| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 481 |
|
NIDHI POLYESTER LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ACQUISITION OF 5.52% EQUITY SHARES OF RAP MEDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,50,000, LEGAL EXPENSES RS.3,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-JAN-2010
|
|
| 482 |
|
|
NIRMAL BANG FINANCIAL SERVICES PVT.LTD.
(PAN:AAACN1698N)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF KAMANWALA HOUSING CONSTRUCTION LTD.
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 KAMANWALA HOUSING CONSTRUCTION LTD.
|
IMPOSED PENALTY RS.3,00,000
14-FEB-2018
|
|
| 483 |
|
|
NIRVANI TRUST
(PAN:AABTN4587A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF MINAL INDUSTRIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MINAL INDUSTRIES LTD.
|
IMPOSED PENALTY RS.6,00,000
31-AUG-2017
|
|
| 484 |
|
|
NISKALP INVESTMENTS & TRADING CO.LTD.
|
|
|
|
AVADHOOT L.SHILOTRI
|
|
AIDED IN INSIDER TRADING TRANSACTIONS BY J.E. TALAULICAR IN SHARES OF TATA FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 02-JAN-2004 TO 01-JUL-2004
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 02-JAN-2004 TO 01-JUL-2004
IMPOSED PENALTY RS.50,000
02-JAN-2004
|
SAT: IMPUGNED ORDER DATED 02/01/2004 MODIFIED BY REDUCING PERIOD OF BAN TO 3 MONTHS FROM 6 MONTHS
IMPOSED PENALTY BY ORDER DATED 27/04/2006
|
| 485 |
|
|
NORTH EASTERN CARRYING CORP.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
19-FEB-2010
|
|
| 486 |
|
|
NOUVEAU GLOBAL VENTURES LTD.
(PAN:AABCN0827A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 29(1) OF SAST REGULATIONS, 2011 IN MATTER OF JMD TELEFILMS INDUSTRIES LTD.
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 JMD TELEFILMS INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
27-SEP-2017
|
|
| 487 |
|
|
NOVA PETROCHEMICALS LTD.
|
|
|
|
SHYAM GUPTA
|
|
|
VEDPRAKASH CHIRIPAL
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(II) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12A (E) OF SEBI ACT, 1992 IN SCRIP OF NOVA PETROCHEMICALS LTD. (NOW KNOWN AS CIL NOVA PETROCHEMICALS LTD. AND GSL NOVA PETROCHEMICALS LTD.)
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
02-FEB-2018
|
|
| 488 |
|
|
NOVALTY ENTERPRISES PVT.LTD.
(PAN:AABCV8188Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1), 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF ASHUTOSH PAPER MILLS LTD.
|
IMPOSED PENALTY RS.6,00,000
30-JUN-2017
|
SAT: APPEAL DISMISSED. NO COSTS
|
| 489 |
|
|
NUTECH STEELS LTD.
(PAN:AACCN1742K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF SHRI LAKSHMI COTSYN LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SHRI LAKSHMI COTSYN LTD.
|
IMPOSED PENALTY RS.1,00,000
31-OCT-2017
|
|
| 490 |
|
|
ODYSSEY CORP.LTD.
(PAN:AAACO0463C)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SYNCOM FORMULATIONS (INDIA) LTD.
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 SYNCOM FORMULATIONS (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000
26-SEP-2019
|
|
| 491 |
|
|
OMAN COMMERCIAL SERVICES LLC
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY FOR PERIOD 2006-2009 AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ACQUISITION OF SHARES OF PARSOLI CORP.LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1),7(1A) AND 8(1) OF SEBI TAKEOVER CODE, 1997 FOR PERIOD 2006-2009 IN MATTER OF ACQUISITION OF SHARES OF PARSOLI CORP.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-APR-2010
|
|
| 492 |
|
|
OMKAR OVERSEAS LTD.
(CIN:086408
PAN:AAACO1827C)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
13-AUG-2018
|
|
| 493 |
|
|
OMKAR OVERSEAS LTD.
