| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
MAHENDRA KUMAR SINGHANIA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 10,00,000 (12.82%) SHARES/VOTING RIGHTS OF TPL PLASTECH LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ACQUISITION OF 10,00,000 (12.82%) SHARES/VOTING RIGHTS OF TPL PLASTECH LTD.
ALLEGED VIOLATION OF SECTION 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF 10,00,000 SHARES/VOTING RIGHTS OF TPL PLASTECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
18-SEP-2008
|
|
| 2 |
|
|
PAVAN GOKULCHAND MORARKA
|
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 3 |
|
|
POOJA RAGHAV GUPTA
(PAN:AARPR3929E)
|
|
|
ALLEGED INDULGENCE IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT OF CONSIDERATION VIOLATING SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF GOLDEN LEGAND LEASING & FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,18,750 VIDE CONSENT ORDER)
30-JUN-2021
|
|
| 4 |
|
|
RACHNA MORARKA
|
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 5 |
|
|
RAGHAV GUPTA
(PAN:ACFPG1142E)
|
|
|
ALLEGED INDULGENCE IN OFF-MARKET TRANSACTIONS WITHOUT ANY PAYMENT OF CONSIDERATION VIOLATING SECTIONS 13 AND 18 OF SCRA, 1956 READ WITH SECTION 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF GOLDEN LEGAND LEASING & FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,18,750 VIDE CONSENT ORDER)
30-JUN-2021
|
|
| 6 |
|
|
ROHINTON SCREWVALA
(PAN:AAGPS7083K)
|
|
|
ALLEGED INDULGENCE IN OFF-MARKET TRANSACTIONS WHICH WERE NOT IN NATURE OF SPOT DELIVERY CONTRACTS VIOLATING SECTIONS 13 AND 18 READ WITH SECTION 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN SCRIP OF UTV SOFTWARE COMMUNICATIONS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
19-AUG-2013
|
|
| 7 |
|
|
VAIBHAV P.MORARKA
|
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
