| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
JP MORGAN ASSET MANAGEMENT INDIA PVT.LTD.
|
|
|
|
NANDKUMAR SURTI
PAN:AALPS8105P
|
|
ALLEGED VIOLATION OF REGULATIONS 18(15A), 25(3), 25(16) READ WITH CLAUSES 6, 8 AND 9 OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE AND REGULATION 50(1) AND CLAUSE 1 OF SEVENTH SCHEDULE VIOLATING OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
DID NOT ADHERE TO SEBI CIRCULAR NO. SEBI/IMD/CIR NO.5/126096/08 DATED 23/05/2008
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,20,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
27-MAR-2018
|
|
| 42 |
|
|
JP MORGAN MUTUAL FUND INDIA PVT.LTD.
|
|
|
ALLEGED VIOLATION OF REGULATIONS 18(15A), 25(3), 25(16) READ WITH CLAUSES 6, 8 AND 9 OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE AND REGULATION 50(1) AND CLAUSE 1 OF SEVENTH SCHEDULE VIOLATING OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
DID NOT ADHERE TO SEBI CIRCULAR NO. SEBI/IMD/CIR NO.5/126096/08 DATED 23/05/2008
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,20,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
27-MAR-2018
|
|
| 43 |
|
|
JP MORGAN MUTUAL FUND INDIA PVT.LTD.
|
|
|
ALLEGED VIOLATION OF REGULATIONS 18(15A), 25(3), 25(16) AND 25(19) READ WITH CLAUSES 4, 6, 8 AND 9 OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE AND REGULATION 47 READ WITH CALUSES (A) & (B) OF PRINCIPLES OF FAIR VALUATION AS SPECIFIED IN EIGHTH SCHEDULE VIOLATING OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF AMTEK AUTO LTD.
ALLEGED VIOLATION OF REGULATIONS 18(15A), 25(3) AND 25(16) READ WITH CLAUSES 6, 8 AND 9 OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE AND REGULATION 50(1) AND CLAUSE 1 OF SEVENTH SCHEDULE VIOLATING OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF AMTEK AUTO LTD.
VIOLATED SEBI CIRCULAR NO. SEBI/IMD/CIR NO.5/126096/08 03/05/2008
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,07,02,400 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-MAR-2018
|
|
| 44 |
|
|
KANTILAL CHHAGANLAL SECURITIES PVT.LTD.
(PAN:AABCK3372R)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE & DILIGENCE AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATIONS 9(F) AND 9(E) READ WITH CLAUSES A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
ALLEGED VIOLATION OF VARIOUS NSE CIRCULARS
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.31,20,000 VIDE CONSENT ORDER)
27-FEB-2023
|
|
| 45 |
|
|
MAHAVIR FINANCE LTD.
(PAN:AACCM0931B)
|
|
|
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.2,24,21,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 46 |
|
|
MAHAVIR FINANCE LTD.
(PAN:AACCM0931B)
|
|
|
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.2,24,21,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 47 |
|
|
MAHAVIR FINANCE LTD.
(PAN:AACCM0931B)
|
|
|
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.2,24,21,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 48 |
|
|
MANUBHAI MANGALDAS SECURITIES PVT.LTD.
(PAN:AAACM8035G)
|
|
|
ALLEGED FAILURE IN COMPLIANCE WITH SEBI CIRCULAR SMD/SED/CIR/93/23321 DATED 18/11/1993 ON REGULATION OF TRANSACTION BETWEEN CLIENTS AND BROKERS
ALLEGED FAILURE IN MAINTAINING SEPARATE DEMAT ACCOUNT FOR PROPRIETARY TRADES AND CLIENT TRADES VIOLATING REGULATION 7 READ WITH CLAUSES A (2) AND A (5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
25-JUN-2014
|
|
| 49 |
|
|
MATRIX MERCHANDISE LTD.
(PAN:AABCM8300M)
|
|
|
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.2,24,21,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 50 |
|
|
MATRIX MERCHANDISE LTD.
(PAN:AABCM8300M)
|
|
|
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.2,24,21,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 51 |
|
|
MATRIX MERCHANDISE LTD.
(PAN:AABCM8300M)
|
|
|
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.2,24,21,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 52 |
|
|
MOTILAL OSWAL ASSET MANAGEMENT CO.LTD.
(PAN:AAFCM8463P)
|
|
|
ALLEGED CERTAIN SCHEME-RELATED EXPENSES WERE BEING PAID BY AMC AND WERE NOT PAID FROM SCHEMES VIOLATING SEBI CIRCULAR IN PARTICULAR PARA 1 OF CIRCULAR DATED 22/10/2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2024
|
|
| 53 |
|
|
MOTILAL OSWAL TRUSTEE CO.LTD.
