| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 301 |
|
KAMLESH SHAH
|
|
|
|
KRINA GEMS
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 12/01/2010
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 302 |
|
|
KANCHAN MANSINGHANI
|
|
|
|
SUNCHAN SECURITIES LTD.
PAN:AAFCS8953A
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 303 |
|
|
KANTA ANANTRAI DESAI
(PAN:AAEPD6006F)
|
|
|
MADE MISLEADING ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
DIRECTED TO DISGORGE RS.28,72,525
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 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 OWNED BY COMPANY
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-DEC-2017 TO 10-DEC-2020
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-DEC-2017 TO 10-DEC-2020
07-JUN-2016
|
SEBI VIDE ITS ORDER DATED 21/09/2016 DIRECTED TO DEPOSIT (AS MENTIONED IN PARA 6.3.1 OF THE IMPUGNED ORDER DATED 07/06/2016) AND THE IMPOUNDING ORDER DATED 07/06/2016 WILL BE VACATED AFTER DEPOSITING THE AMOUNT
SEBI VIDE ITS ORDER DATED 11/12/2017 A) RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR A PERIOD OF THREE YEARS B) REVOKED THE DIRECTION OF IMPOUNDING OF ASSETS INCLUDING BANK ACCOUNTS / DEMAT ACCOUNTS / PROPERTIES CONTAINED IN ORDER DATED 07/06/2016 AND MODIFIED ORDER DATED 21/09/2016
|
| 304 |
|
|
KANTIBHAI N.PATEL
|
|
|
|
NETVISION WEB TECHNOLOGIES LTD.
PAN:AABCN6164G
|
|
ISSUED FALSE, MISLEADING AND DISTORTED CORPORATE ANNOUNCEMENTS IN MATTER OF NETVISION WEB TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-APR-2012 TO 19-APR-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2012 TO 19-APR-2014
20-APR-2012
|
|
| 305 |
|
|
KANTILAL LAKSHMICHAND
(PAN:ADSPK7577K)
|
|
|
MADE MISLEADING ANNOUNCEMENTS/ADVERTISEMENTS IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
DIRECTED TO DISGORGE RS.10,97,926
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 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 OWNED BY COMPANY
07-JUN-2016
|
SEBI VIDE ITS ORDER DATED 21/09/2016 DIRECTED TO DEPOSIT (AS MENTIONED IN PARA 6.3.1 OF THE IMPUGNED ORDER DATED 07/06/2016) AND THE IMPOUNDING ORDER DATED 07/06/2016 WILL BE VACATED AFTER DEPOSITING THE AMOUNT
SAT: SAT VIDE ITS ORDER DATED 13/01/2017 DIRECTED SEBI TO CONSIDER THE REPRESENTATION AND PASS APPROPRIATE ORDERS THEREON AS EXPEDITIOUSLY AS POSSIBLE. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 25/04/2017 GRANTED EXTENSION OF TIME TO COMPLY WITH THE ORDER DATED 13/01/2017. NO COSTS
|
| 306 |
|
|
KANTILAL SAMELAJI PUROHIT
(PAN:APTPP6092D)
|
|
|
|
OM ASSOCIATES
PAN:APTPP6092D
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 30/08/2019 REVOKED ITS DIRECTION ISSUED VIDE ITS INTERIM ORDER DATED 23/04/2009 AND DISPOSED OFF PROCEEDINGS WITHOUT ANY FURTHER ORDERS
|
| 307 |
|
|
KAPIL KUMAR GUPTA
|
|
|
|
BRAHASPATI FINANCERS LTD.
|
|
GAVE MIS-STATEMENT IN PROSPECTUS REGARDING RECEIPT OF PROMOTERS' CONTRIBUTION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-JAN-2003 TO 26-JAN-2008
27-JAN-2003
|
|
| 308 |
|
|
KARSAN K.CHITRODA
(PAN:ACHPC5141R)
(Along with : RAJESH GUNVANTRAI MEHTA)
|
|
|
|
ACCLAIM INDUSTRIES LTD.
PAN:AAACM7494B
|
|
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES IN MATTER OF ACCLAIM INDUSTRIES LTD.
|
IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-AUG-2018
|
|
| 309 |
|
|
KARUL P.SHAH
|
|
|
|
ADVANCE FINSTOCK PVT.LTD.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
AD-INTERIM EX-PARTE ORDER DATED 23/04/2009 CONFIRMED VIDE ORDER DATED 05/07/2010
SAT: APPEAL DISPOSED OFF IN TERMS OF THE ORDER PASSED BY TRIBUNAL IN APPEAL NO.98 OF 2010 (MR.NIMESH CHITALIA VS. SEBI) DECIDED ON 08/09/2010 WITH NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 310 |
|
|
KAUSHIKA P.ROKADIA
|
|
|
|
IND TRADE CO.LTD.
