| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
JAYANTIKA JATIA
(PAN:AKWPM8544K)
|
|
|
ALLEGED FUNDING OF PURCHASE OF SHARES, A BULK OF WHICH WAS SUBSEQUENTLY SOLD UNDER BUYBACK OFFER VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1), 4(2)(A) & (E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
ALLEGED INDULGENCE IN MANIPULATIVE TRADES AND PLACED BID UNDER DELISTING PROCESS AT A PRICE LOWER THAN PREVAILING MARKET PRICE VIOLATING REGULATIONS 4(5)(A) TO (C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,50,000 VIDE CONSENT ORDER)
28-APR-2020
|
|
| 2 |
|
|
MAITREYI KANDOI
(PAN:AFSPM9902J)
|
|
|
ALLEGED FUNDING OF PURCHASE OF SHARES, A BULK OF WHICH WAS SUBSEQUENTLY SOLD UNDER BUYBACK OFFER VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1), 4(2)(A) & (E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
ALLEGED PARTICIPATION AT VARIOUS STAGES IN MANIPULATIVE AND FRADULENT SCHEME TO FIRST MAKE THE BUYBACK OFFER SUCCESSFUL AND THEREAFTER DEPRESSING BOTH CUTOFF PRICE AND SCRIP PRICE VIOLATING REGULATIONS 4(5)(A) TO (C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,50,000 VIDE CONSENT ORDER)
28-APR-2020
|
|
| 3 |
|
|
MOULISHREE GANI
(PAN:AENPM6238B)
|
|
|
ALLEGED FUNDING OF PURCHASE OF SHARES, A BULK OF WHICH WAS SUBSEQUENTLY SOLD UNDER BUYBACK OFFER VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1), 4(2)(A) & (E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
ALLEGED INDULGENCE IN MANIPULATIVE TRADES AND PLACED BID UNDER DELISTING PROCESS AT A PRICE LOWER THAN PREVAILING MARKET PRICE VIOLATING REGULATIONS 4(5)(A) TO (C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,50,000 VIDE CONSENT ORDER)
28-APR-2020
|
|
| 4 |
|
|
PRAKASH KUMAR MOHTA
(PAN:AGUPM2260N)
|
|
|
ALLEGED FUNDING OF PURCHASE OF SHARES, A BULK OF WHICH WAS SUBSEQUENTLY SOLD UNDER BUYBACK OFFER VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1), 4(2)(A) & (E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
ALLEGED INDULGENCE IN MANIPULATIVE TRADES AND PLACED BID UNDER DELISTING PROCESS AT A PRICE LOWER THAN PREVAILING MARKET PRICE VIOLATING REGULATIONS 4(5)(A) TO (C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,50,000 VIDE CONSENT ORDER)
28-APR-2020
|
|
| 5 |
|
|
PRATIBHA KHAITAN
(PAN:AFNPK7949A)
|
|
|
ALLEGED FUNDING OF PURCHASE OF SHARES, A BULK OF WHICH WAS SUBSEQUENTLY SOLD UNDER BUYBACK OFFER VIOLATING SECTION 12A(A) TO (C) READ WITH REGULATIONS 3(A) TO (D) AND 4(1), 4(2)(A) & (E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ECE INDUSTRIES LTD.
ALLEGED INDULGENCE IN MANIPULATIVE TRADES AND PLACED BID UNDER DELISTING PROCESS AT A PRICE LOWER THAN PREVAILING MARKET PRICE VIOLATING REGULATIONS 4(5)(A) TO (C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER OF ECE INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,50,000 VIDE CONSENT ORDER)
28-APR-2020
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
