| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
RACHNA MORARKA
|
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 22 |
|
|
RAJESH IYER
(PAN:AAAPI4641K)
|
|
|
ALLEGED EXECUTION OF CERTAIN ISTS FROM OPEN ENDED TO CLOSED ENDED SCHEMES AND VICE VERSA WITHOUT RECORDING CORRECT RATIONALE OR BASED ON SUPPORTING RESEARCH REPORT AMONG OTHERSVIOLATINGREGULATION 25(6A), AND CLAUSES (4), (6), (8) AND (9) OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF PGIM INDIA MUTUL FUND
ALLEGED VIOLATIONOF CIRCULAR NO.MFD/CIR/6/73/2000 DATED 27/07/2000
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,57,500 VIDE CONSENT ORDER)
24-AUG-2023
|
|
| 23 |
|
|
SAMIR JAIN
(PAN:AEHPJ3016Q)
|
|
|
|
CAMAC COMMERCIAL CO.LTD.
PAN:AABCC0733E
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 24 |
|
|
SAMIR JAIN
(PAN:AEHPJ3016Q)
|
|
|
|
CAMAC COMMERCIAL CO.LTD.
PAN:AABCC0733E
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 25 |
|
|
SAMIR JAIN
(PAN:AEHPJ3016Q)
|
|
|
|
CAMAC COMMERCIAL CO.LTD.
PAN:AABCC0733E
|
|
|
PNB FINANCE & INDUSTRIES LTD.
PAN:AAACP0256C
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 26 |
|
|
SHOBHIT MEHROTRA
(PAN:AAAPM0737E)
|
|
|
|
HDFC ASSET MANAGEMENT CO.LTD.
PAN:AAACH7614L
|
|
ALLEGED VIOLATION OF REGULATIONS 25(6B), 33(4) AND 39(1) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF REGULATIONS 25(6B) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF CLAUSES 6 AND 9 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE FIFTH OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 27 |
|
|
TRISHLA JAIN
(PAN:AEMPJ2136G)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 28 |
|
|
UMESH JAIN
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN DISCONTINUATION OF TRADING ACCESS POINT (TAP) AND DID NOT PROVIDE STANDING COMMITTEE ON TECHNOLOGY (SCOT) WITH FULL PICTURE OF ISSUES INVOLVED WITH TRADING ACCESS POINT (TAP)
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 29 |
|
|
V.R.NARASIMHAN
(PAN:AACPN2071J)
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 30 |
|
|
VAIBHAV P.MORARKA
|
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 31 |
|
|
VIKRAM LIMAYE
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN DISCONTINUATION OF TRADING ACCESS POINT (TAP) AND DID NOT PROVIDE STANDING COMMITTEE ON TECHNOLOGY (SCOT) WITH FULL PICTURE OF ISSUES INVOLVED WITH TRADING ACCESS POINT (TAP)
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 32 |
|
|
VINEET JAIN
(PAN:AEHPJ3012L)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ARTH UDYOG LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARTH UDYOG LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 33 |
|
|
VINEET JAIN
(PAN:AEHPJ3012L)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 34 |
|
|
VINEET JAIN
(PAN:AEHPJ3012L)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOKA MARKETING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA MARKETING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 35 |
|
|
YEZDI KHARIWALA
(PAN:AACPK8707E)
|
|
|
|
HDFC ASSET MANAGEMENT CO.LTD.
PAN:AAACH7614L
|
|
ALLEGED VIOLATION OF REGULATIONS 18(4)(D), 33(4) AND 39(1) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF REGULATIONS 2(B), 18(4)(D), 31 AND 33(4) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 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 2 of 2
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