| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 361 |
|
KUMUDHA SRIDHARAN
(PAN:AJXPS7884C)
|
|
|
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 (PIT) REGULATIONS, 2015 IN MATTER OF WIPRO LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,02,125 VIDE CONSENT ORDER)
30-AUG-2019
|
|
| 362 |
|
|
KUNAL ASHOK KASHYAP
(PAN:ABDPK8835H)
|
|
|
|
ALLEGRO CAPITAL PVT.LTD.
PAN:AAGCA6221J
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF MATERIAL AND NON-PUBLIC INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BIOCON LTD.
DEALT IN SECURITIES WHILE IN POSSESSION OF MATERIAL AND NON-PUBLIC INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 IN MATTER OF BIOCON LTD.
|
IMPOSED PENALTY RS.10,00,000
08-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED REMAIN STAYED PROVIDED THE APPELLANT DEPOSITS A SUM OF RS.25 LAC WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER, BEFORE THE RESPONDENT
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 20/01/2025 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 25/02/2025 DIRECTED TO PAY RS.14,41,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/03/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8645 OF 2025 DATED 25/02/2025
|
| 363 |
|
|
KUNAL ASHOK KASHYAP
(PAN:ABDPK8835H)
|
|
|
|
ALLEGRO CAPITAL PVT.LTD.
PAN:AAGCA6221J
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF MATERIAL AND NON-PUBLIC INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BIOCON LTD.
DEALT IN SECURITIES WHILE IN POSSESSION OF MATERIAL AND NON-PUBLIC INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 IN MATTER OF BIOCON LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-JUL-2021 TO 07-JUL-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-JUL-2021 TO 07-JUL-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO DISGORGE RS.24,68,751 ALONG WITH OTHER ENTITIES/PERSONS
08-JUL-2021
|
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. IN THE MEANWHILE, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED REMAIN STAYED PROVIDED THE APPELLANT DEPOSITS A SUM OF RS.25 LAC WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER, BEFORE THE RESPONDENT
SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 20/01/2025 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 25/02/2025 DIRECTED TO PAY RS.10,30,570.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 10/03/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.8647 OF 2025 DATED 25/02/2025
|
| 364 |
|
|
KUNDAN K.LAL
(PAN:ABDPL9472D)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 9(1) READ WITH 9(3) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SONATA SOFTWARE LTD.
|
IMPOSED PENALTY RS.3,00,000
24-DEC-2020
|
SAT: SAT VIDE ITS ORDER DATED 08/02/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 24/12/2020
SAT: SAT VIDE ITS ORDER DATED 15/06/2023 REJOINDER TO BE FILE WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 365 |
|
|
KUNJ DEEP KALRA
(PAN:ANXPK6816E)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIAN SUCROSE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
25-JUL-2022
|
|
| 366 |
|
|
KUPPUSWAMY KANIVEL
(PAN:AETPK1951K)
|
|
|
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
28-FEB-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
|
| 367 |
|
|
KUSHAL P.SHAH
(PAN:AXPPS9103G)
|
|
|
DELAY IN MAKING 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 (PIT) REGULATIONS, 2015 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ANUKARAN COMMERCIAL ENTERPRISE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 12/10/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER AND DIRECTED APPELLANTS TO DEPOSIT A SUM OF RS.20 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 22/12/2022 CONDONED THE DELAY IN FILING OF APPEAL AND DIRECTED REJOINDER TO BE FILED WITHIN THREE WEEKS
SAT: SAT VIDE ITS ORDER DATED 13/02/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 15/10/2025 DISMISSED THE APPEAL. NO COSTS
|
| 368 |
|
|
L.KISHORE BABU
(PAN:AAFPL6754R)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (A) READ WITH 6(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MATTER OF DIVI'S LABORATORIES LTD.
|
REACHED SETTLEMENT (DISGORGEMENT AMOUNT RS.96,68,183 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 369 |
|
|
L.KISHORE BABU
(PAN:AAFPL6754R)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (A) READ WITH 6(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MATTER OF DIVI'S LABORATORIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,10,50,000 VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 370 |
|
|
L.KISHORE BABU
(PAN:AAFPL6754R)
(Along with : PRAVEEN LINGAMNENI,
NAGESH LINGAMANENI)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 2A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
|
DIRECTED TO DISGORGE RS.45,14,619 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
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, 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
01-JUL-2020
|
|
| 371 |
|
|
L.S.PATIL
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF SANGAM HEALTH CARE PRODUCTS LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF SANGAM HEALTH CARE PRODUCTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.48,25,866 VIDE CONSENT ORDER)
29-JUN-2018
|
|
| 372 |
|
|
L.V.RAMNARAYAN
(PAN:ABVPR1668R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(6) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SWARNAJYOTHI AGROTECH & POWER LTD.(FORMERLY KNOWN AS OCTANT INDUSTRIES LTD.)
|
IMPOSED PENALTY RS.2,00,000
08-JAN-2019
|
|
| 373 |
|
|
LALIT SHARMA
(PAN:BFXPS4859C)
|
|
|
|
INDIABULLS VENTURES LTD.
