| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 521 |
|
PIGEON CONSTRUCTIONS PVT.LTD.
(PAN:AACCP6748B)
|
|
|
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.
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.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/ CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2)(A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WISEC GLOBAL LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) 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.
|
IMPOSED PENALTY RS.8,00,000
30-JUN-2022
|
|
| 522 |
|
|
PIONEER EMBROIDERIES LTD.
(PAN:AAACP3869R)
|
|
|
|
RAJ KUMAR SEKHANI
PAN:AABPS8065N
|
|
TRADED WHILE TRADING WINDOW SHOULD HAVE BEEN CLOSED BY COMPANY VIOLATING REGULATION 12(3) READ WITH CLAUSES 3.2 & 3.3 OF MODEL CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PIONEER EMBROIDERIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PIONEER EMBROIDERIES LTD.
|
IMPOSED PENALTY RS.10,00,000
30-JUN-2011
|
SAT: APPEAL DISMISSED AS WITHDRAWN WITH NO ORDER AS TO COSTS
|
| 523 |
|
|
PIONEER EMBROIDERIES LTD.
(PAN:AAACP3869R)
|
|
|
DID NOT CLOSE TRADING WINDOW VIOLATING REGULATION 12(3) READ WITH CLAUSE 3.2 OF MODEL CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
IMPOSED PENALTY RS.5,00,000
30-JUN-2011
|
SAT: APPEAL DISMISSED AS WITHDRAWN WITH NO ORDER AS TO COSTS
|
| 524 |
|
|
PIRAMAL ENTERPRISES LTD.
(PAN:AAACN4538P)
|
|
|
|
AJAY G.PIRAMAL
PAN:AAEPP7726Q
|
|
|
NANDINI PIRAMAL
PAN:AEOPP0388Q
|
|
|
SWATI A.PIRAMAL
PAN:AAJPP8862G
|
|
DID NOT CLOSE TRADING WINDOW DURING THE TIME OF PRICE SENSITIVE INFORMATION WAS UNPUBLISHED VIOLATING CLAUSES 3.2-1 AND 3.2-3(F) OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES IN SCHEDULE I PART A READ WITH REGULATION 12(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
DID NOT HANDLE PRICE SENSITIVE INFORMATION RELATING TO SALE OF DOMESTIC HEALTHCARE BUSINESS TO ABOTT ON NEED TO KNOW BASIS VIOLATING CLAUSES 1.2 AND 2.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES IN SCHEDULE I PART A READ WITH REGULATION 12(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
03-OCT-2016
|
SAT: SAT VIDE ITS ORDER DATED 15/05/2019 ALLOWED THE APPEAL BY MODIFYING THE IMPUGNED ORDER FROM IMPOSITION OF PENALTY TO WARNING WITH FURTHER DIRECTIONS IF ANY SUCH INCIDENT OCCURS IN FUTURE, IT WOULD BE OPEN TO SEBI TO PROCEED IN ACCORDANCE WITH LAW. NO COSTS
|
| 525 |
|
|
PLANTINUM FINVEST PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF MITTAL SECURITIES FINANCE LTD.
|
IMPOSED PENALTY RS.10,00,000
20-APR-2009
|
SAT: ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.3,00,000 FROM RS.10,00,000
INCLUDED IN SEBI LIST DATED 30/09/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 526 |
|
|
PLETHICO PHARMACEUTICALS LTD.
(PAN:AABCP3063G)
|
|
|
|
CHIRAG PATEL
PAN:ADHPP4699Q
|
|
|
GAURAVI KARTIK PARIKH
PAN:AKPPP7466E
|
|
|
SHASHIKANT APABHAI PATEL
PAN:AFVPP0343K
|
|
DID NOT MAKE DISCLOSURE OF RAISING MONEY THROUGH FCCBS AND FAILED IN REDEEMING FCCBS ON MATURITY DATE TO STOCK EXCHANGES VIOLATING CLAUSES 2.1 AND 7(II) OF CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING AS SPECIFIED UNDER REGULATION 12(2) OF SCHEDULE II OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DID NOT MAKE DISCLOSURE OF RAISING MONEY THROUGH FCCBS AND FAILED IN REDEEMING FCCBS ON MATURITY DATE TO STOCK EXCHANGES VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 14/12/2022 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
|
| 527 |
|
|
POLARIS CONSULTING & SERVICES LTD.
