| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
SHIVANAND SHETTIGAR
(PAN:AAIPS3741G)
|
|
|
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
|
|
| 62 |
|
|
SUBASH MOHAN BHAT
(PAN:AAAPB6132G)
|
|
|
|
SOBHA LTD.
(PAN:AABCS7723E)
|
|
ALLEGED FAILURE IN DISCHARGING HIS DUTY AS CFO AND INDULGED IN ACCOUNTING IRREGULARITIES IN THE BOOKS OF ACCOUNTS 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 PUBLISH UNTRUE AND MISLEADING FINANCIAL RESULTS VIOLATING REGULATION 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
|
|
| 63 |
|
|
SUNIL GUPTA
(PAN:AEKPG9827P)
|
|
|
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.1,36,00,000 VIDE CONSENT ORDER)
28-FEB-2019
|
|
| 64 |
|
|
TRISHLA JAIN
(PAN:AEMPJ2136G)
|
|
|
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
|
|
| 65 |
|
|
UMESH JAIN
|
|
|
|
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 DISCONTINUATION OF TRADING ACCESS POINT (TAP) AND DID NOT PROVIDE STANDING COMMITTEE ON TECHNOLOGY (SCOT) WITH FULL PICTURE OF ISSUES INVOLVED WITH TRADING ACCESS POINT (TAP)
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
|
|
| 66 |
|
|
V.R.NARASIMHAN
|
|
|
|
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
|
|
| 67 |
|
|
VIJAY BHUSHAN
(PAN:AALPB8325J)
|
|
|
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
|
|
| 68 |
|
|
VIKRAM BHARTIA
(PAN:AFXPB2730C)
|
|
|
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
|
|
| 69 |
|
|
VIKRAM LIMAYE
|
|
|
|
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 DISCONTINUATION OF TRADING ACCESS POINT (TAP) AND DID NOT PROVIDE STANDING COMMITTEE ON TECHNOLOGY (SCOT) WITH FULL PICTURE OF ISSUES INVOLVED WITH TRADING ACCESS POINT (TAP)
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
|
|
| 70 |
|
|
VINEET JAIN
(PAN:AEHPJ3012L)
|
|
|
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 BHARAT NIDHI 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 BHARAT NIDHI 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)
12-SEP-2022
|
|
| 71 |
|
|
VINEET JAIN
(PAN:AEHPJ3012L)
|
|
|
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 MARKETING 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 MARKETING 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)
12-SEP-2022
|
|
| 72 |
|
|
VINEET JAIN
(PAN:AEHPJ3012L)
|
|
|
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 ARTH UDYOG 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 ARTH UDYOG 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)
12-SEP-2022
|
|
| 73 |
|
|
VISHAL BALI
(PAN:ABLPB4414B)
|
|
|
ALLEGED AIDING IN MISUSE AND DIVERSION OF PUBLIC SHAREHOLDERS FUNDS FOR BENEFIT OF PROMOTERS OF FORTIS HEALTHCARE LTD. AND FORTIS HOSPITALS LTD. VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FORTIS HEALTHCARE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.65,02,500 VIDE CONSENT ORDER)
21-FEB-2022
|
|
| 74 |
|
|
VIVEK MEHROTRA
(PAN:AAHPM4127B)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING OF HDFC AMC TRADES-II AND MADE PROFIT OF RS.210.18 LACS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF SEBI PFUTP REGULATIONS, 2003 IN MATTER OF HDFC AMC TRADES II
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,76,64,824 VIDE CONSENT ORDER)
17-SEP-2019
|
|
| 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 4 of 4
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