| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 481 |
|
HARSHAD HIRJI THAKKAR
(PAN:ACEPT1479L)
|
|
|
DID NOT MAKE DISCLOSURES TO COMPANY AND STOCK EXCHANGES FOR INVOCATION OF PLEDGE CREATED ON SHARES AND SHARES OF THE COMPANY DISPOSED AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHAPURA INTIMATES FASHION LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHAPURA INTIMATES FASHION 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 ASHAPURA INTIMATES FASHION LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHAPURA INTIMATES FASHION LTD.
|
IMPOSED PENALTY RS.2,00,000
25-OCT-2021
|
SEBI VIDE ITS NOTICE DATED 21/09/2022 DIRECTED TO PAY RS.2,25,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 16/12/2022 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
|
| 482 |
|
|
HARSHAWARDHAN HANMANT SABALE
(PAN:BMMPS9407G)
|
|
|
|
VARANIUM CLOUD LTD.
PAN:AAZCS6264J
|
|
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARANIUM CLOUD LTD.
MIS-UTILIZED IPO AND RIGHTS ISSUE PROCEEDS AND DIVERTED FUNDS TO PROMOTER GROUP ENTITIES VIOLATING REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARANIUM CLOUD LTD.
PROVIDED MISLEADING INFORMATION TO INVESTORS AND STOCK EXCHANGES REGARDING BUSINESS ACQUISITIONS VIOLATING REGULATIONS 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VARANIUM CLOUD LTD.
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING REGULATION 24(1) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF VARANIUM CLOUD LTD.
DISCLOSED MISLEADING QUOTATION UNDER OBJECTS OF THE ISSUE AND DID NOT MAKE DISCLOSURE OF LITIGATION IN THE PROSPECTUS AND LETTER OF OFFER VIOLATING REGULATION 24(1) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF VARANIUM CLOUD LTD.
MISREPRESENTED FINANCIAL STATEMENTS IN PROSPECTUS AND SHOWED FICTITIOUS SALES AND PURCHASES VIOLATING REGULATIONS 4(1)(A) TO 4(1)(C), 4(1)(E),4(1)(G) AND 4(1)(J) AND 33(1)(A), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 READ WITH IND AS-1 IN MATTER OF VARANIUM CLOUD LTD.
FILED INCORRECT STATEMENT OF DEVIATION PERTAINING TO UTILIZATION OF IPO PROCEEDS VIOLATING REGULATIONS 32(1), (4) AND (5) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF VARANIUM CLOUD LTD.
PROVIDED MISLEADING INFORMATION TO INVESTORS AND STOCK EXCHANGES REGARDING BUSINESS ACQUISITIONS VIOLATING REGULATIONS 4(1)(C) AND 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF VARANIUM CLOUD LTD.
DID NOT MAKE DISCLOSURE FACT OF DISPOSAL OF SHARES OF COMPANY BY PROMOTERS VIOLATING REGULATIONS 29(2) AND 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VARANIUM CLOUD LTD.
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-AUG-2026 TO 24-AUG-2033
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-AUG-2026 TO 24-AUG-2033
RESTRAINED FROM ACTING AS DIRECTOR/KEY MANAGERIAL PERSONNEL OF ANY LISTED COMPANY OR SUBSIDIARY OR ANY COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY SEBI REGISTERED INTERMEDIARY FROM 25-AUG-2026 TO 24-AUG-2033
10-MAY-2024
DIRECTED TO DISGORGE RS.1,28,77,11,275
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
IMPOSED PENALTY RS.20,40,00,000
25-AUG-2026
|
SEBI VIDE ITS ORDER DATED 21/10/2024 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 10/05/2024
SEBI VIDE ITS ORDER DATED 25/08/2026 DIRECTED TO A) DEBARRED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING AND OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FOR SEVEN YEARS FROM DATE OF THIS ORDER B) RESTRAINED FROM BEING ASSOCIATED WITH ANY LISTED COMPANY OR A SEBI REGISTERED INTERMEDIARY AS A DIRECTOR OR A KEY MANAGERIAL PERSON, DIRECTLY OR INDIRECTLY FOR SEVEN YEARS FROM DATE OF THIS ORDER C) DISGORGE UNLAWFUL GAINS OF RS.1,28,77,11,275.00 ALONG WITH SIMPLE INTEREST @12% P.A.FROM DATE OF SELLING OF RESPECTIVE SHARES TILL THE ACTUAL DATE OF DEPOSIT AND AMOUNT TO BE REMITTED TO INVESTOR PROTECTION AND EDUCATION FUND (IPEF) WITHIN FORTY FIVE DAYS FROM DATE OF RECEIPT OF THIS ORDER C) IMPOSED PENALTY OF RS.10 LAC U/S 15A(A), RS.10 LAC U/S 15A(B), RS.20 CRORE U/S 15HA AND RS.20 LAC U/S 15HB OF SEBI ACT.
