| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 321 |
|
KARISHMA VIKAS LASHKARE
(PAN:BUTPP0239G)
|
|
|
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-OCT-2021
|
|
| 322 |
|
|
KARNA RAMANJULA REDDY
(PAN:APAPK7847J)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PALRED TECHNOLOGIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) & 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
DIRECTED TO DISGORGE RS.4,52,791
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
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 ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-AUG-2019 TO 12-AUG-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-AUG-2019 TO 12-AUG-2022
DIRECTED NOT TO ASSOCIATE WITH ANY LISTED COMPANY IN CAPACITY OF DIRECTOR OR OTHERWISE FROM 13-AUG-2019 TO 12-AUG-2022
04-FEB-2016
|
SEBI VIDE ITS ORDER DATED 13/08/2019 ALLOWED TO WITHDRAW THE DIFFERENCE BETWEEN AMOUNT DEPOSITED IN ESCROW ACCOUNTS OPENED PURSUANT TO DIRECTIONS PASSED IN INTERIM ORDER DATED 04/02/2016 AND RECOMPUTED AMOUNT OF DISGORGEMENT
|
| 323 |
|
|
KARNA RAMANJULA REDDY
(PAN:APAPK7847J)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) & 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.2,00,000
28-JUL-2021
|
|
| 324 |
|
|
KARTIK GAGGAR
(PAN:APZPG2145L)
|
|
|
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 GARNET INTERNATIONAL LTD.
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 GARNET INTERNATIONAL LTD.
ENTERED INTO OPPOSITE TRANSACTIONS DURING NEXT SIX MONTHS FOLLOWING PRIOR TRANSACTIONS VIOLATING CODE OF CONDUCT AS PRESECRIBED UNDER CLAUSE 4.2 OF SCHEDULE I OF REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 AND CLAUSE 10 OF SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GARNET INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.2,00,000
13-OCT-2021
|
|
| 325 |
|
|
KARUTURI SUBRAHMANYA CHOWDARY
(PAN:AGTPC7731R)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APEX FROZEN FOODS LTD.
|
IMPOSED PENALTY RS.11,00,000
29-DEC-2022
|
SAT: SAT VIDE ITS ORDER DATED 24/04/2023 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 05/05/2023 DIRECTED TO PAY RS.11,67,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/05/2023 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 01/06/2023 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 26/05/2023
SEBI VIDE ITS ORDER DATED 01/06/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6504 OF 2023 DATED 05/05/2023
|
| 326 |
|
|
KASHINATH REVAPPA DHOLE
(PAN:AAXPD5986B)
|
|
|
ALLEGED VIOLATION OF CLAUSE 6 OF SCHEDULE B MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY DESIGNATED PERSONS READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BALAJI AMINES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.13,97,500 VIDE CONSENT ORDER)
01-OCT-2024
|
|
| 327 |
|
|
KASHMIRA SHETH
(PAN:AAIPS6248Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 10(6) 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 REGULATION 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
|
|
| 328 |
|
|
KAVITA KEYUR SHAH
(PAN:AAYPS3458E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATIONS 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KELVIN FINCAP LTD.(FORMERLY KNOWN AS DAHYABHAI SONS LTD.)
|
IMPOSED PENALTY RS.5,00,000
30-MAY-2019
|
|
| 329 |
|
|
KAVITA PARTANI
(PAN:ALUPG2127K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(3), 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MATRA KAUSHAL ENTERPRISE LTD.
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 05/07/2023 DIRECTED TO PAY RS.1,06,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/07/2023 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 27/07/2023 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 25/07/2023
SEBI VIDE ITS ORDER DATED 27/07/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6768 OF 2023 DATED 05/07/2023
|
| 330 |
|
|
KETAN SHAH
(PAN:AAEPS3824N)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SESHASAYEE PAPER & BOARDS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,74,688, INTEREST RS.3,882 VIDE CONSENT ORDER)
01-JUN-2020
|
|
| 331 |
|
|
KETAN SHANTILAL SAVALIYA
(PAN:CKIPS6211D)
|
|
|
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
24-AUG-2022
|
|
| 332 |
|
|
KEYUR MADHUSUDAN SHAH
(PAN:AAHPS4084K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATIONS 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KELVIN FINCAP LTD.(FORMERLY KNOWN AS DAHYABHAI SONS LTD.)
|
IMPOSED PENALTY RS.5,00,000
30-MAY-2019
|
|
| 333 |
|
|
KEYUR MANIAR
(PAN:AEHPM2560E)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(2) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFOSYS LTD.
