| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 8301 |
|
VKS FINCAP PVT.LTD.
(PAN:AAECV6185G)
|
|
|
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
|
|
| 8302 |
|
|
VMV HOLIDAYS LTD.
(PAN:AADCV3872D)
|
|
|
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
|
|
| 8303 |
|
|
VOTORANTIM CIMENTOS S.A.
|
|
|
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 13(2) (E) OF SAST REGULATIONS, 2011 IN MATTER OF ACQUISITION OF 3,67,57,313 EQUITY SHARES (26%) OF SHREE DIGVIJAY CEMENT CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,50,000 VIDE CONSENT ORDER)
29-SEP-2015
|
|
| 8304 |
|
|
VRAJ DYES & DRUGS PVT.LTD.
(PAN:AAACU7534L)
|
|
|
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
|
|
| 8305 |
|
|
VRAJLAL GOKALBHAI PATEL (HUF)
(PAN:AABHV7215F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 8306 |
|
|
VRB FINANCIAL SERVICES LTD.
(PAN:AABCV4232F)
|
|
|
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
|
|
| 8307 |
|
|
VRITTANT REALTECH LLP
(PAN:AALFV8642C)
|
|
|
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
|
|
| 8308 |
|
|
VRUSHTI FINANCIAL SERVICES PVT.LTD.
|
|
|
|
SHAILESH THAKKAR
|
|
AIDED AND ABETTED D.K.DALAL AND PROMOTERS OF NATURAL EXPO INDUSTRIES LTD. IN PRICE MANIPULATION IN SCRIP OF NATURAL EXPO INDUSTRIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-SEP-2003 TO 04-SEP-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-SEP-2003 TO 04-SEP-2008
05-SEP-2003
|
|
| 8309 |
|
|
V-TECHWEB INDIA PVT.LTD.
(PAN:AABCV8267A)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DEEP INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,70,00,000, PAID TO IEPF RS.47,86,258 VIDE CONSENT ORDER)
14-AUG-2019
|
|
| 8310 |
|
|
VYJAYANTI TRADINGS PVT.LTD.
(Along with : KHODAY INDIA 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 24/07/2014 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
SAT: SAT VIDE ITS ORDER DATED 07/07/2016 PERMITTED APPEALLANTS TO WITHDRAW THE APPEAL. NO COSTS
SEBI VIDE ITS ORDER DATED 08/05/2017 DISPOSED OFF THE REPRESENTATIONS DATED 26/07/2016 AND 16/11/2016 MADE BY KHODAY INDIA LTD. WITHOUT ANY FURTHER DIRECTIONS
SAT: SAT VIDE ITS ORDER DATED 04/09/2019 ALLOWED THE APPEAL AND QUASHED INTERIM ORDER DATED 04/06/2013 AND CONFIRMATORY ORDER DATED 24/07/2014
|
| 8311 |
|
|
VYOMESH JAGDISH PATEL (HUF)
(PAN:AAJHV0731N)
|
|
|
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
|
|
| 8312 |
|
|
VYOMESH MAHIPATRAY SHAH (HUF)
(Along with : HUBTOWN 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
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,85,625 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
19-JAN-2016
|
ORDER DATED 04/06/2013 PASSED BY SEBI DISPOSED OFF, AS APPLICANTS AGREED TO PAY RS.12,85,625.00 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 19/01/2016
SEBI VIDE ITS ORDER DATED 22/07/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 8313 |
|
|
VYOMESH MAHIPATRAY SHAH (HUF)
(Along with : ACKRUTI CITY LTD.)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES OF THIER OWN COMPANIES AND THIER LISTED GROUP COMPANIES, IN ANY MANNER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED TO ENSURE SHAREHOLDING OF PROMOTERS/PROMOTER GROUP IN THE COMPANIES NOT ALTERED IN ANY MANNER FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
SAT: APPEAL DISPOSED OFF BY CLARIFYING THAT THE INJUNCTION/RESTRICTION AS SET DOWN IN PARAGARAPH 53(B) AND 53(E) OF THE IMPUGNED ORDER DATED 02/12/2010 WILL NOT COME IN THE WAY OF THE PLEDGEES TO ENFORCE THEIR CLAIM IN THE EVENT OF ANY SUCH REQUIREMENT BY THE PLEDGEES UNDER THE LOAN CONVENANTS
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2)NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| 8314 |
|
|
W H BRADY & CO.LTD.
(Along with : BRADY & MORRIS ENGINEERING CO.LTD.)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 8315 |
|
|
W H BRADY & CO.LTD.
(Along with : BRADY & MORRIS ENGINEERING CO.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 05/11/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 8316 |
|
|
WAAREE ENERGIES LTD.
(PAN:AAACA4043J)
|
|
|
ALLEGED FAILURE TO COMPLETE PERIOD OF THREE YEARS AS PROMOTER TO BE TREATED AS QUALIFYING PERSONS FOR ACQUISITION PURSUANT TO INTER-SE TRANSFER OF SHARES OF WAAREE RENEWABLE TECHNOLOGIES LTD. AS REQUIRED UNDER REGULATION 10(1)(A)(II) OF SAST REGULATIONS, 2011
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
02-JUL-2024
|
|
| 8317 |
|
|
WALCHAND PEOPLEFIRST LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(B) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,06,562 VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 8318 |
|
|
WALLACE BROTHERS TRADING & INDUSTRIAL LTD.
(PAN:AABCW4361N)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE AFTER BECOME PART OF THE PROMOTER GROUP VIOLATING REGULATION 7(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.34,70,785 VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 8319 |
|
|
WALLACE BROTHERS TRADING & INDUSTRIAL LTD.
(PAN:AABCW4361N)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 8320 |
|
|
WALLFORT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACW0750G)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.13,17,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 416 of 423
|
