| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 8381 |
|
WITHAL COMMERCIAL PVT.LTD.
(PAN:AAACW2222R)
|
|
|
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.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-DEC-2010 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
|
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
SEBI VIDE ITS ORDER DATED 19/07/2011 CONFIRMED DIRECTIONS ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 02/12/2010
SAT: APPEAL DISPOSED OF WITH DIRECTION TO BOARD TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY AND, IN ANY CASE, BEFORE THE END OF THIS YEAR WITH NO ORDER AS TO COSTS. FURTHER DIRECTED THAT APPLLANTS MAY SELL ANY OR ALL SCRIPS WHICH THEY ARE PRESENTLY HOLDING AND DETAILS OF THE SALE SHALL BE FURNISHED TO BOARD WITHIN 24 HOURS AND THE SALE PROCEEDS BE INVESTED IN A FIXED DEPOSIT(S) WITH A NATIONALISED BANK
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
|
| 8382 |
|
|
WIZARD TRADERS PVT.LTD.
(PAN:AAACW2797B)
|
|
|
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
|
|
| 8383 |
|
|
WLR RECOVERY III (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULGENCE IN SUPPRESSING INFORMATION THERBY MISLED REGULATOR AND PUBLIC IN VIOLATION OF REGULATION 45(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULENCE IN SEGREGATION AND TRANSFER OF SHARES & VOTING RIGHTS UNDER SALE & PURCHASE AGREEMENT PRIOR TO COMPLETION OF OPEN OFFER FORMALITIES IN VIOLATION OF REGULATION 22(16) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,10,23,185 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-SEP-2013
|
|
| 8384 |
|
|
WLR RECOVERY IV/ESC (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULGENCE IN SUPPRESSING INFORMATION THERBY MISLED REGULATOR AND PUBLIC IN VIOLATION OF REGULATION 45(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULENCE IN SEGREGATION AND TRANSFER OF SHARES & VOTING RIGHTS UNDER SALE & PURCHASE AGREEMENT PRIOR TO COMPLETION OF OPEN OFFER FORMALITIES IN VIOLATION OF REGULATION 22(16) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,10,23,185 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-SEP-2013
|
|
| 8385 |
|
|
WLR/GS (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULGENCE IN SUPPRESSING INFORMATION THERBY MISLED REGULATOR AND PUBLIC IN VIOLATION OF REGULATION 45(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULENCE IN SEGREGATION AND TRANSFER OF SHARES & VOTING RIGHTS UNDER SALE & PURCHASE AGREEMENT PRIOR TO COMPLETION OF OPEN OFFER FORMALITIES IN VIOLATION OF REGULATION 22(16) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,10,23,185 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-SEP-2013
|
|
| 8386 |
|
|
WOCKHARDT LTD.
(PAN:AAACW2472M)
|
|
|
|
HABIL KHORAKIWALA
PAN:AABPK4415C
|
|
|
HUZAIFA KHORAKIWALA
PAN:ABLPK6715C
|
|
|
MURTAZA KHORAKIWALA
PAN:AAZPK7040H
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE TO STOCK EXCHANGES REGARDING FORM 483 ISSUED BY USFDA TO WALUJ FACTORY VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
ALLEGED FAILURE IN MAKING DISCLOSURE TO STOCK EXCHANGES VIOLATING REGULATION 12(2) READ WITH CLAUSE 2.0 OF SCHEDULE II OF SEBI REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015
ALLEGED FAILURE IN ENFORCING CODE OF CONDUCT OF INTERNAL PROCEDURES AND CONDUCT OF INSIDER TRADING AND DID NOT ENSURE COMPLIANCE OF THE SAME VIOLATING REGULATIONS 12(1) AND 12(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.36,70,875 VIDE CONSENT ORDER)
22-MAY-2023
|
|
| 8387 |
|
|
WOMEN'S NEXT LOUNGERIES LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE 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)
22-FEB-2018
|
|
| 8388 |
|
|
WONDER COMMOTRADE PVT.LTD.
(PAN:AAACW9366N)
|
|
|
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
|
|
| 8389 |
|
|
WONDER DEALERS PVT.LTD.
(PAN:AAACW9638H)
|
|
|
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
|
|
| 8390 |
|
|
WONDERFUL TRADING CO.PVT.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
|
| 8391 |
|
|
WONDERLAND PAPER SUPPLIERS PVT.LTD.
(PAN:AABCW0544K)
|
|
|
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
|
|
| 8392 |
|
|
WOO YANG ELECTRONICS (INDIA) LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,59,250 VIDE CONSENT ORDER)
30-JUN-2015
|
|
| 8393 |
|
|
WOODLAND COMMERCE PVT.LTD.
(PAN:AAACW7394L)
|
|
|
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
|
|
| 8394 |
|
|
WOODLAND RETAILS PVT.LTD.
(PAN:AABCW1644A)
|
|
|
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
|
|
| 8395 |
|
|
WORLD CREST ADVISORS LLP.
(PAN:AACFW2588B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DISH TV INDIA LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES OF INVOCATION OF ENCUMBERED SHARES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF DISH TV INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,70,313 VIDE CONSENT ORDER)
17-FEB-2021
|
|
| 8396 |
|
|
XCHANGING TECHNOLOGY SERVICES INDIA PVT.LTD.
(PAN:AABCR5609L)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3, 4 AND 5 READ WITH 13 OF SAST REGULATIONS, 2011 IN MATTER OF XCHANGING SOLUTIONS LTD.
ALLEGED DELAY IN COMPLIANCE WITH MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.65,24,132 VIDE CONSENT ORDER)
16-FEB-2021
|
|
| 8397 |
|
|
XPRO SECURITIES
(PAN:AKSPK3598D)
|
|
|
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
|
|
| 8398 |
|
|
Y S T CAPITAL SERVICES PVT.LTD.
(PAN:AAACY5373R)
|
|
|
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
|
|
| 8399 |
|
|
YAANA APPARELS PVT.LTD.
(PAN:AAACY2254M)
|
|
|
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
|
|
| 8400 |
|
|
YADU INTERNATIONAL LTD.
(PAN:AAACY0480F)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 3(1) OF SAST REGULATIONS, 2011 IN MATTER OF JAYKAY ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-NOV-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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| Page 420 of 423
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