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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 21-NOV-2024

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

BANKERS: VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person AXIS BANK LTD.  
  CIRCULATED FINANCIAL FIGURES PRIOR TO ITS OFFICIAL ANNOUNCEMENT/PUBLICATION VIOLATING REGULATIONS 3(1) AND 3(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 READ WITH SECTION 12A(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992  DIRECTED TO STRENGTHEN ITS PROCESSES/SYSTEMS/CONTROLS ENSURE INSTANCES OF LEAKAGE OF UNPUBLISHED PRICE SENSITIVE INFORMATION DO NOT RECUR IN FUTURE

DIRECTED TO CONDUCT INTERNAL INQUIRY INTO THE LEAKAGE OF UNPUBLISHED PRICE SENSITIVE INFORMATION RELATING TO ITS FINANCIAL RESULTS AND DIRECTED TO TAKE APPROPRIATE ACTION AGAINST RESPONSIBLE PERSONS

27-DEC-2017
2 
History of entity/person DENA BANK  
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITIES LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)

26-APR-2011
3 
History of entity/person DOMBIVLI NAGARI SAHAKARI BANK LTD.  
  DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BLUE COAST HOTELS & RESORTS LTD.

DID NOT MAKE 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 BLUE COAST HOTELS & RESORTS LTD.  		IMPOSED PENALTY RS.1,00,000

12-APR-2010
4 
History of entity/person HDFC BANK LTD.  
  CIRCULATED FINANCIAL FIGURES PRIOR TO ITS OFFICIAL ANNOUNCEMENT/PUBLICATION VIOLATING REGULATIONS 3(1) AND 3(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 READ WITH SECTION 12A(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992  DIRECTED TO STRENGTHEN ITS PROCESSES/SYSTEMS/CONTROLS ENSURE INSTANCES OF LEAKAGE OF UNPUBLISHED PRICE SENSITIVE INFORMATION DO NOT RECUR IN FUTURE

DIRECTED TO CONDUCT INTERNAL INQUIRY INTO THE LEAKAGE OF UNPUBLISHED PRICE SENSITIVE INFORMATION RELATING TO ITS FINANCIAL RESULTS AND DIRECTED TO TAKE APPROPRIATE ACTION AGAINST RESPONSIBLE PERSONS

23-FEB-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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