|
|
|
ALLEGED VIOLATION OF CLAUSE 1.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES PART A OF SCHEDULE I READ WITH REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
29-JUN-2018
|
|
| 528 |
|
|
POLARIS SOFTWARE LAB LTD.
|
|
|
|
ARUN JAIN
PAN:AAHPJ6020E
|
|
ALLEGED DEALING IN SCRIP OF POLARIS SOFTWARE LABS LTD. ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,00,000, LEGAL EXPENSES RS.3,00,000 VIDE CONSENT ORDER)
21-JUL-2008
|
|
| 529 |
|
|
POLARIS SOFTWARE LAB LTD.
|
|
|
|
ARUN JAIN
PAN:AAHPJ6020E
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION RELATING TO CALLING OFF PROPOSED ACQUISITION OF DATA INC. BY POLARIS SOFTWARE LAB LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-OCT-2012 TO 08-OCT-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-OCT-2012 TO 08-OCT-2014
09-OCT-2012
|
SAT: APPEAL ALLOWED WITH NO ORDER AS TO COSTS
|
| 530 |
|
|
POLYOLE FIBRE PVT.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
|
|
| 531 |
|
|
POLYTEX INDIA LTD.
(PAN:AAACP7020Q)
|
|
|
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 IN MATTER OF KGN ENTERPRISES LTD., POLYTEX INDIA LTD. AND GEMSTONE INDIA LTD.
|
IMPOSED PENALTY RS.3,00,000
21-DEC-2017
|
|
| 532 |
|
|
PRAGIRI FINVEST (INDIA) PVT.LTD.
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN SCRIP OF MITTAL SECURITIES FINANCE LTD.
|
IMPOSED PENALTY RS.10,00,000
20-APR-2009
|
SAT: ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.3,00,000 FROM RS.10,00,000
INCLUDED IN SEBI LIST DATED 30/09/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 533 |
|
|
PRAKASH B.DHEBHAR (HUF)
|
|
|
|
PRAKASH B.DHEBHAR
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GCV SERVICES LTD. (PREVIOUSLY KNOWN AS GUJARAT CAPITAL VENTURES LTD.)
DID NOT FILE REPORT WITH SEBI AS REQUIRED UNDER REGULATION 3(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GCV SERVICES LTD. (PREVIOUSLY KNOWN AS GUJARAT CAPITAL VENTURES 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 GCV SERVICES LTD. (PREVIOUSLY KNOWN AS GUJARAT CAPITAL VENTURES LTD.)
|
IMPOSED PENALTY RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-SEP-2018
|
|
| 534 |
|
|
PRAKASH DEVIDAS SECURITIES LTD.
(PAN:AAACP3264A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF DJS SHARES & STOCKS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF DJS SHARES & STOCKS LTD.
|
IMPOSED PENALTY RS.3,00,000
08-MAY-2013
|
|
| 535 |
|
|
PRAKASH ELECTRONICS SYSTEMS LTD.
|
|
|
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF ZIGMA SOFTWARE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ZIGMA SOFTWARE LTD.
|
IMPOSED PENALTY RS.2,00,000
11-FEB-2010
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 536 |
|
|
PRAKASH WOOLLEN MILLS LTD.
(PAN:AABCP4126C)
|
|
|
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
30-JAN-2018
|
|
| 537 |
|
|
PRECISION CONTAINEURS LTD.
(CIN:L28920MH1981PLC023972
PAN:AAACV4766F)
|
|
|
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 VAS INFRASTRUCTURE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF VAS INFRASTRUCTURE LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VAS INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-MAR-2014
|
|
| 538 |
|
|
PREMIUM LINKERS LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1),13(3) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF IKF TECHNOLOGIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,75,000 VIDE CONSENT ORDER)
03-FEB-2011
|
|
| 539 |
|
|
PREMSAGAR VINIMAY PVT.LTD.
(PAN:AAECP9297K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(2A) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF PS IT INFRASTRUCTURE & SERVICES LTD.
MADE INCORRECT DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF PS IT INFRASTRUCTURE & SERVICES LTD.
|
IMPOSED PENALTY RS.3,00,000
21-JUL-2020
|
|
| 540 |
|
|
PRESHA METALLURGICAL LTD.
(PAN:AACCJ4764D)
|
|
|
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.1,00,00,000
31-DEC-2015
|
SEBI VIDE ITS ORDER DATED 12/07/2023 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 30/11/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,96,01,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 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 27 of 42
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