| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ADITYA VIJ
(PAN:ACJPV5963A)
|
|
|
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.65,02,500 VIDE CONSENT ORDER)
31-JAN-2022
|
|
| 2 |
|
|
AKASH SINGHANIA
(PAN:ALSPS2169P)
|
|
|
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
|
|
| 3 |
|
|
ALOK SINGH
(PAN:ARUPS4303H)
|
|
|
ALLEGED FAILURE WHILE IN POSSESSION OF UNPUBLISHED MATERIAL INFORMATION ABOUT VALUATION OF DEFAULT SECURITIES AND WITHDREW ENTIRE INVESTMENT FROM FUND TO ADVANTAGE VIOLATING REGULATIONS 3(A), 4(1) AND 4(2)(Q)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.45,50,000 VIDE CONSENT ORDER)
28-DEC-2022
|
|
| 4 |
|
|
ANIL GUPTA
(PAN:AAJPG9055C)
|
|
|
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
|
|
| 5 |
|
|
ANURUPA DASGUPTA
(PAN:BGLPD8151R)
|
|
|
ALLEGED FAILURE WHILE IN POSSESSION OF UNPUBLISHED MATERIAL INFORMATION ABOUT VALUATION OF DEFAULT SECURITIES AND WITHDREW ENTIRE INVESTMENT FROM FUND TO ADVANTAGE VIOLATING REGULATIONS 3(A), 4(1) AND 4(2)(Q)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
|
|
| 6 |
|
|
ARCHANA GUPTA
(PAN:AAHPG2849Q)
|
|
|
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
|
|
| 7 |
|
|
ARCHANA MUKESH PAREKH
(PAN:AGNPP2265K)
|
|
|
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
|
|
| 8 |
|
|
ASHISH AGRAWAL
(PAN:ABDPA8107E)
|
|
|
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
|
|
| 9 |
|
|
ASHOK KUMAR SINGHANIA
(PAN:AKZPS8928G)
|
|
|
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
|
|
| 10 |
|
|
ATISH SHAH
(PAN:AAKHV6605C)
|
|
|
ALLEGED ACTED AS AN INFORMATION CARRIER 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.62,40,000 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
|
|
| 11 |
|
|
ATISH SHAH
(PAN:AAKHV6605C)
|
|
|
ALLEGED ACTED AS AN INFORMATION CARRIER 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
|
|
| 12 |
|
|
BALLINDER SINGH DHILLON
(PAN:AAQPD3220K)
|
|
|
ALLEGED FAILURE IN ABIDING BY PRINCIPLES GOVERNING DISCLOSURES AND OBLIGATIONS WITH RESPECT TO LISTED COMPANIES VIOLATING CLAUSE 49(I)(D) OF LISTING AGREEMENT IN MATTER OF FORTIS HEALTHCARE LTD.
ALLEGED FAILURE IN ABIDING BY PRINCIPLES GOVERNING DISCLOSURES AND OBLIGATIONS WITH RESPECT TO LISTED COMPANIES VIOLATING SECTION 21 OF THE SCRA, 1956 IN MATTER OF FORTIS HEALTHCARE LTD.
ALLEGED FAILURE IN ABIDING BY PRINCIPLES GOVERNING DISCLOSURES AND OBLIGATIONS WITH RESPECT TO LISTED COMPANIES VIOLATING CLAUSES 49(I)(D)(1)(B), 49(I)(D)(2)(F), 49(I)(D)(3)(C),(F),(G),(I),(L) AND 49(II)(E)(2) OF LISTING AGREEMENT READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 AND REGULATIONS 4(2)(F)(I)(2), 4(2)(F)(II)(6), 4(2)(F)(III)(1)(3), (6), (7), (9), (12) AND 26(3) 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
|
|
| 13 |
|
|
BHAVIN PANKAJ DOSHI
(PAN:AFQPD4025D)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES 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) READ WITH 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADITYA BIRLA MUTUAL FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.62,40,000 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
|
|
| 14 |
|
|
BHAVIN PANKAJ DOSHI
(PAN:AFQPD4025D)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING ACTIVITIES 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) 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
|
|
| 15 |
|
|
DEVAMALYA DEY
(PAN:ACMPD5987B)
|
|
|
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
|
|
| 16 |
|
|
FALGUNI KETAN PAREKH
(PAN:AABPP7364B)
|
|
|
|
LABDHI ENTERPRISES
(PAN:AACFL1039J)
|
|
ALLEGED INDULGENCE IN FRONT RUNNING THE TRADES OF TATA ABSOLUTE RETURN FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,70,000, DISGORGEMENT AMOUNT RS.16,92,095 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2022
|
|
| 17 |
|
|
HAYAGREEVA RAVIKUMAR PURANAM
(PAN:AAJPR6809H)
|
|
|
ALLEGED INDULGENCE IN MAKING MISLEADING STATEMENT WHILE GIVING INTERVIEW ON TV CHANNEL “ET NOW” WITHOUT VERIFYING FACTUAL POSITION AND CORRECTNESS VIOLATING REGULATIONS 3(D), 4(1), 4(2)(F) AND 4(2)(R) READ WITH 2(1)(C)(5) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BHARAT FINANCIAL INCLUSION LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.57,37,500 VIDE CONSENT ORDER)
29-OCT-2021
|
|
| 18 |
|
|
I.UNNIKRISHNAN
(PAN:AAFPU7182C)
|
|
|
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.1,39,32,000 VIDE CONSENT ORDER)
08-JUL-2020
|
|
| 19 |
|
|
JAGDISH CHANDRA SHARMA
(PAN:ACRPS1940E)
|
|
|
|
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
|
|
| 20 |
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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