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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.

PERSONS: DIRECTED TO DEPOSIT ESTIMATED LOSSES IDENTIFIED SO FAR TO TRUSTEES OF HDFC MUTUAL FUND JOINTLY

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person NILESH KAPADIA

(PAN:AABPK0356Q)  
History of entity/person HDFC ASSET MANAGEMENT CO.LTD.
  		INDULGED IN FRONTRUNNING ORDERS OF HDFC ASSET MANAGEMENT CO. IN SCRIP OF CENTURY TEXTILES LTD. ON NSE  DIRECTED TO DEPOSIT ESTIMATED LOSSES IDENTIFIED SO FAR TO TRUSTEES OF HDFC MUTUAL FUND JOINTLY

DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY

DIRECTED TO DISGORGE

 		SEBI VIDE ITS ORDER DATED 24/07/2014 DIRECTED TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, FOR A PERIOD OF TEN (10) YEARS AND NOT TO BE ASSOCIATED WITH ANY INTERMEDIARY OR ANY ENTITY REGISTERED WITH SEBI FOR A PERIOD OF TEN (10) YEARS. PERIOD OF SUCH RESTRAINT ALREADY UNDERGONE BY HIM VIDE INTERIM ORDER DATED 17/06/2010 SHALL BE TAKEN INTO CONSIDERATION WHILE COMPUTING PERIOD OF RESTRAINT

SEBI VIDE ITS ORDER DATED 15/01/2016 DIRECTED TO A) IMPOUND UNLAWFUL GAINS OF RS.2,17,14,284 (GAIN OF RS.1,05,02,417 AND INTEREST OF RS.1,12,11,866) JOINTLY AND SEVERALLY B) BANKS AND DEPOSITORIES NOT TO DEBIT , WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY C) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT D) PROVIDE FULL INVENTORY OF THEIR ASSETS, PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES / SECURITIES, IF HELD IN PHYSICAL FORM AND DETAILS OF COMPANIES HOLD SUBSTANTIAL OR CONTROLLING INTEREST

SEBI VIDE ITS ORDER DATED 15/01/2016 DIRECTED TO A) IMPOUND UNLAWFUL GAINS OF RS.1,18,45,638 (GAIN OF RS.47,24,293 AND INTEREST OF RS.71,21,345) JOINTLY AND SEVERALLY B) BANKS AND DEPOSITORIES NOT DEBIT, PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY C) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT D) PROVIDE FULL INVENTORY OF THEIR ASSETS, PROPERTIES AND DETAILS OF ALL BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES / SECURITIES, IF HELD IN PHYSICAL FORM AND DETAILS OF COMPANIES HOLD SUBSTANTIAL OR CONTROLLING INTEREST

SAT: SAT VIDE ITS ORDER DATED 04/03/2016 APPELLANTS DEPOSITED QUANTUM OF UNDUE PROFITS IN MANNER SET OUT IMPUGNED ORDER DATED 17/06/2010 AND SEBI SHALL DEFREEZE ALL ACCOUNTS OF APPELLANTS AND INTIMATE THE SAME TO CONCERNED AUTHORITIES FORTHWITH. NO COSTS

SAT: SAT VIDE ITS ORDER DATED 03/05/2016 PERMITTED APPELLANTS TO SELL THE SECURITIES LYING IN THEIR DEMAT ACCOUNTS. DIRECTED REGISTRY TO EFFECT MODIFICATIONS IN ORDER DATED 04/03/2016

SAT: APPEAL DISMISSED. NO COSTS
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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