|
IMPOSED PENALTY RS.30,00,000
31-JAN-2025
|
SAT: SAT VIDE ITS ORDER DATED 05/03/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/07/2025 GRANTED RESPONDENT TWO MORE WEEKS TO FILE REPLY
|
| 334 |
|
|
KEYUR MANIAR
(PAN:AEHPM2560E)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(2) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFOSYS 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 31-JAN-2025 TO 30-JAN-2026
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 31-JAN-2025 TO 30-JAN-2026
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO DISGORGE RS.2,60,70,624
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
27-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DISPOSED OFF THE APPEAL WITH THE DIRECTION THAT IT WOULD BE OPEN TO APPELLANT TO FILE REPLY ALONG WITH STAY VACATING APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 13/12/2021 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 27/09/2021 SUBJECT TO MODIFICATION: A) NOT APPLY TO INVESTMENT IN MUTUAL FUNDS B) ALLOWED CREDIT OF SECURITIES AND CREDIT & DEBIT OF MUTUAL FUND UNITS IN THE ACCOUNTS AND C) CLARIFIED THAT THE FUNDS DEPOSITED BY NOTICE IN INTEREST BEARING ESCROW ACCOUNT WILL REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 22/11/2021 DISPOSED OF THE APPLICATIONS. DIRECTED WTM TO HEAR THE MATTER ON 01/12/2021 AND PASS APPROPRIATE ORDER ON OR BEFORE 15/12/2021
SAT: SAT VIDE ITS ORDER DATED 17/01/2022 DISPOSED OFF THE URGENCY APPLICATION BY DIRECTING REPLY TO BE FILED WITHIN 10 DAYS AND REJOINDER ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 30/03/2022 PARTLY ALLOWED THE APPEAL AND MODIFY THE INTERIM ORDER AS WELL AS THE CONFIRMATORY ORDER TO EXTENT THAT THE DIRECTION TO DEPOSIT THE ALLEGED UNLAWFUL GAINS OF RS. 261.30 LAC IN ESCROW ACCOUNT WILL CONTINUE TO OPERATE TILL FINAL ORDER ARE PASSED BY THE WTM PURSUANT TO SHOW CAUSE NOTICE. SET ASIDED INTERIM ORDER AS WELL AS CONFIMATORY ORDERS DATED 13/12/2021 AND 27/09/2021
SEBI VIDE ITS ORDER DATED 31/01/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS), DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER B) DISGORGE AMOUNT OF RS.2,60,70,624.00 ALONG WITH SIMPLE INTEREST @ 12% P.A. FROM 17/07/2020 TILL THE DATE OF DEPOSIT INTO THE ESCROW ACCOUNT C) AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF THIS ORDER
|
| 335 |
|
|
KHUSHRU BURJOR JIJINA
(PAN:AADPJ5821D)
(Along with : BENAIFER JIJINA)
|
|
|
|
GREATDEAL FINCONSULT ADVISORS LLP
PAN:AAJFG7532J
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION AND COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) READ WITH SECTION 27 OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (DISGORGEMENT AMOUNT RS.15,32,95,440, INTEREST RS.9,41,94,798 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-JUL-2024
|
|
| 336 |
|
|
KHUSHRU BURJOR JIJINA
(PAN:AADPJ5821D)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION AND COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) READ WITH SECTION 27 OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.91,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 25-JUL-2024 TO 24-JAN-2025
25-JUL-2024
|
|
| 337 |
|
|
KIRAN ABHAY GANDHI
(PAN:AIIPG9722F)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF RANBAXY LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 IN MATTER OF RANBAXY LABORATORIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.35,06,250 VIDE CONSENT ORDER)
11-APR-2019
|
|
| 338 |
|
|
KIRAN BHAGAT
(PAN:ABTPB7396L)
|
|
|
EXECUTED TRADES WITHIN RESTRICTED PERIOD AND DEVIATED FROM THE TRADING PLAN VIOLATING REGULATIONS 5(2)(II) AND 5(4) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MOHOTA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
29-MAR-2022
|
|
| 339 |
|
|
KIRAN M.JOSHI
(PAN:APCPJ2781C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHREEKRISHNA BIOTECH LTD.
|
IMPOSED PENALTY RS.1,00,000
16-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 09/06/2023 DIRECTED TO PAY RS.1,08,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 28/06/2023 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDER DATED 19/12/2022
SEBI VIDE ITS ORDER DATED 06/07/2023 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 07/07/2023 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 06/07/2023
SEBI VIDE ITS NOTICE DATED 07/07/2023 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 28/06/2023
|
| 340 |
|
|
KIRAN MAZUMDAR SHAW
(PAN:ACMPM8240N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF INFOSYS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,01,758 VIDE CONSENT ORDER)
20-NOV-2019
|
|
| 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 17 of 50
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