| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 321 |
|
CHANCHAL JAIN
(PAN:ABSPJ9360K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KOFFEE BREAK PICTURES LTD.
|
IMPOSED PENALTY RS.2,62,500
29-JAN-2014
|
SEBI VIDE ITS NOTICE DATED 06/12/2017 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 11/12/2017 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 06/12/2017
|
| 322 |
|
|
CHANDANA GOSH
(PAN:AABPG1077A)
|
|
|
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 ITC LTD.
|
IMPOSED PENALTY RS.5,00,000
07-JUL-2014
|
|
| 323 |
|
|
CHANDNA AMBUJ
(PAN:ABSPC9509P)
|
|
|
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.16,89,375 VIDE CONSENT ORDER)
16-DEC-2016
|
|
| 324 |
|
|
CHANDRA MUKHERJI
(PAN:ADMPM9145K)
|
|
|
TRADED ON THE BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I), 3(II) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHELTER INFRA PROJECTS LTD.
|
IMPOSED PENALTY RS.1,00,00,000
07-MAR-2014
|
SAT: SAT VIDE ITS ORDER DATED 30/11/2016 SUSTAINED IMPUNGED ORDER DATED 07/03/2014 ON MERIT, PENALTY OF RS.1 CRORE IMPOSED REDUCED TO RS.30 LACS. DIRECTED TO PAY PENALTY AMOUNT WITHIN A PERIOD OF 45 DAYS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 325 |
|
|
CHANDRAKALA KOTHARI
(PAN:AAEPC5084C)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I),(II) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF RASI ELECTRODES LTD.
|
IMPOSED PENALTY RS.8,00,000
30-AUG-2011
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 30/08/2011 SET ASIDE WITH NO ORDER AS TO COSTS
|
| 326 |
|
|
CHANDRAKANT S.MALANI
(PAN:AJHPM7947A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF ROTAM COMMERCIALS LTD. (PRESENTLY KNOWN AS SWORD-EDGE COMMERCIALS 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 ROTAM COMMERCIALS LTD. (PRESENTLY KNOWN AS SWORD-EDGE COMMERCIALS LTD.)
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-OCT-2014 TO 30-SEP-2019
01-OCT-2014
|
|
| 327 |
|
|
CHANDRESH VIJAY SAYANI
(PAN:AACHC5548K)
|
|
|
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
|
| 328 |
|
|
CHETAN CHOPRA
(PAN:ACDPC9263C)
|
|
|
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
|
| 329 |
|
|
CHETAN CHOPRA
(PAN:AACHC2956F)
|
|
|
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
|
| 330 |
|
|
CHETAN JAIN
(PAN:AEQPJ5780G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF FOCUS INDUSTRAIAL RESOURCES LTD.
|
IMPOSED PENALTY RS.1,00,000
22-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 21/02/2022 ALLOWED THE APPLICATION
|
| 331 |
|
|
CHETAN N.THADESHWAR
(PAN:AABHT4744F)
|
|
|
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
|
| 332 |
|
|
CHETAN SHANTILAL KOTHARI
(PAN:AAFPK8568A)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 (I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRICOM FRUIT PRODUCTS LTD.
TRADED WHILE TRADING WINDOW WAS CLOSED VIOLATING CLAUSES 3.2-2 AND 3.2-5 OF MODEL CODE OF CONDUCT UNDER PART A OF SCHEDULE I READ WITH REGULATIONS 12(1) READ WITH 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRICOM FRUIT PRODUCTS LTD.
|
IMPOSED PENALTY RS.23,00,000
22-FEB-2018
|
SAT: SAT VIDE ITS ORDER DATED 24/09/2019 QUASHED IMPUGNED ORDER AND REMITTED MATTER TO AO TO DECIDE THE MATTER AFRESH WITHIN SIX WEEKS
|
| 333 |
|
|
CHETAN SHANTILAL KOTHARI
(PAN:AAFPK8568A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRICOM FRUIT PRODUCTS LTD.
ENTERED INTO OPPOSITE TRANSACTIONS WITHIN SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSE 3.3-1 AND 4.2 OF CODE OF CONDUCT PART A OF SCHEDULE I READ WITH REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRICOM FRUIT PRODUCTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF TRICOM FRUIT PRODUCTS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF TRICOM FRUIT PRODUCTS LTD.
|
IMPOSED PENALTY RS.11,00,000
21-MAR-2018
|
SEBI VIDE ITS NOTICE DATED 21/01/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 NOTICE DATED 18/05/2022 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 21/01/2019
|
| 334 |
|
|
CHETAN SHANTILAL KOTHARI
(PAN:AAFPK8568A)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRICOM INDIA LTD.
