| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 341 |
|
KIRAN P.KULKARNI
(PAN:AAKPK6962F)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF GEODESIC LTD.
ENTERED INTO OPPOSITE TRANSACTIONS WITHIN SIX MONTHS VIOLATING CLAUSE 4.2 OF MODEL CODE OF CONDUCT PART A OF SCHEDULE I READ WITH REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GEODESIC LTD.
|
IMPOSED PENALTY RS.6,00,000
31-OCT-2018
|
SAT: SAT VIDE ITS ORDER DATED 11/10/2019 DISMISSED THE APPEAL AND DIRECTED APPELLANT TO DEPOSIT PENALTY AMOUNT AS PER IMPUGNED ORDER WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 342 |
|
|
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
|
|
| 343 |
|
|
KIRAN P.KULKARNI
(PAN:AAKPK6962F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF GEODESIC LTD.
DID NOT MAKE DISCLOSURES UPON INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) OF SAST REGULATIONS, 2011 IN MATTER OF GEODESIC LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3), 13(4) AND 13(4A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATIONS 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GEODESIC LTD.
|
IMPOSED PENALTY RS.6,00,000
04-FEB-2021
|
|
| 344 |
|
|
KIRIT V.DAVE
(PAN:AHKPD0543J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SPLASH MEDIA & INFRA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATIONS 12(1) AND 12(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SPLASH MEDIA & INFRA LTD.
|
IMPOSED PENALTY RS.2,00,000
18-MAY-2017
|
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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS ORDER DATED 10/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.2,41,967.67 TO THE EXTENT LYING IN THE ACCOUNT OF MS.KIRIT V.DAVE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 345 |
|
|
KISHORE BIYANI
(PAN:AACPB0199B)
|
|
|
|
FUTURE CORPORATE RESOURCES LTD.
PAN:AAJCS3979E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-FEB-2021 TO 02-FEB-2023
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/04/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
|
| 346 |
|
|
KISHORE BIYANI
(PAN:AACPB0199B)
(Along with : ANIL BIYANI)
|
|
|
|
FUTURE CORPORATE RESOURCES LTD.
PAN:AAJCS3979E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL LTD.
|
DIRECTED TO DISGORGE RS.17,78,25,000 ALONG WITH OTHER ENTITIES/PERSONS
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
|
| 347 |
|
|
KISHORE BIYANI
(PAN:AACPB0199B)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL LTD.
|
IMPOSED PENALTY RS.1,00,00,000
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
|
| 348 |
|
|
KISHORE BIYANI
(PAN:AACPB0199B)
|
|
|
|
FUTURE CORPORATE RESOURCES LTD.
PAN:AAJCS3979E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF FUTURE RETAIL 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 03-FEB-2021 TO 02-FEB-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
03-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 09/04/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 03/02/2021. NO COSTS
|
| 349 |
|
|
KISHORKUMAR L.PATEL
|
|
|
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 ATLANTA INFRASTRUCTURE & FINANCE LTD.
|
IMPOSED PENALTY RS.50,000
30-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 27/07/2023 DIRECTED TO PAY RS.57,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 350 |
|
|
KOLLURU SURYA PRAKASH VENKATA
(PAN:ACAPP6667L)
|
|
|
EXECUTED OFF-MARKET TRANSACTION OF SHARES WITHOUT ANY PAYMENT/RECEIPT OF CONSIDERATION VIOLATING SECTION 2(I) OF SCRA, 1956 READ WITH SECTIONS 13, 16 AND 18 OF SCRA, 1956 AND READ WITH SEBI NOTIFICATION NO.LAD-NRO/GN/2013-14/26/6667 DATED 03/10/2013 IN MATTER OF WISEC GLOBAL LTD.
DID NOT PROVIDE CORRECT INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF WISEC GLOBAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/ CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WISEC GLOBAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF WISEC GLOBAL LTD.
DID NOT MAKE 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 WISEC GLOBAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WISEC GLOBAL LTD.
MADE UNTRUE AND INCORRECT INFORMATION IN DIS BY STATING REASON FOR TRANSFER TO LOAN WHILE CARRYING OUT OFF-MARKET TRANSACTIONS WITHOUT ANY PLEDGE-RELATED TRANSACTION VIOLATING REGULATION 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF WISEC GLOBAL LTD.
|
IMPOSED PENALTY RS.9,00,000
30-JUN-2022
|
SEBI VIDE ITS NOTICE DATED 05/04/2023 DIRECTED TO PAY RS.9,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 21/04/2023 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 22/05/2023 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 21/04/2023
SEBI VIDE ITS ORDER DATED 22/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6375 OF 2023 DATED 05/04/2023
|
| 351 |
|
|
KOMAL JAIDEEP RAIGAGLA
(PAN:ADJPR7999D)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4 READ OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SABERO ORGANICS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.33,46,875, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.13,55,250, INTEREST RS.13,18,862 VIDE CONSENT ORDER)
27-SEP-2019
|
|
| 352 |
|
|
KRISHAN KUMAR KHADARIA
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NOUVEAU GLOBAL VENTURES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3), 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NOUVEAU GLOBAL VENTURES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF NOUVEAU GLOBAL VENTURES LTD.