(CIN:086408
PAN:AAACO1827C)
|
|
|
|
CHAMPALAL GOPIRAM AGARWAL
PAN:AAPPA7695A
|
|
|
SHANKARLAL GOPIRAM AGARWAL
PAN:AAPPA7694B
|
|
|
SUBHASHCHANDRA OMKARMAL AGARWAL
PAN:AAPPA7696D
|
|
DID NOT CLOSE TRADING WINDOW PRIOR TO MAKING FINANCIAL RESULTS PUBLIC VIOLATING CLAUSES 3.2,1.2 AND 2.1 OF CODE OF CONDUCT AS SPECIFIED IN PART A OF SCHEDULE I READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OMKAR OVERSEAS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-AUG-2018
|
|
| 494 |
|
|
ONWARD NETWORK TECHNOLOGIES PVT.LTD.
(PAN:AAACO0641A)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF ONWARD TECHNOLOGIES LTD.
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 IN MATTER OF ONWARD TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.2,00,000
26-SEP-2019
|
|
| 495 |
|
|
OREGON COMMERCIAL LTD.
(PAN:AAACO1582E)
|
|
|
|
ASHOK SHIVLAL RUPANI
PAN:AABPR0488E
|
|
|
NARESH RUPANI
PAN:AABPR0487M
|
|
|
UTTAM GADA
PAN:AACPG4068L
|
|
DID NOT ADHERE TO CODE OF INTERNAL PROCEDURES AND CONDUCT AS REQUIRED UNDER REGULATIONS 12(1) AND 12(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OREGON COMMERCIAL LTD.
|
IMPOSED PENALTY RS.75,000
30-AUG-2011
|
|
| 496 |
|
|
ORICON ENTERPRISES LTD.
(PAN:AAACO0480F)
|
|
|
DID NOT ADOPT APPROPRIATE MECHANISMS & PROCEDURES TO ENFORCE CODE OF CONDUCT VIOLATING REGULATIONS 12(1) AND 12(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2018
|
|
| 497 |
|
|
ORIENT TRADELINK LTD.
(PAN:AAACO5359B)
|
|
|
|
AUSHIM KHETRAPAL
PAN:ANZPK1199C
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 23-JUL-2013 TO 22-JUL-2017
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM RAISING FRESH CAPITAL FOR A PERIOD OF ONE YEAR) FROM 23-JUL-2013 TO 22-JUL-2017
23-JUL-2013
|
SETTLEMENT CHARGES OF RS.10 LACS HAS BEEN PAID BY THE COMPANY BY DEMAND DRAFT NO.219159 DATED 20/05/2013 DRAWN ON ICICI BANK
|
| 498 |
|
|
ORISSA MINERALS DEVELOPMENT CO.LTD.,THE
(CIN:L51430WB1918GOI003026)
|
|
|
|
SATISH CHANDRA
PAN:AACPC6864E
|
|
|
SUCHARITA DAS
PAN:AGSPD1209Q
|
|
DELAY IN DISSEMINATION OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSE 2.1 OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING IN SCHEDULE II TO REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ORISSA MINERALS DEVELOPMENT CO.LTD.,THE
DELAY IN DISSEMINATION OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-AUG-2020
|
|
| 499 |
|
|
ORISSA SPONGE IRON & STEEL LTD.
(PAN:AAACO2568G
CIN:L27102OR1979PLC000819)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.1,00,000
28-MAY-2010
|
SAT: SAT VIDE ITS ORDER DATED 05/01/2017 ALLOWED APPEAL TO BE WITHDRAWN WITH LIBERTY TO FILE FRESH APPEAL WITHIN A PERIOD OF TWO WEEKS FROM THE DATE OF THIS ORDER. NO COSTS
|
| 500 |
|
|
OVAL INVESTMENT PVT.LTD.
(PAN:AAACO0373R)
(Along with : GHCL LTD.)
|
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
INTERIM DIRECTIONS ISSUED VIDE EX-PARTE AD-INTERIM ORDER DATED 20/04/2009 VACATED AS PER ORDER DATED 07/07/2009
|
| 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 42
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