| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
ADITYA NAHATA
(PAN:AFRPN0813J)
|
|
|
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
|
|
| 162 |
|
|
ADITYA PODDAR
(PAN:COKPP1343F)
|
|
|
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
|
|
| 163 |
|
|
ADITYA RAJENDRA SAH
(PAN:ACNPS4077N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5), 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF G.P.PETROLEUMS LTD. (FORMERLY KNOWN AS SAH PETROLEUMS LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,16,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 164 |
|
|
ADITYA RAJENDRA SAH
(PAN:ACNPS4077N)
|
|
|
|
SAH PETROLEUMS 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 04/09/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 165 |
|
|
ADITYA SANGHI
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 22.35% SHARES OF SANGHI INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
12-NOV-2008
|
|
| 166 |
|
|
ADITYA TULSIAN
(PAN:AKBPT8891R)
|
|
|
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
|
|
| 167 |
|
|
ADITYA UMESHCHANDRA MEHTA
(PAN:AUCPM0034A)
|
|
|
|
BONDCONNECT SECURITIES PVT.LTD.
PAN:AADCW4132D
|
|
ALLEGED FAILURE TO ENSURE THAT ALL ORDERS PLACED ON ONLINE BOND PLATFORM WITH RESPECT TO LISTED DEBT SECURITIES, LISTED MUNICIPAL DEBT SECURITIES AND SECURITISED DEBT INSTRUMENTS ROUTED THROUGH REQUEST FOR QUOTE (RQF) PLATFORM OF A RECOGNISED STOCK EXCHANGES VIOLATING CLAUSES 3.4.1 OF ANNEX-XXI-A READ WITH 5.2.1 OF CHAPTER XXI OF SEBI NCS MASTER CIRCULAR DATED 10/08/2021 (UPDATED AS ON 07/07/2023) AND CLAUSES 3.4.1 OF ANNEX-XXI-A READ WITH 5.2.1 OF CHAPTER XXI OF SEBI MASTER CIRCULAR DATED 22/05/2024
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,92,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-MAR-2025
|
|
| 168 |
|
|
ADITYA VIJ
(PAN:ACJPV5963A)
|
|
|
ALLEGED FAILURE IN CARRYING OUT DUE DILIGENCE AND EXERCISE INDEPENDENT JUDGEMENT WITH RESPECT TO GRANT OF LOANS/INVESTMENTS TO 3 BORROWER COMPANIES VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992
ALLEGED INDULGENCE IN MISUSE AND DIVERSION OF PUBLIC SHAREHOLDERS FUNDS THROUGH 3 BORROWER COMPANIES FOR BENEFIT OF RHC HOLDING LTD. AND CONSEQUENTLY MR.MALVINDER MOHAN SINGH AND MR.SHIVINDER MOHAN SINGH VIOLATING REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FORTIS HEALTHCARE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.65,02,500 VIDE CONSENT ORDER)
31-JAN-2022
|
|
| 169 |
|
|
ADITYA VIJAY PATEL
(PAN:ARFPP4859E)
|
|
|
|
PLETHICO PHARMACEUTICALS LTD.
PAN:AABCP3063G
|
|
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 03/09/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 170 |
|
|
ADITYA VIKRAM BAGLA
(PAN:AQHPB6599C)
|
|
|
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
|
|
| 171 |
|
|
ADOLF PATRICK PINTO
|
|
|
ALLEGED INDULGENCE IN SYNCHRONIZED, CIRCULAR/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF KRBL LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND NOT COMPLIED WITH STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF KRBL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-JAN-2010
|
|
| 172 |
|
|
AFSANA KHATOON
(PAN:ALJPK5716D)
|
|
|
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
|
|
| 173 |
|
|
AGARWAL PREM LATA
(PAN:AAMPA9811B)
|
|
|
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
|
|
| 174 |
|
|
AGARWAL SANJAY RAJKUMAR
(PAN:AACHA6905J)
|
|
|
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
|
|
| 175 |
|
|
AGARWAL SUBHASH KUMAR
(PAN:AACHA9297B)
|
|
|
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
|
|
| 176 |
|
|
AGARWAL VIKAS NANDUBHAI
(PAN:AGAPA0398M)
|
|
|
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
|
|
| 177 |
|
|
AHUTI PODDAR
(PAN:AISPP3245N)
|
|
|
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
|
|
| 178 |
|
|
AISHWARYA PADIA
(PAN:CEVPP5588R)
|
|
|
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
|
|
| 179 |
|
|
AISHWARYA PANSARI
(PAN:CQZPP8905L)
|
|
|
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
|
|
| 180 |
|
|
AJAI HARI DALMIA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(4) READ WITH 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 279324 (63.48%) SHARES OF ANNIVERSARY INVESTMENTS & AGENCIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-AUG-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 500
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