| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
DHEERAJ KUMAR
(PAN:AZYPK3728N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
08-NOV-2021
|
|
| 202 |
|
|
DHIRENDRA KUMAR
(PAN:ADTPK0348P)
|
|
|
ALLOTTED EQUITY SHARES UNDER PREFERENTIAL ALLOTMENT TO INDIVIDUAL WITHOUT RECEIPT OF PROPER CONSIDERATION FROM SOME OF THE ALLOTTEES AND ONE OF THEM DID NOT HAVE PAN VIOLATING CLAUSE 13.1C OF SEBI (DIP) GUIDELINES, 2000 READ WITH REGULATION 111 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED REGULATIONS 13(1), 13(3), 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUN-2021 TO 21-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2021 TO 21-JUN-2026
RESTRAINED FROM ASSOCIATED WITH ANY LISTED COMPANY AND ANY PUBLIC COMPANY AS DIRECTORS/PROMOTERS WHICH INTENDS TO RAISE MONEY FROM THE PUBLIC AND/OR ANY INTERMEDIARY WITH SEBI FROM 22-JUN-2021 TO 21-JUN-2026
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-JUN-2021
|
|
| 203 |
|
|
DHIRENDRA KUMAR
(PAN:ADTPK0348P)
|
|
|
INDULGED IN FUNDING ACTIVITIES CARRIED OUT BY COMPANY IN CONNIVANCE WITH ITS PROMOTER ENTITIES FOR CONVERSION OF WARRANTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
ALLOTTED EQUITY SHARES UNDER PREFERENTIAL ALLOTMENT TO INDIVIDUAL WITHOUT RECEIPT OF PROPER CONSIDERATION FROM SOME OF THE ALLOTTEES AND ONE OF THEM DID NOT HAVE PAN VIOLATING CLAUSE 13.1C OF SEBI (DIP) GUIDELINES, 2000 READ WITH REGULATION 111 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
FURNISHED WRONG/FALSE DECLARATION IN ANNUAL REPORT AND FALSELY DISCLOSE PROPER CONSIDERATION RECEIVED ON CONVERSION OF WARRANTS ISSUED BY COMPANY VIOLATING CLAUSE 13.1.2.3 (B) OF SEBI (DIP) GUIDELINES, 2000 READ WITH REGULATION 111 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.6,00,000
30-MAY-2022
|
|
| 204 |
|
|
DHIRENDRAKUMAR DHARAMDAS AGARWAL
(PAN:AAZPA8189K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAIANAND COMMERCIAL LTD. (ERSTWHILE OREGON COMMERCIAL LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAIANAND COMMERCIAL LTD. (ERSTWHILE OREGON COMMERCIAL LTD.)
|
IMPOSED PENALTY RS.3,00,000
27-JUL-2018
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2019 PARTLY ALLOWED THE APPEAL BY REDUCING TOTAL PENALTY AMOUNT TO RS.2 LACS TO BE PAID JOINTLY AND SEVERALLY FROM RS.2 LACS EACH AND AFFIRMED PENALTY AMOUNT OF RS.3 LACS ON MR.DHARAMDAS AGRAWAL AND DIRECTED TO PAY WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER
|
| 205 |
|
|
DHRUV AGRAWAL
(PAN:ACKPA1653M)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MANPASAND BEVERAGES LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
18-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 13/12/2022 DIRECTED TO PAY RS.10,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 04/01/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 04/05/2023 CONDONED DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 12/02/2026 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 18/08/2022. NO COSTS
SEBI VIDE ITS NOTICE DATED 10/03/2026 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 12/02/2026
|
| 206 |
|
|
DHUMIL V.SHETH
(PAN:AYDPS4431Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3), 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHARP INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 12(1) AND 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARP INDUSTREIS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
06-SEP-2017
|
|
| 207 |
|
|
DILIPKUMAR V.LAKHI
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) READ WITH REGULATION 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.44,62,500 VIDE CONSENT ORDER)
27-MAY-2022
|
|
| 208 |
|
|
DINESH BABEL
(PAN:AEOPB3849L)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(B) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARIHANT SUPERSTRUCTURE LTD.
ENTERED INTO CONTRA TRADES AND TRADING DURING CLOSURE OF TRADING WINDOW VIOLATING CLAUSE 7.1(IV) READ WITH CLAUSE 10 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 AND CLAUSE 6.1(III) OF CODE OF CONDUCT READ WITH CLAUSE 4 CODE OF CONDUCT SPECIFIED UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARIHANT SUPERSTRUCTURE LTD.