|
|
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
ACTED IN CONCERT TO CREATE FALSE MARKET TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
DID NOT MAKE DISCLOSURE OF SHAREHOLDING, CONTROL AND SALE OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-OCT-2005 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT/DIRECTORS/CLIENTS IN DEFAULT FROM 05-OCT-2005 TILL FURTHER ORDERS
05-OCT-2005
|
DIRECTED THAT INTERIM ORDER DATED 05/10/2005 SHALL REMAIN IN FORCE TILL FINAL ORDERS PASSED BY SEBI
ORDER DATED 05/10/2005 READ WITH ORDER DATED 20/06/2006 REVOKED AND DISPOSED OFF. NSDL AND CDSL ADVISED TO LIFT THE RESTRICTIONS IMPOSED BY ORDER DATED 05/10/2005 AND 20/06/2006
|
| 311 |
|
|
KEYUR BABULAL MODI
|
|
|
|
GENUS COMMU-TRADE LTD.
CIN:L51100GJ1995PLC025715
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENT RELATED TO BAGGING AN EXPORT ORDER WORTH RS.80 MILLION FROM CANADIAN CO. FOR SUPPLY OF MIS SOFTWARE
|
IMPOSED PENALTY RS.5,00,000
10-JUN-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 312 |
|
|
KIRAN BANSAL
|
|
|
INDULGED IN DISSEMINATION OF MISLEADING INFORMATION LEADING TO PRICE MANIPULATION IN THE SCRIP OF KOLAR BIOTECH LTD., SOUNDCRAFT INDUSTRIES LTD. & ADAM COMSOF LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2004 TILL INVESTIGATIONS COMPLETED
30-SEP-2004
|
|
| 313 |
|
|
KIRAN K.JAIN
|
|
|
|
ASHOK METAL CORP.
|
|
INDULGED IN CARRYING OUT SUSPICIOUS BANKING TRANSACTIONS AND APPEAR TO HAVE CHANNELED THESE FUNDS EITHER DIRECTLY OR INDIRECTLY IN STOCK MARKET IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 23-APR-2009 TILL FURTHER ORDERS
DIRECTED INCOME TAX DEPARTMENT TO TAKE NECESSARY ACTIONS IN MATTER OF PYRAMID SAIMIRA THEATRE LTD.
23-APR-2009
|
SEBI VIDE ITS ORDER DATED 31/03/2015 DISPOSED OFF THE PROCEEDINGS WITHOUT ANY FURTHER ORDERS, SINCE PROHIBITION AGAINST THE ENTITIES NEED NOT TO BE CONTINUED
|
| 314 |
|
|
KIRAN P.KULKARNI
(PAN:AAKPK6962F)
|
|
|
INDULGED IN ISSUANCE OF FALSE AND MISLEADING ANNOUNCEMENT FOR CREATION OF ARTIFICIAL VOLUME AND INFLATE PRICE IN MATTER OF GEODESIC LTD.
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSES 2.1 AND 7(II) CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING, SCHEDULE II READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GEODESIC LTD.
ENTERED INTO OPPOSITE TRANSACTIONS DURING NEXT SIX MONTHS FOLLOWING PRIOR TRANSACTION VIOLATING CLAUSES 1.2 AND 4.2 OF MODEL CODE OF CONDUCT, MONITORING OF TRADES AND IMPLEMENTATION OF CODE OF CONDUCT OF SCHEDULE L PART A READ WITH REGULATIONS 12(1) AND 12(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GEODESIC LTD.
DID NOT MAKE DISCLOSURES TO STOCK EXCHANGES REGARDING ORDER PASSED BY DRT IN SUIT FILED AGAINST THE COMPANY VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF GEODESIC LTD.
DID NOT HAVE MINIMUM NUMBER OF INDEPENDENT DIRECTORS ON BOARD OF THE COMPANY VIOLATING CLAUSE 49 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCR ACT, 1956 IN MATTER OF GEODESIC LTD.
|
IMPOSED PENALTY RS.11,00,000
27-JUL-2021
|
|
| 315 |
|
|
KIRTI C.SHAH
|
|
|
|
KARUNA CABLES LTD.