PAN:AAACO0870B
|
|
FAILED IN HIS DUTY AND RESPONSIBILITY OF IDENTIFYING MATERIAL EVENT AND TO MONITOR ADHERENCE TO CLOSURE OF TRADING WINDOW DURING UPSI PERIOD VIOLATING CLAUSE 4 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 AND CLAUSE (V) OF CODE OF CONDUCT AS REQUIRED UNDER REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIABULLS VENTURE LTD.(CURRENTLY KNOWN AS DHANI SERVICES LTD.)
|
IMPOSED PENALTY RS.5,00,000
21-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 16/07/2021 ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER IN THE MEANWHILE, IF THE APPELLANT DEPOSITS 50% PERCENT AMOUNT WITHIN THREE WEEKS FROM DATE OF THIS ORDER THE BALANCE AMOUNT SHALL NOT BE RECOVERED DURING THE PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 20/09/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 30/06/2022 ALLOWED THE APPEAL. QUASHED AND SET ASIDE IMPUGNED ORDER DATED 21/05/2021 AND MATTER REMITTED TO AO TO DECIDE THE MATTER AFRESH
|
| 374 |
|
|
LALITA BHARAT MEHTA
(PAN:AADPM4048H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATION 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARON BIO-MEDICINE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUN-2023 TO 21-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2023 TO 21-JUN-2026
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.11,55,700
22-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2024 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO FILED THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 02/02/2024 DIRECTED TO PAY RS.20,89,682.36 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 26/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7586 OF 2024 DATED 02/02/2024
|
| 375 |
|
|
LALITA BHARAT MEHTA
(PAN:AADPM4048H)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATION 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARON BIO-MEDICINE LTD.
|
IMPOSED PENALTY RS.10,00,000
22-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2024 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO FILED THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 02/02/2024 DIRECTED TO PAY RS.10,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7575 OF 2024 DATED 02/02/2024
|
| 376 |
|
|
LARS WALAN
|
|
|
DID NOT FRAME, ADOPT AND IMPLEMENT CODE OF CONDUCT VIOLATING REGULATION 12(1) READ WITH CLAUSE 1.2 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE I READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASTRAZENECA PHARMA INDIA LTD.
|
IMPOSED PENALTY RS.1,00,000
23-MAY-2018
|
SAT: SAT VIDE ITS ORDER DATED 22/10/2024 RESPONDENT SOUGHT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 13/12/2024 GRANTED RESPONDENT THREE WEEKS TO FILE REPLY
SEBI VIDE ITS ORDER DATED 06/03/2026 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 THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF KARNATAKA AND DELHI E) 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, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
|
| 377 |
|
|
LASHIT SANGHVI
(PAN:AAHPS6774J)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2025
IMPOSED PENALTY RS.15,00,000
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 16/03/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT DISGORGEMENT AMOUNT OF RS.49 LAC AND PENALTY AMOUNT OF RS.15 LAC WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, EFFECT AND OPERATION OF DEBARMENT ORDER TO REMAIN STAYED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 02/05/2025 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 28/02/2023. NO COSTS
|
| 378 |
|
|
LASHIT SANGHVI
(PAN:AAHPS6774J)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
|
DIRECTED TO DISGORGE RS.49,87,276
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2024
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
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 TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 16/03/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT DISGORGEMENT AMOUNT OF RS.49 LAC AND PENALTY AMOUNT OF RS.15 LAC WITHIN THREE WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, EFFECT AND OPERATION OF DEBARMENT ORDER TO REMAIN STAYED DURING PENDENCY OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 02/05/2025 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 28/02/2023. NO COSTS
|
| 379 |
|
|
LAXMAN SINGH SATYAPAL
(PAN:AIDPS0821N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) AND 13(5)(B) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DELTA LEASING & FINANCE LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2022
|
SEBI VIDE ITS NOTICE DATED 06/12/2022 DIRECTED TO PAY RS.1,07,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 03/01/2023 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 ORDER DATED 08/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,09,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.LAXMAN SINGH SATYAPAL TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 380 |
|
|
M.NARASIMHA RAO
(PAN:AHKPM5414F)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE FOR TRADING IN COMPANY DURING TRADING WINDOW CLOSED VIOLATING CLAUSES 4.2.2 AND 4.3.1 READ WITH CLAUSES 3.2.2 AND 3.3.1 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES SPECIFIED IN PART A OF SCHEDULE I REGULATIONS 12(1) AND 12(2) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TRINETHRA INFRA VENTURES LTD.
|
IMPOSED PENALTY RS.1,00,000
15-APR-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 19 of 50
|
