| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.C.MUTHIAH
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 READ WITH REGULATION 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,97,33,551 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-JAN-2017
|
|
| 2 |
|
|
A.K.KRISHNA
(PAN:AJRPK5921A)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF THINKSOFT GLOBAL SERVICES LTD. (NOW SQS INDIA BFSI LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-FEB-2016
|
|
| 3 |
|
|
A.K.LATHA
(PAN:AAUPL2315D)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF THINKSOFT GLOBAL SERVICES LTD. (NOW SQS INDIA BFSI LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-FEB-2016
|
|
| 4 |
|
|
A.K.SINGH
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 6(1),6(3) FOR YEAR 1997 AND 8(1),8(2) FOR YEARS 1997 TO 2006,OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000, ADMINISTRATION CHARGES RS.5,000 VIDE CONSENT ORDER)
20-JAN-2009
|
|
| 5 |
|
|
A.R.VADIA
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HERBERTSONS LTD.
|
IMPOSED PENALTY RS.15,000 ALONG WITH OTHER ENTITIES/PERSONS
24-AUG-2005
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.65,000, LEGAL EXPENSES RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-JUL-2009
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 24/08/2005 SET ASIDE AND BOARD WILL REFUND AMOUNT DEPOSITED BY APPELLANTS IN PURSUANCE TO IMPUGNED ORDER
SAT: APPLICANT PAID RS.65,000 TOWARDS SETTLEMENT CHARGES AND RS.5,00,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER (REFERENCE APPEAL NO.154 OF 2005 DATED 02/07/2009 WITH SAT)
|
| 6 |
|
|
A.V.ASVINI KUMAR
(PAN:ABKPK1768J)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF THINKSOFT GLOBAL SERVICES LTD. (NOW SQS INDIA BFSI LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-FEB-2016
|
|
| 7 |
|
|
AARTI ARVIND
(PAN:ADCPA5896N)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF THINKSOFT GLOBAL SERVICES LTD. (NOW SQS INDIA BFSI LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-FEB-2016
|
|
| 8 |
|
|
AARTI BOOB
|
|
|
|
VINOD SECURITIES & INVESTMENTS PVT.LTD.
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND COMPANY AS REQUIRED UNDER REGULATIONS 7(1A) AND 7(2) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-JUN-2010
|
|
| 9 |
|
|
AASTHI AGARWALA
(PAN:AMHPA8940L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-APR-2013
|
|
| 10 |
|
|
ABHA BAGRODIA
|
|
|
|
SIRUGUPPA SUGARS & CHEMICALS LTD.
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-MAY-2008
|
|
| 11 |
|
|
ABHISHEK DALMIA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(4) READ WITH 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 279324 (63.48%) SHARES OF ANNIVERSARY INVESTMENTS & AGENCIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-AUG-2008
|
|
| 12 |
|
|
ADITYA D.MAHADEVIA
(PAN:AABPM3641A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TAK MACHINERY & LEASING LTD. (NOW KNOWN AS MANGAL CREDIT & FINCORP LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,81,525 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-OCT-2014
|
|
| 13 |
|
|
ADITYA SANGHI
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 22.35% SHARES OF SANGHI INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
12-NOV-2008
|
|
| 14 |
|
|
AJAI HARI DALMIA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(4) READ WITH 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 279324 (63.48%) SHARES OF ANNIVERSARY INVESTMENTS & AGENCIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-AUG-2008
|
|
| 15 |
|
|
AJMAIR SINGH BHULLAR
|
|
|
|
JAMES HOTELS LTD.
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997 FOR YEARS 1997-1998 TO 2004-2005 IN MATTER OF ACQUISITION OF 20% SHARES OF JAMES HOTELS LTD.
|
REACHED SETTLEMENT (CONSENT ORDER)
05-DEC-2008
|
|
| 16 |
|
|
AKIL ABBAS RASSAI
(PAN:AACPR1058F)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF VYAPAR INDUSTRIES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VYAPAR INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,10,985 VIDE CONSENT ORDER)
19-MAR-2018
|
|
| 17 |
|
|
AKSHAY PODDAR
(PAN:AFUPP0096C)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-APR-2013
|
|
| 18 |
|
|
AKSHITA NIKHIL GANDHI
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF HORIZON INFRASTRUCTURE LTD. (NOW KNOWN AS SKIL INFRASTRUCTURE LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,32,74,000, INTEREST RS.5,10,595 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2017
|
|
| 19 |
|
|
ALISHA P.CHINAI
(PAN:AADPC2236R)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER ACQUISITION OF SHARES OF EXEDY INDIA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER ACQUISITION OF SHARES OF EXEDY INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
05-DEC-2012
|
|
| 20 |
|
|
ALKA SURANA
|
|
|
|
SURANA INDUSTRIES LTD.
|
|
ALLEGED NON-COMPLIANCE OF REGULATION 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 50,00,000 (47.62%) SHARES/VOTING RIGHTS OF SURANA INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-SEP-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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