARWAL
(PAN:AACPA6083B)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLOBE CAPITAL MARKETS LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1),7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GLOBE CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 60 |
|
|
ASHOK KUMAR AGARWAL
(PAN:AAXPA8813E)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE , 1997 IN MATTER OF RAASI REFRACTORIES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF RAASI REFRACTORIES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 31(1) OF SAST REGULATIONS, 2011 IN MATTER OF RAASI REFRACTORIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,30,762 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-JUL-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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| Page 3 of 28
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