|
IMPOSED PENALTY RS.2,00,000
27-OCT-2020
|
|
| 209 |
|
|
DINESH GUPTA
(PAN:AAAPG4180D)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
DELAY IN PAYMENT OF CONSIDERATION OF OFF-MARKET TRANSACTIONS VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.15,00,000
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 30/08/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED EFFECT AND OPERATION OF IMPUGNED ORDER DURING PENDENCY OF THE APPEAL. DIRECTED APPELLANTS TO DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 210 |
|
|
DINESH GUPTA
(PAN:AAAPG4180D)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
DELAY IN PAYMENT OF CONSIDERATION OF OFF-MARKET TRANSACTIONS VIOLATING SECTION 16 OF SCRA, 1956 READ WITH SEBI NOTIFICATION NO.G.S.R.219 (E) DATED 02/03/2000 AND SECTIONS 13 AND 18 OF SCRA READ WITH SECTIONS 2(I) OF SCRA ACT, 1956 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 19-JUN-2023 TO 18-JUN-2024
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.2,82,98,921
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 16/10/2023 ALLOWED APPELLANTS TWO WEEKS TO FILE PHYSICAL COPY OF REJOINDER AFFIDAVIT
SAT: SAT VIDE ITS ORDER DATED 29/11/2023 CONDONED THE DELAY IN FILING OF APPEAL AND REPLY TAKEN ON RECORD
|
| 211 |
|
|
DINESH RAMANLAL SHAH
(PAN:ALJPS2675R)
|
|
|
|
SUNRISE ASIAN LTD.
CIN:L51900MH1981PLC025740
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(2A) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUNRISE ASIAN LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(2A) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUNRISE ASIAN LTD.
|
IMPOSED PENALTY RS.5,00,000
29-SEP-2020
|
SEBI VIDE ITS NOTICE DATED 25/03/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 20/05/2022 DIRECTED ALL THE BANKS TO REMIT RS. 6,06,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.DINESH RAMANLAL SHAH TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 212 |
|
|
DIVYA SHETH
(PAN:AAHPS8431L)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TARA JEWELS LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 24-MAY-2021 TO 23-NOV-2021
DIRECTED TO DISGORGE RS.9,62,061
24-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 GRANTED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/02/2022 DIRECTED TO FILE AFFIRMED COPY OF REJOINDER WITHIN A WEEK FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/04/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 24/05/2021
|
| 213 |
|
|
DIVYA SHETH
(PAN:AAHPS8431L)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TARA JEWELS LTD.
|
DIRECTED TO DISGORGE RS.9,62,061
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
04-SEP-2020
|
SEBI VIDE ITS ORDER DATED 23/10/2020 DIRECTED TO DE-FREEZ BANK ACCOUNTS, DEMAT ACCOUNTS AND BANK LOCKERS OF MS.PURNIMA SHETH IMMEDIATE EFFECT
SAT: SAT VIDE ITS ORDER DATED 01/10/2020 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 04/09/2020 AND DIRECTED APPELLANTS TO FILE REPLY TO SCN WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 214 |
|
|
DIVYA SHETH
(PAN:AAHPS8431L)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE OF TRADES FROM COMPANY VIOLATING CLAUSE 6 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TARA JEWELS LTD.
|
IMPOSED PENALTY RS.1,00,000
24-MAY-2021
|
SAT: SAY: SAT VIDE ITS ORDER DATED 10/08/2021 GRANTED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/02/2022 DIRECTED TO FILE AFFIRMED COPY OF REJOINDER WITHIN A WEEK FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/04/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 24/05/2021
|
| 215 |
|
|
DIVYA SHETH
(PAN:AAHPS8431L)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TARA JEWELS LTD.
|
IMPOSED PENALTY RS.10,00,000
24-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 GRANTED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 18/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 14/02/2022 DIRECTED TO FILE AFFIRMED COPY OF REJOINDER WITHIN A WEEK FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 19/04/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 24/05/2021
|
| 216 |
|
|
DIVYESH B.SHAH
(PAN:AFAPF0331A)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION AND COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION TO RELATIVES VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIABULLS VENTURES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.74,58,750 VIDE CONSENT ORDER)
06-OCT-2021
|
|
| 217 |
|
|
DIWAKAR BHAGWATI GANDHI
(PAN:AAJPG3642B)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF MAHADUSHI INTERNATIONAL TRADE LTD.(CURRENTLY KNOWN AS NEGOTIUM INTERNATIONAL TRADE LTD.)
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MAHADUSHI INTERNATIONAL TRADE LTD.(CURRENTLY KNOWN AS NEGOTIUM INTERNATIONAL TRADE LTD.)
|
IMPOSED PENALTY RS.5,00,000
28-MAY-2021
|
|
| 218 |
|
|
DRAVINABEN L.DESAI
(PAN:AGOPD5286F)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIABULLS VENTURES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,82,34,370, DISGORGEMENT AMOUNT RS.1,22,58,400, INTEREST RS.51,18,302 VIDE CONSENT ORDER)
06-OCT-2021
|
|
| 219 |
|
|
EKTA ANAND KABRA
(PAN:AHCPK0391F)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5), 10(6), 10(7) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF KABRA EXTRUSIONTECHNIK LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KABRA EXTRUSIONTECHNIK LTD.
ALLEGED ENGAGE IN CONTRA-TRADE VIOLATING CLAUSE 10 OF CODE OF CONDUCT GIVEN UNDER SCHEDULE B SPECIFYING MINIMUM STANDARDS FOR CODE OF CONDUCT READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KABRA EXTRUSIONTECHNIK LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,85,391, PAID TO IEPF RS.83,179 VIDE CONSENT ORDER)
24-FEB-2021
|
|
| 220 |
|
|
EKTA ANANDALWAR NAIK
(PAN:AZVPN0307P)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CEREBRA INTEGRATED TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
12-OCT-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 11 of 50
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