| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 301 |
|
BIPIN PUSHPABEN DIVECHA
(PAN:AABPD5165A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5)(B) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 28/09/2022 CONDONED THE DELAY OF 689 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY TO THE DELAY APPLICATION AS WELL AS MEMORANDUM OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
|
| 302 |
|
|
BIRENDRA KUMAR JAIN
(PAN:AHWPJ0917G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SRK INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
31-AUG-2020
|
|
| 303 |
|
|
BRIJESH JAYANTIBHAI PATEL
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GUJARAT TERCE LABORATORIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GUJARAT TERCE LABORATORIES LTD.
|
IMPOSED PENALTY RS.2,00,000
30-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 304 |
|
|
BRIJESH KHANDELWAL
(PAN:AAGHB7201Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 305 |
|
|
BRIJESH KOTHARI
(PAN:AACPK8359C)
|
|
|
|
ALKA SECURITIES LTD.
PAN:AAACA4835E
(Member : NSE)
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE AD-INTERIM ORDER DATED 28/07/2009 CONFIRMED AND DIRECTED BSE AND NSE TO 1) APPOINT AN INDEPENDENT AUDITOR ON OR BEFORE 22/10/2009 TO VERIFY OWNERSHIP OF SHARES LYING IN BENEFICIAL OWNER ACCOUNTS OF THEIR RESPECTIVE TRADING MEMBERS 2) ASK AUDIOTRS TO SUBMIT REPORT WITHIN A PERIOD OF SIX WEEKS FROM DATE OF APPOINTMENT
SAT: APPEAL DISPOSED OFF WITH DIRECTION TO SEBI TO CONCLUDE INVESTIGATIONS EXPEDITIOUSLY BUT NOT LATER THAN 31/03/2010
SAT: DIRECTED SEBI THAT IN CASE IT PROPOSES TO PROCEED AGAINST APPLICANTS UNDER SECTION 11B,IT SHOULD ISSUE SHOW CAUSE NOTICE NOT LATER THAN 31/08/2010 AND APPLICANT SHALL RESPOND WITHIN TWO WEEKS FROM DATE OF ITS RECEIPT, WHEREAFTER SEBI SHALL PROCEED IN MATTER AND CONCLUDE PROCEEDINGS BEFORE END OF THIS YEAR
SAT: DIRECTED SEBI VIDE ORDER DATED 16/11/2010, TO RELEASE THE SHARES TO THE PERSONS AS RECOMMENDED BY THREE MEMBERS COMMITTEE ON THE CONDITIONS MENTIONED IN THEIR REPORT AND AFTER TAKING INTO ACCOUNT THE REPRESENTATION
SEBI VIDE ITS ORDER DATED 30/12/2010 PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 10/03/2017, IN ALL THE APPEALS (EXCEPT IN APPEAL NO.41 OF 2014) INTEREST DEMANDED BY RO FROM THE DATE OF THIS ORDERS ARE QUASHED AND SET ASIDED AND ALL THESE MATTERS ARE RESTORED TO THE FILE OF RO FOR FRESH COMPUTATION OF INTEREST IN TERMS OF THIS DECISION
|
| 306 |
|
|
BRIJMOHAN RATHI
(PAN:AACPR2189P)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES IN SCRIP OF MAHARASHTRA POLYBUTENES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MAHARASHTRA POLYBUTENES LTD.
|
IMPOSED PENALTY RS.1,52,00,000
30-SEP-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SAT: SAT VIDE ITS ORDER DATED 26/04/2019 REJECTED MISCELLANEOUS APPLICATIONS AND DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 18/11/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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 NOTICE DATED 18/11/2020 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 09/03/2022 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES IF ANY, WITHIN ONE WEEK FROM DATE OF THIS ORDER AND CERTIFIED COPIES OF ALL TITLE DEEDS AND VALUATION REPORTS OF ALL PROPERTIES WITHIN TWO WEEKS FROM DATE OF THIS ORDER D) DIRECTED INSPECTOR GENERAL OF REGISTRATION OF MAHARASHTRA AND OTHER STATES/UNION TERRITORIES AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS (REVENUE) OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED. NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, IF PRESENTED FOR REGISTRATION
|
| 307 |
|
|
BRUNDAVANAM SRINIVAS VIJAYAMOHAN
(PAN:AGDPB0182D)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ING VYSYA BANK LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,04,000 VIDE CONSENT ORDER)
12-JAN-2017
|
|
| 308 |
|
|
C.G.DESHMUKH
(PAN:ADFPD4130J)
|
|
|
|
AFTEK LTD.
