| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 8441 |
|
YES BANK LTD.
(PAN:AAACY2068D)
|
|
|
ALLEGED FAILURE IN MAKING COMPLETE PRESS RELEASE/PUBLIC ANNOUNCEMENT TO STOCK EXCHANGES VIOLATING SECTION 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A), 3(D), 4(1), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,65,37,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-SEP-2021
|
|
| 8442 |
|
|
YES BANK LTD.
(PAN:AAACY2068D)
|
|
|
ALLEGD FAILURE IN FOLLOWING DUE PROCEDURE TO DISCLOSE MATERIAL INFORMATION AND DID NOT HAVE SYSTEM IN PLACE TO ENSURE PROPER PROCEDURE TO MAKE DISCLOSURE OF MATERIAL INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 30(4)(I) & (II) AND 30(5) READ WITH 4(1) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.51,60,000 VIDE CONSENT ORDER)
04-SEP-2019
|
|
| 8443 |
|
|
YES BANK LTD.
(PAN:AAACY2068D)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(2) OF SAST REGULATIONS, 2011
ALLEGED FAILURE IN COMPLIANCE OF REGULATION 4(1)(C) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,80,000 VIDE CONSENT ORDER)
29-JUN-2018
|
|
| 8444 |
|
|
YIN TREXIM PVT.LTD.
(PAN:AAACY5285E)
|
|
|
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
|
|
| 8445 |
|
|
YM BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 8446 |
|
|
YOGENDER DUGAR (HUF)
(PAN:AAAHY8515N)
|
|
|
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
|
|
| 8447 |
|
|
YOGENDRA SHARMA (HUF)
(PAN:AAAHY9737L)
|
|
|
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
|
|
| 8448 |
|
|
YOGESH AGARWAL (HUF)
(PAN:AAAHY7211B)
|
|
|
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
|
|
| 8449 |
|
|
YOGESH BERRY (HUF)
(PAN:AAAHY0361G)
|
|
|
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
|
|
| 8450 |
|
|
YOGESH DARUKA & SONS
(PAN:AAAHY2978R)
|
|
|
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
|
|
| 8451 |
|
|
YOGESH KUMAR GUPTA (HUF)
(PAN:AAAHY8613H)
|
|
|
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, LEGAL EXPENSES RS.13,570 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 8452 |
|
|
YOGESH M.BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 8453 |
|
|
YOGESH MAFATLAL BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 8454 |
|
|
YOGESH RAVILAL ZAVERI (HUF)
(PAN:AAAHY6748K)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,97,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 8455 |
|
|
YOGESH U KHIVSARA (HUF)
(PAN:AAAHY9129E)
|
|
|
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
|
|
| 8456 |
|
|
YOGESHBHAI M.BHANSALI (HUF)
|
|
|
MADE APPLICATIONS IN FICTITIOUS NAMES/USED BENAMI APPLICATIONS FOR OBTAINING HIGHER ALLOTMENT IN IPO OF NISSAN COPPER LTD.
INDULGED IN PRICE MANIPULATION IN SCRIP OF NISSAN COPPER LTD.
|
BOMBAY STOCK EXCHANGE & NATIONAL STOCK EXCHANGE DIRECTED/ORDERED TO HOLD THE PROFIT AND GAINS IN A SEPARATE ESCROW ACCOUNT
17-JAN-2007
|
RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES IN WHATSOVER MANNER, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 3 YEARS FROM THE DATE OF THIS ORDER I.E.31/12/2008
SAT: APPEAL DISMISSED WITH COSTS OF RS.50,000
|
| 8457 |
|
|
YOGMAYA SALES PVT.LTD.
(PAN:AAACY3683Q)
|
|
|
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
|
|
| 8458 |
|
|
YOKE COMMERCIAL PVT.LTD.
(PAN:AAACY0981B)
|
|
|
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
|
|
| 8459 |
|
|
YT COMMODITIES BROKING PVT.LTD.
(PAN:AAACY4444K)
|
|
|
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
|
|
| 8460 |
|
|
YT FOODS & BEVERAGES PVT.LTD.
(PAN:AABCT2858H)
|
|
|
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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| Page 423 of 424
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