| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 181 |
|
AJAY JAIN
(PAN:ACJPJ6652L)
|
|
|
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
|
|
| 182 |
|
|
AJAY JASWANTLAL DOSHI
(PAN:AAAPD9688D)
|
|
|
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
|
|
| 183 |
|
|
AJAY KUMAR
(PAN:APLPK8439D)
|
|
|
|
INVESTCORP INDIA ASSET MANAGERS PVT.LTD.
PAN:AAFCI0227D
|
|
|
INVESTCORP REAL ESTATE YIELD FUND
PAN:AABTI0798Q
|
|
ALLEGED DELAY IN LIQUIDATION AND DISTRIBUTION OF ASSETS OF THE FUND VIOLATING REGULATIONS 13(5) AND 29(7) READ WITH 20(1) AND 20(5) AND CLAUSES 2(A), 2(C) AND 3(B) OF CODE OF CONDUCT SPECIFIED IN FOURTH SCHEDULE OF (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF INVESTCORP REAL ESTATE YIELD FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-MAR-2025
|
|
| 184 |
|
|
AJAY KUMAR
(PAN:AGNPK5993M)
|
|
|
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
|
|
| 185 |
|
|
AJAY KUMAR AGARWAL
(PAN:ACOPA6946P)
|
|
|
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
|
|
| 186 |
|
|
AJAY KUMAR BAID
(PAN:ADIPB4571C)
|
|
|
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
|
|
| 187 |
|
|
AJAY KUMAR JAIN
(PAN:AAGPJ8327F)
|
|
|
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
|
|
| 188 |
|
|
AJAY KUMAR JAJODIA
(PAN:ACSPJ9740J)
|
|
|
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
|
|
| 189 |
|
|
AJAY KUMAR MITTAL
(PAN:AFPPM4452E)
|
|
|
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
|
|
| 190 |
|
|
AJAY KUMAR SARAOGI
(PAN:ACCPS4027R)
|
|
|
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
|
|
| 191 |
|
|
AJAY KUMAR SONTHALIA
(PAN:ALFPS9929J)
|
|
|
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
|
|
| 192 |
|
|
AJAY MITTAL
(PAN:ADUPM3801A)
|
|
|
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
|
|
| 193 |
|
|
AJAY OMPRAKASH GUPTA
(PAN:ABQPG0045G)
|
|
|
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
|
|
| 194 |
|
|
AJAY RAVINDRA SHAH
(PAN:AAGPS8690G)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH SYNCHRONIZED DEALS AND REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF EASTERN GASES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,76,000 VIDE CONSENT ORDER)
27-NOV-2013
|
|
| 195 |
|
|
AJAY RELAN
(PAN:AADPR4374F)
|
|
|
ALLEGED DELAY IN AMENDMENT IN CODE OF CONDUCT AND DID NOT INCORPORATE PROVISIONS RELATED TO PRE-CLEARANCE OF TRADES VIOLATING REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND CLAUSE 1.2 OF MODEL CODE OF CONDUCT IN MATTER OF SUZLON ENERGY LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
27-AUG-2013
|
|
| 196 |
|
|
AJAY SARAF
(PAN:AOCPS8498E)
|
|
|
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
|
|
| 197 |
|
|
AJAY SHARMA
(PAN:ALEPS7217A)
|
|
|
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
|
|
| 198 |
|
|
AJAY SHEKHAR SHARMA
(PAN:BBJPS0729P)
|
|
|
|
ONE 97 COMMUNICATIONS LTD.
PAN:AAACO4007A
|
|
ALLEGED VIOLATION OF REGULATION REGULATION 2(1)(I)(III) OF SEBI (SBEB) REGULATIONS, 2021 IN MATTER OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.57,11,425, DISGORGEMENT AMOUNT RS.35,86,452 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,22,862 ESOPS GRANTED/VESTED UPON BUT NOT EXERCISED)
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (SETTLEMENT CHARGES RS.57,11,425, DISGORGEMENT AMOUNT RS.35,86,452 VIDE CONSENT ORDER)
08-MAY-2025
|
|
| 199 |
|
|
AJAY SINGH
(PAN:ABJPS9222J)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF SPICEJET LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,02,500 VIDE CONSENT ORDER)
10-APR-2017
|
|
| 200 |
|
|
AJAYA CHAND
|
|
|
|
DEN NETWORKS LTD.
|
|
ALLEGED INDULGENCE IN PROVIDING FUNDS TO CERTAIN ENTITIES TO MAKE APPLICATIONS IN IPO OF DEN NETWORKS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
11-MAR-2013
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 10 of 438
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