|
| 483 |
|
|
HARSHITA JAIN
|
|
|
|
NIRMAL MADHU FAMILY PRIVATE TRUST
PAN:AACTN7896B
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) READ WITH 1312) AND 13(2)(A) OF SAST REGULATIONS, 2011 IN MATTER OF IIFL FINANCE LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-MAR-2022
|
|
| 484 |
|
|
HASANAIN S.MEWAWALA
(PAN:ALVPM7448J)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 13(1) AND 13(2) OF SAST REGULATIONS, 2011 IN MATTER OF ACQUISITION OF 49,49,464 SHARES OF EXPO GAS CONTAINERS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
25-FEB-2020
|
|
| 485 |
|
|
HASIT DASHANI
(PAN:ACLPD8451H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(6) AND 29(1) OF SAST REGULATIONS, 2011 IN MATTER OF REAL REALTY MANAGEMENT CO.LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
22-OCT-2019
|
|
| 486 |
|
|
HASUMATI DALAL
(PAN:AIGPD1485L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) READ WITH 30(3) OF SAST REGULATIONS, 2011 IN MATTER OF DYNACONS TECHNOLOGIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,14,433 VIDE CONSENT ORDER)
01-FEB-2019
|
|
| 487 |
|
|
HEERA DEVI
(PAN:AAZPD2911Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 30(1) AND 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF O.P.CHAINS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 488 |
|
|
HELI JATIN SHAH
(PAN:BXYPS2148P)
|
|
|
|
ETT LTD.
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ETT LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-SEP-2024
|
|
| 489 |
|
|
HEM CHAND JAIN
(PAN:AAUPJ7023J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF DHABRIYA PLYWOOD LTD.
ALLEGED DELAY IN MAKING 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 DHABRIYA PLYWOOD LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
20-DEC-2016
|
|
| 490 |
|
|
HEM CHAND JAIN
(PAN:AAUPJ7023J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF GINI SILK MILLS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,88,188 VIDE CONSENT ORDER)
14-FEB-2020
|
|
| 491 |
|
|
HEMAL KAMPANI
(PAN:AFWPK0687E)
|
|
|
|
VCK INVESTMENTS PVT.LTD.
CIN:U65999WB1992PTC055225
|
|
|
VCK SHARE & STOCK BROKING SERVICES LTD.
CIN:U67110WB1989PLC046799
PAN:AAACV8988P
|
|
DID NOT INTIMATE STOCK EXCHANGES ABOUT PROPOSED ACQUISITION OF SHARES VIOLATING REGULATION 10(5) OF SAST REGULATIONS, 2011 IN MATTER OF VCK CAPITAL MARKET SERVICES LTD.
DELAY IN MAKING DISCLOSURE OF ACQUISITION OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF VCK CAPITAL MARKET SERVICES LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-AUG-2022
|
|
| 492 |
|
|
HEMANT MAHIPATRAY SHAH
(PAN:AAHPS2340E)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF HUBTOWN LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,22,800 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-OCT-2017
|
|
| 493 |
|
|
HEMENDRA R.MEHTA
(PAN:AAVPM3169K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF INVICTA MEDITEK LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF INVICTA MEDITEK LTD.
|
IMPOSED PENALTY RS.1,00,000
30-AUG-2018
|
|
| 494 |
|
|
HEMLATA BHUTORIA
(PAN:ADOPB0854C)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2), 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF RTS POWER CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,17,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-AUG-2017
|
|
| 495 |
|
|
HEMRAJ BAID
(PAN:ACXPB3595J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF CENTURY 21ST PORTFOLIO LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF CENTURY 21ST PORTFOLIO LTD.
|
IMPOSED PENALTY RS.5,00,000
31-AUG-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 496 |
|
|
HETAL DIPESHBHAI BHAVANI
(PAN:AXGPP8030L)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 13(1) READ WITH 13(2)(E) OF SAST REGULATIONS, 2011 IN MATTER OF BARODA RAYON CORP.LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-FEB-2024
|
|
| 497 |
|
|
HETAL RAJESH PATEL
(PAN:AOVPP4343Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF AROMA ENTERPRISES (INDIA) LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,98,273 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-DEC-2017
|
|
| 498 |
|
|
HIMADRI KAMLESHBHAI SHAH
(PAN:AZYPS5654H)
|
|
|
DELAY IN MAKING 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 SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
31-OCT-2018
|
SEBI VIDE ITS ORDER DATED 22/06/2022 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 28/02/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 499 |
|
|
HIMANSHU KANAKIA
(PAN:AASPK5262C)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF CINEMAX INDIA LTD.
|
IMPOSED PENALTY RS.2,00,000
13-MAY-2014
|
|
| 500 |
|
|
HIMANSHU PRAFULCHANDRA SHAH
(PAN:ANEPS9445A)
|
|
|
DELAY IN MAKING 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 SMS TECHSOFT (INDIA) LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-NOV-2018
|
|
| 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 25 of 84
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