CIN:L57220MH1986PLC039342
PAN:AAACA4711B
|
|
DELAY IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES IN REDEMPTION OF FOREIGN CURRENCY CONVERTIBLE BONDS (FCCBS) VIOLATING OF CLAUSES 2.1 AND 7(II) OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING AS SPECIFIED UNDER REGULATION 12(2) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DELAY IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES IN REDEMPTION OF FOREIGN CURRENCY CONVERTIBLE BONDS (FCCBS) VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.1,50,000
27-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 309 |
|
|
C.R.RAJESH NAIR
(PAN:ADRPN0413A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SIGRUN HOLDINGS LTD. (FORMERLY KNOWN AS GEE KAY FINANCE & LEASING CO.LTD.)
|
IMPOSED PENALTY RS.2,00,000
18-JAN-2013
|
SAT: SAT VIDE ITS ORDER DATED 07/05/2013 MODIFIED IMPUGNED ORDER DATED 18/01/2013 BY REDUCING PENALTY AMOUNT TO RS.1 LAC FROM RS.2 LACS. NO ORDER AS TO COSTS
|
| 310 |
|
|
C.R.RAJESH NAIR
(PAN:ADRPN0413A)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 (I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF SIRGUN HOLDINGS LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 12(1) READ WITH CLAUSE 3.3.1 & 4.2 OF CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF SIRGUN HOLDINGS LTD.
|
IMPOSED PENALTY RS.6,08,00,000
16-JUN-2017
|
SAT: SAT VIDE ITS ORDER DATED 18/07/2019 QUASHED IMPUGNED ORDER AND ALLOWED THE APPEAL BY REMITTING MATTER TO AO TO PASS FRESH ORDER AFTER SERVING SCN. NO COSTS
|
| 311 |
|
|
C.R.RAJESH NAIR
(PAN:ADRPN0413A)
|
|
|
ENTERED INTO OPPOSITE TRANSACTIONS DURING NEXT SIX MONTHS FOLLOWING PRIOR TRANSACTIONS VIOLATING REGULATION 12(1) READ WITH CLAUSE 4.2 OF MODEL CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SIRGUN HOLDINGS LTD.
|
IMPOSED PENALTY RS.2,00,000
24-DEC-2019
|
SEBI VIDE ITS ORDER DATED 24/12/2019 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS 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 NOTICE DATED 22/08/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 24/12/2019
SEBI VIDE ITS ORDER DATED 22/08/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.3161 OF 2020 DATED 20/11/2020
|
| 312 |
|
|
C.SIVAKUMAR REDDY
(PAN:AFKPS1146S)
|
|
|
|
KAVVERI TELECOM PRODUCTS LTD.
PAN:AAACK7399F
CIN:L85110KA1996PLC019627
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3), 13(4), 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF KAVVERI TELECOM PRODUCTS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3), 13(4), 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF KAVVERI TELECOM PRODUCTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2), 29(3), 31(1), 31(2) AND 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF KAVVERI TELECOM PRODUCTS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2), 29(3), 31(1) AND 31(2) OF SAST REGULATIONS, 2011 IN MATTER OF KAVVERI TELECOM PRODUCTS LTD.
|
IMPOSED PENALTY RS.15,00,000
31-JUL-2020
|
|
| 313 |
|
|
C.SIVAKUMAR REDDY
(PAN:AFKPS1146S)
(Along with : R.H.KASTURI,
L.NICHOLAS)
|
|
|
DID NOT CLOSE TRADING WINDOW DURING PERIOD OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 1.2 OF MODEL CODE OF CONDUCT IN SCHEDULE I PART A READ WITH REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF KAVVERI TELECOM PRODUCTS LTD.
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2020
|
|
| 314 |
|
|
C.SIVAKUMAR REDDY
(PAN:AFKPS1146S)
(Along with : R.H.KASTURI)
|
|
|
TRADED DURING TRADING WINDOW WAS CLOSED VIOLATING CLAUSES 3.2-2, 3.2-5 AND 3.3-1 OF MODEL CODE OF CONDUCT IN SCHEDULE I PART A READ WITH REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KAVVERI TELECOM PRODUCTS LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-JUL-2020
|
|
| 315 |
|
|
C.V.RAVI
(PAN:AAAPR5253L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1),7(1A),8A(2) AND 8A(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SANGUINE MEDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SANGUINE MEDIA LTD.
|
IMPOSED PENALTY RS.3,00,000
26-JUL-2011
|
|
| 316 |
|
|
CHAMPA DEVI CHOPRA
(PAN:ACAPC8016A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 317 |
|
|
CHAMPALAL GOPIRAM AGARWAL
(PAN:AAPPA7695A)
(Along with : SHANKARLAL GOPIRAM AGARWAL,
SUBHASHCHANDRA OMKARMAL AGARWAL)
|
|
|
|
OMKAR OVERSEAS LTD.
PAN:AAACO1827C
|
|
DID NOT CLOSE TRADING WINDOW PRIOR TO MAKING FINANCIAL RESULTS PUBLIC VIOLATING CLAUSES 3.2,1.2 AND 2.1 OF CODE OF CONDUCT AS SPECIFIED IN PART A OF SCHEDULE I READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OMKAR OVERSEAS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-AUG-2018
|
|
| 318 |
|
|
CHAMPALAL GOPIRAM AGARWAL
(PAN:AAPPA7695A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OMKAR OVERSEAS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OMKAR OVERSEAS LTD.
|
IMPOSED PENALTY RS.5,00,000
14-AUG-2018
|
|
| 319 |
|
|
CHAMPALAL GOPIRAM AGARWAL
(PAN:AAPPA7695A)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OMKAR OVERSEAS LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-AUG-2018
|
|
| 320 |
|
|
CHANCHAL DEVI CHOPRA
(PAN:ABYPC1654R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 16 of 82
|
