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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: DECLARED NOT A ‘FIT AND PROPER PERSON’ IN TERMS OF GUIDELINES DATED 29/07/2009

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

(PAN:ACVPG5303R)  
History of entity/person NEPTUNE OVERSEAS LTD.

(PAN:AAACN5163C)
  		ABUSED POSITION AND COMMISSION OF VARIOUS IRREGULARITIES IN AFFAIRS, INCLUDING IRREGULARITIES IN TRADING ACTIVITIES ON PLATFORM OF NATIONAL MULTI COMMODITY EXCHANGE LTD.

INDULGED IN MISCONDUCT AND IRREGULARITIES IN MANAGING THE AFFAIRS OF NATIONAL MULTI COMMODITY EXCHANGE OF INDIA LTD. (NOW KNOWN AS INDIAN COMMODITY EXCHANGE LTD.)  		DECLARED NOT A ‘FIT AND PROPER PERSON’ IN TERMS OF GUIDELINES DATED 29/07/2009

DIRECTED NOT TO DIRECTLY AND THROUGH ANY ENTITY CONTROLLED BY THEM (EITHER DIRECTLY OR INDIRECTLY) HOLD ANY SHARES IN ANY ASSOCIATION/COMMODITIES EXCHANGE RECOGNISED OR REGISTERED BY GOVT.OF INDIA/FMC/SEBI IN EXCESS OF 2% OF TOTAL ISSUED CAPITAL OF SUCH ASSOCIATION/EXCHANGE

DIRECTED NOT A ‘FIT AND PROPER PERSON’ TO HOLD ANY POSITION IN MANAGEMENT AND BOARD OF ANY ASSOCIATION/COMMODITIES EXCHANGE RECOGNISED BY GOVT.OF INDIA/FMC/SEBI

17-NOV-2021 		SAT: SAT VIDE ITS ORDER DATED 16/02/2022 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 19/04/2022 ALLOWED APPELLANT TWO WEEKS TO FILE REJOINDER

SAT: SAT VIDE ITS ORDER DATED 21/11/2023 CONDONED THE DELAY IN FILING OF APPEAL. OBJECTION, IF ANY, RESPONDENT TO FILE WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILE ON OR BEFORE NEXT DATE

SAT: SAT VIDE ITS ORDER DATED 12/01/2024 ALLOWED RESPONDENT FURTHER TWO WEEKS TO FILE REPLY

SAT: SAT VIDE ITS ORDER DATED 31/01/2024 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER TO REPLY FILE BY RESPONDENT
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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