(PAN:AAFCM8462N)
|
|
|
ALLEGED CERTAIN SCHEME-RELATED EXPENSES WERE BEING PAID BY AMC AND WERE NOT PAID FROM SCHEMES VIOLATING SEBI CIRCULAR IN PARTICULAR PARA 1 OF CIRCULAR DATED 22/10/2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAY-2024
|
|
| 54 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
G.M.SHENOY
|
|
|
KAMALA K.
|
|
|
MAYUR SINDHWAD
PAN:BQCPS9399P
|
|
|
NARAYAN NEELAKANTAN
|
|
|
NILESH TINAIKAR
|
|
|
R.NANDAKUMAR
|
|
|
UMESH JAIN
|
|
|
V.R.NARASIMHAN
PAN:AACPN2071J
|
|
|
VIKRAM LIMAYE
|
|
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
|
|
| 55 |
|
|
NGL FINE-CHEM LTD.
(PAN:AAACN4805H)
|
|
|
|
RAHUL NACHANE
PAN:AAZPN1526B
|
|
|
RAJESH LAWANDE
PAN:ABTPL7446B
|
|
ALLEGED MAKING INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO COMPANY VIOLATING CLAUSE 35 OF ERSTWHILE LISTING AGREEMENT READ WITH REGULATION 103(2) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED MAKING INCORRECT DISCLOSURE OF SHAREHOLDING PATTERN TO COMPANY AS REQUIRED UNDER REGULATIONS 31(1) READ WITH 4(1)(E) OF SEBI (LODR) REGULATIONS, 2015
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.54,42,360 VIDE CONSENT ORDER)
25-FEB-2025
|
|
| 56 |
|
|
OCEANIC FOODS LTD.
(PAN:AAACO3708L)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF NCLT PETITION AND FREEZE OF ITS BANK ACCOUNTS BY ITS EX-MD & CEO VIOLATING CLAUSE 8.1 OF PARA B OF ANNEXURE I OF SEBI CIRCULAR CIR/CFD/CMD/4/2015 DATED 09/09/2015
ALLEGED FAILURE IN MAKING DISCLOSURE OF NCLT PETITION AND FREEZE OF ITS BANK ACCOUNTS BY ITS EX-MD & CEO VIOLATING REGULATIONS 30(3) & 30(4)(I)(B) READ WITH 4(1)(D) AND CLAUSE 8 OF PARA B OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015
ALLEGED FAILURE IN MAKING DISCLOSURE OF NCLT PETITION AND FREEZE OF ITS BANK ACCOUNTS BY ITS EX-MD & CEO VIOLATING REGULATION 30(12) READ WITH 4(1)(D) OF SEBI (LODR) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,22,650 VIDE CONSENT ORDER)
26-NOV-2024
|
|
| 57 |
|
|
PAYTM MONEY LTD.
(PAN:AAJCP4398N)
|
|
|
ALLEGED FAILURE IN SETTING PERMISSIBLE LIMIT OF 70% FOR GENERATION OF TIMELY ALERTS FOR ALL CRITICAL ASSETS
ALLEGED FAILURE IN SUBMITTING DOCUMENTARY EVIDENCE W.R.T. PEAK LOAD OBSERVED FOR INSPECTION PERIOD
ALLEGED FAILURE IN CONNECTING ALL ITS CRITICAL SYSTEMS WITH LOG ANALYTICS AND MONITORING APPLICATION
ALLEGED FAILURE IN CONDUCTING LIVE DR DRILL FOR HALF YEAR APRIL, 2023 TO SEPTEMBER, 2023
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,50,000 VIDE CONSENT ORDER)
13-FEB-2025
|
|
| 58 |
|
|
PHILLIPCAPITAL (INDIA) PVT.LTD.
(PAN:AABCR6382C)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF VARIOUS NSE CIRCULARS
ALLEGED NON COMPLIANCE WITH STATUTORY REQUIREMENTS VIOLATING REGULATIONS 9, 26(XVI) AND 26(XX) READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.51,00,000 VIDE CONSENT ORDER)
09-MAY-2019
|
|
| 59 |
|
|
PNB FINANCE & INDUSTRIES LTD.
(PAN:AAACP0256C)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
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.21,67,500 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 60 |
|
|
PUNJAB MERCANTILE & TRADERS LTD.
(PAN:AAACP0228J)
|
|
|
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.2,24,21,300 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 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 3 of 4
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