| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
3D PLM SOFTWARE SOLUTIONS LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,296 VIDE CONSENT ORDER)
16-MAY-2018
|
|
| 2 |
|
|
A TO Z CONSULTANTS PVT.LTD.
(PAN:AAACA4696F)
|
|
|
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 GLOBE CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 3 |
|
|
A TO Z HOLDINGS PVT.LTD.
(PAN:AAECA0001A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF SBEC SUGAR LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,13,434, INTEREST RS.3,376 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-AUG-2018
|
COMPANY VIDE DEMAND DRAFT NO.116301 DATED 24/07/2018 FOR RS 5,16,810.00 DRAWN ON AXIS BANK LTD. HAS PAID SETTLEMENT CHARGES INCLUDING INTEREST
|
| 4 |
|
|
A TO Z SECURITIES LTD.
(PAN:AAACA3106C)
|
|
|
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 GLOBE CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 5 |
|
|
ABS INDUSTRIES LTD.
|
|
|
|
RAKESH AGARWAL
|
|
INSIDER TRADING PRIOR TO ANNOUNCEMENT OF TAKEOVER OF ABS INDUSTRIES LTD. BY BAYER INDUSTRIES
|
DIRECTED TO DEPOSIT MONEY WITH INVESTOR PROTECTION FUND TO COMPENSATE INVESTORS
LAUNCHED CRIMINAL PROSECUTION
19-JUN-2001
REACHED SETTLEMENT (LEGAL EXPENSES RS.5,10,000 VIDE CONSENT ORDER)
23-JAN-2008
|
SAT: PART OF ORDER SET ASIDE AND APPEAL ALLOWED
APPLICANT AGREED TO PAY A SUM OF RS.48,00,000.00 AS PER CONSENT ORDER DATED 23/01/2008 UNDER CIVIL APPEAL NO.2 OF 2004 IN SUPREME COURT (RS.34,00,000 ALREADY PAID TOWARDS INVESTOR PROTECTION FUND AND RS.4,00,000 TOWARDS AO PENALTY SHALL BE FORFEITED), RS.4,00,000 TOWARDS COMPOUNDING CHARGES AND RS.6,00,000 TOWARDS LEGAL EXPENSES (RS.90,000 CRIMINAL COMPLAINT AND RS.5,10,000 TOWARDS CIVIL MATTERS).MATTER ACCORDINGLY DISPOSED OFF
|
| 6 |
|
|
ACG ASSOCIATED CAPSULES PVT.LTD.
(PAN:AAACA4769K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF RAJ OIL MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF RAJ OIL MILLS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,51,164 VIDE CONSENT ORDER)
25-MAY-2017
|
|
| 7 |
|
|
ADLABS FILMS LTD.
|
|
|
ALLEGED OPENING OF TRADING WINDOW BEFORE EXPIRY OF 24 HOURS OF INFORMATION ABOUT BOARD MEETING BEING MADE PUBLIC UNDER REGULATION 12 (1) READ WITH CLAUSE 3.2-3 AND 3.2-4 OF CODE OF CONDUCT OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ADLABS FILMS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
06-MAR-2009
|
|
| 8 |
|
|
ADVENT COMPUTER SERVICES LTD.
|
|
|
|
V.N.SESHAGIRI RAO
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF 2,27,907 SHARES OF ADVENT COMPUTER SERVICES LTD. SOLD
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-SEP-2009
|
|
| 9 |
|
|
AEONIAN INVESTMENTS CO.LTD.
(PAN:AAACA0200D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SUNSHIELD CHEMICALS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,94,472 VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 10 |
|
|
ALPS INDUSTRIES LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
16-DEC-2010
|
|
| 11 |
|
|
AMAZER INVESTMENT & FINANCE LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDERVIOLATION OF REGULATIONS 3(I),(II) AND 3 A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12 A (D) AND (E) OF SEBI ACT, 1992 IN MATTER OF APOLLO TYRES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.70,00,000 VIDE CONSENT ORDER)
14-NOV-2008
|
MATTER DISPOSED OFF. AS APPLICANT AGREED TO PAY RS.70,00,000 AS PER CONSENT ORDER DATED 14/11/2008
|
| 12 |
|
|
AMBIT CAPITAL PVT.LTD.
(PAN:AABCP6621N)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I), 3(II), 3A, 4, 12(1) AND 12(3) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MANAPPURAM FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,99,25,000 VIDE CONSENT ORDER)
13-DEC-2019
|
|
| 13 |
|
|
AON MINET PENSION SCHEME
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) READ WITH 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF CAMBRIDGE SOLUTIONS LTD. (NOW KNOWN AS XCHANGING SOLUTIONS LTD.)
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CAMBRIDGE SOLUTIONS LTD. (NOW KNOWN AS XCHANGING SOLUTIONS LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.23,13,776 VIDE CONSENT ORDER)
26-AUG-2015
|
|
| 14 |
|
|
APOLLO TYRES LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDERVIOLATION OF REGULATIONS 3(I),(II) AND 3 A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12 A (D) AND (E) OF SEBI ACT, 1992 IN MATTER OF APOLLO TYRES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
14-NOV-2008
|
MATTER DISPOSED OFF. AS APPLICANT AGREED TO PAY RS.10,00,000 AS PER CONSENT ORDER DATED 14/11/2008
|
| 15 |
|
|
ARJUN TRANSPORT CO.PVT.LTD.
(PAN:AABCA5913E)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF EMPIRE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,73,750 VIDE CONSENT ORDER)
20-NOV-2017
|
|
| 16 |
|
|
ASIAN CERC INFORMATION TECHNOLOGY LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING OR VOTING RIGHTS TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF JCP SHARES & SECURITIES PVT. LTD. AND RESOLUTE RESOURCE SOLUTIONS PVT.LTD
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
21-OCT-2009
|
|
| 17 |
|
|
ATN INTERNATIONAL LTD.
(PAN:AACCA5744Q)
|
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MIS-LEADING ADVERTISEMENTS IN MATTER OF ATN INTERNATIONAL LTD.
ALLEGED INDULGENCE IN VIOLATION OF MODEL CODE OF CONDUCT IN SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 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
|
|
| 18 |
|
|
ATN INTERNATIONAL LTD.
(PAN:AACCA5744Q)
|
|
|
|
ARIHANT JAIN
(PAN:ADWPJ8453B)
|
|
|
KISHAN KUMAR KHADARIA
(PAN:AAHPK3724G)
|
|
|
SANTOSH KUMAR LAHOTI
(PAN:AAVPL7078G)
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MIS-LEADING ADVERTISEMENTS IN MATTER OF ATN INTERNATIONAL LTD.
ALLEGED INDULGENCE IN VIOLATION OF MODEL CODE OF CONDUCT IN SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT (CONSENT ORDER)
20-JUN-2011
|
|
| 19 |
|
|
ATN INTERNATIONAL LTD.
(PAN:AACCA5744Q)
|
|
|
|
SANTOSH KUMAR JAIN
(PAN:ACQPJ7823E)
|
|
ALLEGED INDULGENCE IN OFF-LOADING OF SHARES WHILE IN POSSESSION OF PRICE SENSITIVE INFORMATION IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT (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
|
|
| 20 |
|
|
AURA ALKALIES & CHEMICAL PVT.LTD.
(PAN:AADCT1519M)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
12-JUL-2017
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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