|
IMPOSED PENALTY RS.50,00,000
29-SEP-2017
|
SAT: SAT VIDE ITS ORDER DATED 25/03/2019 ALLOWED THE APPEALS AND SET ASIDED IMPUGNED ORDER. MATTER REMITTED TO AO TO DECIDE THE MATTER AFRESH AFTER GIVING OPPORTUNITY OF HEARING TO APPELLANTS. FURTHER, DIRECTED APPELLANTS TO DEPOSIT RS.5 LACS EACH TOWARDS COST OF LITIGATION
SAT: SAT VIDE ITS ORDER DATED 24/04/2019 DISPOSED OFF MISCELLANEOUS APPLICATION AND DIRECTED AO TO DECIDE THE MATTER WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 15/07/2019 DISPOSED OF THE SCN AS THE TRADING DONE DURING 03/08/2012 TO 16/08/2012 WAS NOT BASED ON UPSI OF UNAUDITED FINANCIAL RESULTS
SAT: SAT VIDE ITS ORDER DATED 24/09/2019 QUASHED IMPUGNED ORDER AND REMITTED MATTER TO AO TO DECIDE THE MATTER AFRESH WITHIN SIX WEEKS
|
| 335 |
|
|
CHETAN SHANTILAL KOTHARI
(PAN:AAFPK8568A)
|
|
|
|
TRICOM INDIA LTD.
CIN:L65910MH1992PLC068953
PAN:AAACT2807R
|
|
DID NOT OBTAIN PRE-CLEARANCE AND ENTERED INTO OPPOSITE TRADE WITHIN SIX MONTHS VIOLATING REGULATION 12(1) READ WITH CLAUSES 3.3.1 AND 4.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES SPECIFIED IN SCHEDULE I OF PART A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRICOM INDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRICOM INDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF TRICOM INDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8A(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TRICOM INDIA LTD.
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH SELF TRADES AND SYNCHRONIZED TRANSACTIONS IN SCRIP OF TRICOM INDIA LTD.
|
IMPOSED PENALTY RS.8,00,000
01-MAR-2018
|
SEBI VIDE ITS NOTICE DATED 27/12/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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 NOTICE DATED 18/05/2022 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 27/12/2018
|
| 336 |
|
|
CHETANA KOTHARI
(PAN:AIXPK4898H)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRICOM FRUIT PRODUCTS LTD.
|
IMPOSED PENALTY RS.3,00,000
21-MAR-2018
|
|
| 337 |
|
|
CHETANA KOTHARI
(PAN:AIXPK4898H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 (I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRICOM FRUIT PRODUCTS LTD.
|
IMPOSED PENALTY RS.15,00,000
22-FEB-2018
|
SAT: SAT VIDE ITS ORDER DATED 24/09/2019 QUASHED IMPUGNED ORDER AND REMITTED MATTER TO AO TO DECIDE THE MATTER AFRESH WITHIN SIX WEEKS
|
| 338 |
|
|
CHETANA KOTHARI
(PAN:AIXPK4898H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRICOM INDIA LTD.
|
IMPOSED PENALTY RS.50,00,000
29-SEP-2017
|
SAT: SAT VIDE ITS ORDER DATED 25/03/2019 ALLOWED THE APPEALS AND SET ASIDED IMPUGNED ORDER. MATTER REMITTED TO AO TO DECIDE THE MATTER AFRESH AFTER GIVING OPPORTUNITY OF HEARING TO APPELLANTS. FURTHER, DIRECTED APPELLANTS TO DEPOSIT RS.5 LACS EACH TOWARDS COST OF LITIGATION
SAT: SAT VIDE ITS ORDER DATED 24/04/2019 DISPOSED OFF MISCELLANEOUS APPLICATION AND DIRECTED AO TO DECIDE THE MATTER WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 15/07/2019 DISPOSED OF THE SCN AS THE TRADING DONE DURING 03/08/2012 TO 16/08/2012 WAS NOT BASED ON UPSI OF UNAUDITED FINANCIAL RESULTS
SAT: SAT VIDE ITS ORDER DATED 24/09/2019 QUASHED IMPUGNED ORDER AND REMITTED MATTER TO AO TO DECIDE THE MATTER AFRESH WITHIN SIX WEEKS
|
| 339 |
|
|
CHETNA RAMJI GANGAR
(PAN:AMMPG4965C)
|
|
|
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
|
| 340 |
|
|
CHHAYA PATEL
|
|
|
ALLEGED INDULGENCE IN TRADING OF SHARES BEFORE AND AFTER CORPORATE ANNOUNCEMENT VIOLATING REGULATION 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF STERLING BIOTECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,70,000 VIDE CONSENT ORDER)
14-JAN-2011
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 17 of 82
|