|
|
ALLOTTED SHARES TO BENAMI OR FICTITIOUS ENTITIES
FILED FAKE AND MISLEADING DISCLOSURES OF PROMOTER'S HOLDING TO STOCK EXCHANGE
CONVERTED PARTLY PAID SHARES TO FULLY PAID WITHOUT RECEIVING ALLOTMENT MONEY
MADE FALSE REPRESENTATION THROUGH CORPORATE ANNOUNCEMENTS TO MISLEAD/INDUCE INVESTORS
ACTED IN CONCERT WITH INTER CONNECTED ENTITIES/BROKERS/CLIENTS TO CREATE FALSE MARKET AND TO SELL THEIR OWN HOLDINGS AT AN ARTIFICIALLY INFLATED PRICE
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2005 TILL FURTHER ORDERS
DIRECTED NOT TO ISSUE ANY EQUITY SHARES OR ANY INSTRUMENT CONVERTIBLE INTO EQUITY SHARES OR ALTER ITS CAPITAL STRUCTURE IN ANY MANNER FROM 29-NOV-2005 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES OF PROMOTERS/PERSONS ACTING IN CONCERT/DIRECTORS/CLIENTS IN DEFAULT FROM 29-NOV-2005 TILL FURTHER ORDERS
29-NOV-2005
|
CONFIRMED INTERIM ORDER DATED 29/11/2005
SAT: ALLOWED TO PLEDGE SHARES AND DIRECTED THAT MONEY RECEIVED SHALL BE PUT IN COMPANY'S A/C AND TO SUBMIT AUDITOR'S UTILISATION CERTIFICATE
DIRECTIONS ISSUED VIDE ORDER DATED 29/11/2005 AND 25/07/2006 REVOKED AS PER SEBI ORDER DATED 15/06/2009
|
| 316 |
|
|
KISHAN AGARWAL
|
|
|
ATTEMPTED TO INDUCE PUBLIC TO DEAL BY CREATING MISLEADING APPEARANCE OF TRADING IN THE SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
ACTED IN CONCERT WITH BROKERS/CLIENTS TO CREATE ARTIFICIAL MARKET/PRICE RISE THROUGH STRUCTURED DEALS/MATCHING BUY AND SELL ORDERS/REVERSAL OF TRADE TRANSACTIONS IN SCRIP OF RADAAN MEDIAWORKS INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000
09-JUN-2006
|
SEBI VIDE ITS NOTICE DATED 24/06/2014 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 16/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.8,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.KISHAN AGARWAL TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 317 |
|
|
KISHAN KUMAR KHADARIA
(PAN:AAHPK3724G)
|
|
|
|
ATN INTERNATIONAL LTD.
CIN:L65993WB1983PLC080793
PAN:AACCA5744Q
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MIS-LEADING ADVERTISEMENTS IN MATTER OF ATN INTERNATIONAL LTD.
ALLEGED INDULGENCE IN VIOLATION OF MODEL CODE OF CONDUCT IN SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ATN INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
20-JUN-2011
|
|
| 318 |
|
|
KISHORE THAKKAR
|
|
|
|
RANSI SOFTWARES INDIA LTD.
|
|
IRREGULAR PREFERENTIAL ALLOTMENT IN SCRIP OF RANSI SOFTWARE INDIA LTD.
MADE SEVERAL CORPORATE ANNOUNCEMENTS AND LATER ON NOT FOLLOWED THE SAME
ISSUED BONUS SHARES WITHOUT PROPER PROFITS & RESERVES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-FEB-2008 TO 05-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-FEB-2008 TO 05-FEB-2010
06-FEB-2008
|
|
| 319 |
|
|
KISHORE THAKURAL
|
|
|
|
ATLANTA LTD.
|
|
|
ATLANTA LTD.
|
|
|
ATLANTA THAKURAL CONSTRUCTIONS
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ATLANTA LTD.
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 7.5% HOLDING OF ATLANTA LTD.
MADE MISLEADING STATEMENTS/ANNOUNCEMENTS WITH AN INTENSION TO DECEIVE INVESTORS
EMPLOYED DIFFERENT REVENUE RECOGNITION METHOD OF DIFFERENT PROJECTS IN ORDER TO SHOW HIGHER REVENUE
DECEIVED SHAREHOLDERS IN ORDER TO HIKE OWN SHAREHOLDING IN COMPANY AT A LOW PRICE COMPARED WITH MARKET PRICE WITHOUT MAKING PAYMENT FROM THEIR OWN FUNDS IN PREFERENTIAL ISSUE
MISAPPROPRIATED FUNDS RECEIVED FROM IPO
MISUSED EMPLOYEE’S QUOTA UNDER IPO
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED STOCK EXCHANGES NOT TO APPROVE LISTING OF CONVERTIBLE WARRANTS AND SHARES ISSUED ON CONVERSION
DIRECTED DEPOSITORIES NOT TO DEMATERIALIZE CONVERTIBLE WARRANTS AND SHARES ISSUED UPON CONVERSION AND NOT TO GIVE EFFECT TO STOCK SPLIT FROM 22-FEB-2007 TILL FURTHER ORDERS
DIRECTED DEPOSITORIES NOT TO GIVE EFFECT TO ANY TRANSFER OF SHARES
22-FEB-2007
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,13,844 VIDE CONSENT ORDER)
22-SEP-2008
|
INTERIM ORDER DATED 22/02/2007 DISPOSED OFF AGREED TO PAY RS.9,13,844 AGAINST SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 22/09/2008.
|
| 320 |
|
|
KISHORE VITTHALDAS THAKKAR
|
|
|
ISSUED MISLEADING ADVERTISEMENT OF ISSUE OF BONUS SHARES OF UNIVERSAL MEDIA NETWORK LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-FEB-2008 TO 17-FEB-2010
18-FEB-2008
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 16 of 43
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