| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
360 ONE ALTERNATES ASSET MANAGEMENT LTD.
(PAN:AACCZ2983Q)
(Along with : 360 ONE PRIVATE EQUITY FUND)
|
|
|
|
SAKSHAM KOHLI
PAN:BQOPK0276P
|
|
ALLEGED ACCEPTANCE OF INVESTMENTS IN 360 ONE SEED VENTURES FUND 1 FROM OTHER ALTERNATIVE INVESTMENT FUNDS (AIFS) WHILE AT THE SAME TIME HAVING INVESTED IN UNITS OF OTHER AIFS VIOLATING REGULATIONS 15(1)(DA), 20(1) AND 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN MATTER OF 360 ONE PRIVATE EQUITY FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-AUG-2025
|
|
| 2 |
|
|
360 ONE PRIVATE EQUITY FUND
(PAN:AAATI9829H)
(Along with : 360 ONE ALTERNATES ASSET MANAGEMENT LTD.)
|
|
|
|
SAKSHAM KOHLI
PAN:BQOPK0276P
|
|
ALLEGED ACCEPTANCE OF INVESTMENTS IN 360 ONE SEED VENTURES FUND 1 FROM OTHER ALTERNATIVE INVESTMENT FUNDS (AIFS) WHILE AT THE SAME TIME HAVING INVESTED IN UNITS OF OTHER AIFS VIOLATING REGULATIONS 15(1)(DA), 20(1) AND 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN MATTER OF 360 ONE PRIVATE EQUITY FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-AUG-2025
|
|
| 3 |
|
|
3A CAPITAL SERVICES LTD.
(PAN:AAACZ2547A)
|
|
|
ALLEGED FAILURE IN MAKING PAYMENT FOR 31,66,251 SHARES OF JORD ENGINEERS INDIA LTD.VIOLATING SECTIONS 13 AND 18(1) READ WITH SECTION 2(I) (A) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
09-MAY-2012
|
|
| 4 |
|
|
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
|
|
| 5 |
|
|
A & R ENTRPRISE PVT.LTD.
(PAN:AAJCA8830E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 6 |
|
|
A & S DEVELOPMENTS PVT.LTD.
(PAN:AAGCA1015N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7 |
|
|
A K AGARWAL (HUF)
(PAN:AADHA7899A)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 8 |
|
|
A K BAJORIA (HUF)
(PAN:AAEHA6564M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 9 |
|
|
A K LODHA SONS (HUF)
(PAN:AACHA3596H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 10 |
|
|
A K SINGH & SONS (HUF)
(PAN:AANHA4115R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 11 |
|
|
A ONE ISPAT PVT.LTD.
(PAN:AAICA3791P)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.17,82,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 12 |
|
|
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
|
|
| 13 |
|
|
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
|
| 14 |
|
|
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
|
|
| 15 |
|
|
A.B.FISCAL SERVICES PVT.LTD.
(PAN:AACCA2345R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 16 |
|
|
A.B.PLASTICS PVT.LTD.
(PAN:AAECA1048F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 17 |
|
|
A.K.CAPITAL FINANCE PVT.LTD.
(PAN:AACCG5929R)
|
|
|
ALLEGED TO DEVISED A SCHEME WHEREIN AK GROUP BY USING THE POWERS OF ATTORNEY (POA) SUBMITTED BID APPLICATIONS FOR 1,408,015 NCDS ON BEHALF OF 911 APPLICANTS IN PUBLIC ISSUE OF NCD VIOLATING CLAUSES 2, 3, 9, 19, 27 AND 32 SPECIFIED IN SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 READ WITH SEBI CIRCULAR NO.CIR. /IMD/DF/22/2011 DATED 26/12/2011 IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
ALLEGED PURSUANT TO ALLOTMENT OF NCDS, AK CAPITAL GROUP, BY USING THE POWER OF ATTORNEY SOLD OF THE NCDS ALLOTTED TO 911 APPLICANTS TO EASPL AND RSDPL THROUGH OFF-MARKET TRANSACTIONS IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
ALLEGED NBFC ARM OF AK CAPITAL GROUP PROVIDED LOANS TO 911 APPLICANTS AT 11% AND 10.5% TO APPLY FOR NCDS COUPON RATE OF 8.90% AND 9.00% IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
ALLEGED INDULGENCE IN UNFAIR TRADE PRACTICE, ACTED TO PROVIDE GUARANTEED EXITS AT A PROFIT TO 911 APPLICANTS ON THE DAY OF LISTING OR ON NEXT DAY BY SHARING PART OF COMMISSION/ BROKERAGE/ INCENTIVES RECEIVED BY THEM VIOLATING REGULATIONS 4(1) AND/OR 4(2) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.96,00,000, DISGORGEMENT AMOUNT RS.9,76,647, INTEREST RS.7,59,376 VIDE CONSENT ORDER)
16-OCT-2025
|
|
| 18 |
|
|
A.K.GODHA (HUF)
(Along with : SHANTIVIJAY JEWELS LTD.)
|
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
|
SEBI VIDE ITS ORDER DATED 14/08/2014 MODIFIED ITS DIRECTIONS ISSUED VIDE INTERIM EX-PARTE ORDER DATED 04/06/2013 1.DIRECTIONS ISSUED IN PARA 17(B) MODIFIED TO THE EXTENT THAT IT SHALL NOT HINDER ALREADY COMMENCED VOLUNTARY DELISTING PROCESS AND PROMOTERS SHALL BE PERMITTED TO BUY EQUITY SHARES FROM PUBLIC SHAREHOLDERS AS PART OF DELISTING OFFER 2. COMPANY SHALL COMPLETE DELISTING PROCESS WITHIN A PERIOD OF FIVE MONTHS PERIOD FROM DATE OF THIS ORDER AND SHALL REPORT THE OUTCOME WITHIN ONE MONTH PERIOD FROM THE DATE OF DELISTING. FURTHER DIRECTORS WHO ARE NOT PART OF PROMOTER GROUP AND WHO ARE RESTRAINED FROM SELLING THEIR SHARES IN THE COMPANY WOULD BE ALLOWED TO SELL THEM IN DELISTING OFFER 3.DIRECTIONS CONTAINED IN PARA 17(B) OF INTERIM ORDER DATED 04/06/2013 SHALL BE REIMPOSED/REVIVED IMMEDIATELY IN CASE DELISTING PROCESS IS NOT SUCCESSFUL WITHIN THE PERIOD AS SPECIFIED ABOVE 4.DIRECTIONS CONTAINED IN PARA 17(A),(C) AND (D) OF INTERIM ORDER DATED 04/06/2013 SHALL CONTINUE TO BE IN EFFECT TILL SUCH TIME THE COMPANY IS DELISTED FROM THE STOCK EXCHANGES OR IT BECOMES COMPLIANT WITH MPS NORMS ,WHICHEVER IS EARLIER
|
| 19 |
|
|
A.K.INVESTMENTS
(PAN:AANFA6009Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 20 |
|
|
A.K.KHANDELWAL (HUF)
(PAN:AAEHA7853D)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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