| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AMLA NARAIN
(PAN:ADIPN4051F)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF CRISIL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.80,78,197, DISGORGEMENT AMOUNT RS.30,14,217 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES FROM 22-MAR-2019 TO 21-MAR-2020 VIDE CONSENT ORDER)
22-MAR-2019
|
|
| 2 |
|
|
HARSHABEN SHAILESH JHAVERI
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET BY CIRCULAR AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF OASIS MEDIA MATRIX LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES FROM 14-NOV-2008 TO 13-NOV-2010 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-NOV-2008 TO 13-NOV-2010 VIDE CONSENT ORDER)
14-NOV-2008
|
|
| 3 |
|
|
RAJAT NARAIN
(PAN:AHGPN3785N)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF CRISIL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.80,78,197, DISGORGEMENT AMOUNT RS.30,14,217 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES FROM 22-MAR-2019 TO 21-MAR-2020 VIDE CONSENT ORDER)
22-MAR-2019
|
|
| 4 |
|
|
SANTOSH KUMAR JAIN
(PAN:ACQPJ7823E)
|
|
|
|
ATN INTERNATIONAL LTD.
(PAN:AACCA5744Q)
|
|
|
SILICON VALLEY INFOTECH LTD.
(PAN:AABCP5702G)
|
|
ALLEGED INDULGENCE IN OFF-LOADING OF SHARES WHILE IN POSSESSION OF PRICE SENSITIVE INFORMATION IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES FROM 20-JUN-2011 TO 19-JUN-2013 VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-JUN-2011 TO 19-JUN-2013 VIDE CONSENT ORDER)
20-JUN-2011
|
|
| 5 |
|
|
VINAY KABRA
|
|
|
|
VENKATESH SHARES INVESTMENT
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH FICTITIOUS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF DOCTORS BIOTECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES FROM 24-SEP-2010 TO 23-SEP-2011 VIDE CONSENT ORDER)
24-SEP-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