|
IMPOSED PENALTY RS.3,00,000
30-SEP-2020
|
|
| 353 |
|
|
KRISHAN SHARMA
(PAN:BHFPS9687A)
|
|
|
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
27-JUL-2022
|
|
| 354 |
|
|
KRISHANDEV HARSHDEV BAHUNGUNA
(PAN:ALTPB4849G)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION TO SUSPECTED ENTITIES VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(II) READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARON BIO-MEDICAL LTD.
|
IMPOSED PENALTY RS.10,00,000
12-JUL-2023
|
SEBI VIDE ITS NOTICE DATED 01/12/2023 DIRECTED TO PAY RS.10,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 19/01/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7421 OF 2023 DATED 01/12/2023
SAT: SAT VIDE ITS ORDER DATED 22/02/2024 ALLOWED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED ON OR BEFORE NEXT DATE OF HEARING
|
| 355 |
|
|
KRISHNA SHRIRAM
(PAN:AABPS4899L)
|
|
|
DELAY IN MAKING QUARTERLY FINANCIAL RESULT TO STOCK EXCHANGES
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MAWANA SUGARS LTD.
|
DIRECTED TO DISGORGE RS.6,17,25,000
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
18-FEB-2025
|
SAT: SAT VIDE ITS ORDER DATED 04/04/2025 STAYED THE ORDER DIRECTING DISGORGEMENT
SAT: SAT VIDE ITS ORDER DATED 07/07/2025 GRANTED RESPONDENT TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
|
| 356 |
|
|
KRUNAL GOPALDAS RANA
(PAN:AKMPR9961M)
|
|
|
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.2,00,000
25-JUL-2018
|
|
| 357 |
|
|
KRUPA SANJAY SONI
(PAN:BVSPS9740P)
|
|
|
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.5,00,000
27-JUL-2018
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2019 PARTLY ALLOWED THE APPEAL BY REDUCING TOTAL PENALTY AMOUNT TO RS.5 LACS TO BE PAID JOINTLY AND SEVERALLY FROM RS.5 LACS EACH AND AFFIRMED PENALTY AMOUNT OF RS.4 LACS AND RS.5 LACS ON MR.SANJAY JETHALAL SONI AND MS.KRUPA SANJAY SONI AND DIRECTED TO PAY WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER
|
| 358 |
|
|
KULBHUSHAN SINGH RAJPUT
(PAN:AOVPR5091P)
|
|
|
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 SHAKTI PUMPS (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000
01-DEC-2022
|
SAT: SAT VIDE ITS ORDER DATED 31/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 20/04/2023 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
SAT VIDE ITS ORDER DATED 24/04/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED APPELLANT TO DEPOSIT PENALTY AMOUNT PURSUANT TO IMPUGNED ORDER. IF THE AMOUNT DEPOSITED, ACCOUNT WOULD BE DEFREEZE WITHIN FORTY EIGHT HOURS
SEBI VIDE ITS NOTICE DATED 02/05/2023 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 20/04/2023
SEBI VIDE ITS ORDER DATED 02/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6255 OF 2023 DATED 20/02/2023
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 01/12/2022
|
| 359 |
|
|
KULDEEP SINGH YADAV
(PAN:AGQPY7392H)
|
|
|
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
|
SAT: SAT VIDE ITS ORDER DATED 07/02/2023 CONDONED THE DELAY IN FILING OF APPEAL. APPEAL ALLOWED AND QUASHED IMPUGNED ORDERS. MATTER REMITTED TO AO TO PASS A FRESH ORDER IN THE LIGHT OF DECISION OF TRIBUNAL WITHIN THREE MONTHS
SAT: SAT VIDE ITS ORDER DATED 11/08/2023 DISMISSED THE APPEAL AS WITHDRAWN
|
| 360 |
|
|
KULWINDER KUMAR NAYYAR
(PAN:AASPN4833F)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (A) TO (E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 3(II) READ WITH REGULATION 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BANK OF RAJASTHAN LTD. (NOW MERGED WITH ICICI BANK LTD.)
|
IMPOSED PENALTY RS.3,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2020
|
SEBI VIDE ITS NOTICE DATED 05/03/2021 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
SAT: SAT VIDE ITS ORDER DATED 02/08/2021 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 12/01/2022 CONDONED OF DELAY IN FILING OF REVIEW APPLICATIONS. DISMISSED REVIEW APPLICATIONS
SEBI VIDE ITS NOTICE DATED 14/09/2022 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 05/03/2021
|
| 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 18 of 50
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