| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
HEMANTH KUMAR KURASALA
(PAN:AQKPK5709L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MINDTREE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,24,219 VIDE CONSENT ORDER)
22-APR-2020
|
|
| 42 |
|
|
HIREN PADHYA
(PAN:ACKPP9365M)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 AND CLAUSES 6 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 READ WITH CLAUSE 4.8 OF MINIMUM STANDARDS FOR CODE OF CONDUCT IN MATTER OF INFIBEAM AVENUES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,87,500 VIDE CONSENT ORDER)
28-JUL-2021
|
|
| 43 |
|
|
HUZAIFA KHORAKIWALA
(PAN:ABLPK6715C)
|
|
|
|
WOCKHARDT LTD.
PAN:AAACW2472M
|
|
ALLEGED FAILURE IN IMPLEMENTING CODE OF CONDUCT VIOLATING REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH CLAUSE 1.2 OF CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.13,32,500 VIDE CONSENT ORDER)
22-MAY-2023
|
|
| 44 |
|
|
I.UNNIKRISHNAN
(PAN:AAFPU7182C)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO MARKET PARTICIPANTS BEFORE THE SAME WAS DISCLOSED TO STOCK EXCHANGE VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, READ WITH REGULATION 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MANAPPURAM FINANCE LTD.
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO MARKET PARTICIPANTS BEFORE THE SAME WAS DISCLOSED TO STOCK EXCHANGE VIOLATING REGULATION 21(1) OF SEBI (PIT) REGULATIONS READ WITH CLAUSES 1.2, 2.1 AND 2.1-1 OF CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MANAPPURAM FINANCE LTD.
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO MARKET PARTICIPANTS BEFORE THE SAME WAS DISCLOSED TO STOCK EXCHANGE VIOLATING SECTION 12A(C) OF SEBI ACT, READ WITH REGULATION 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MANAPPURAM FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,39,32,000 VIDE CONSENT ORDER)
08-JUL-2020
|
|
| 45 |
|
|
JAI KUMAR MENON
(PAN:AAFPM9463L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF MINDA INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,50,040 VIDE CONSENT ORDER)
18-FEB-2020
|
|
| 46 |
|
|
KAILASH PRATAP MARIWALA
(PAN:AABPM1197M)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4 READ OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SABERO ORGANICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.70,45,738, DISGORGEMENT AMOUNT RS.31,57,753, INTEREST RS.30,72,967 VIDE CONSENT ORDER)
27-SEP-2019
|
|
| 47 |
|
|
KAMAL GIANCHANDANI
(PAN:AHHPG9707G)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PVR LTD.
ALLEGED FAILURE IN OBTAINING PRE-CLEARANCE OF TRADING IN SHARES OF COMPANY WHEN TRADING WINDOW WAS CLOSED VIOLATING CLAUSE 6 OF SCHEDULE B MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS) READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PVR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,74,500 VIDE CONSENT ORDER)
27-JUL-2022
|
|
| 48 |
|
|
KAMAL RANJAN DAS
(PAN:ACLPD8850A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF BERGER PAINTS INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
18-MAY-2018
|
|
| 49 |
|
|
KAMBAM P.REDDY
(PAN:AIDPK8303P)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3 AND 4 READ OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AUROBINDO PHARMA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.34,65,000, LEGAL EXPENSES RS.60,000 VIDE CONSENT ORDER)
06-MAY-2020
|
|
| 50 |
|
|
KASHINATH REVAPPA DHOLE
(PAN:AAXPD5986B)
|
|
|
ALLEGED VIOLATION OF CLAUSE 6 OF SCHEDULE B MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY DESIGNATED PERSONS READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BALAJI AMINES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.13,97,500 VIDE CONSENT ORDER)
01-OCT-2024
|
|
| 51 |
|
|
KETAN SHAH
(PAN:AAEPS3824N)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SESHASAYEE PAPER & BOARDS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,74,688, INTEREST RS.3,882 VIDE CONSENT ORDER)
01-JUN-2020
|
|
| 52 |
|
|
KHUSHRU BURJOR JIJINA
(PAN:AADPJ5821D)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION AND COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) READ WITH SECTION 27 OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.91,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 25-JUL-2024 TO 24-JAN-2025
25-JUL-2024
|
|
| 53 |
|
|
KHUSHRU BURJOR JIJINA
(PAN:AADPJ5821D)
(Along with : BENAIFER JIJINA)
|
|
|
|
GREATDEAL FINCONSULT ADVISORS LLP
PAN:AAJFG7532J
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION AND COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) READ WITH SECTION 27 OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
REACHED SETTLEMENT (DIRECTED TO DISGORGE) (DISGORGEMENT AMOUNT RS.15,32,95,440, INTEREST RS.9,41,94,798 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-JUL-2024
|
|
| 54 |
|
|
KIRAN ABHAY GANDHI
(PAN:AIIPG9722F)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF RANBAXY LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 IN MATTER OF RANBAXY LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.35,06,250 VIDE CONSENT ORDER)
11-APR-2019
|
|
| 55 |
|
|
KIRAN MAZUMDAR SHAW
(PAN:ACMPM8240N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF INFOSYS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,01,758 VIDE CONSENT ORDER)
20-NOV-2019
|
|
| 56 |
|
|
KOMAL JAIDEEP RAIGAGLA
(PAN:ADJPR7999D)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4 READ OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SABERO ORGANICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.33,46,875, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.13,55,250, INTEREST RS.13,18,862 VIDE CONSENT ORDER)
27-SEP-2019
|
|
| 57 |
|
|
KUMUDHA SRIDHARAN
(PAN:AJXPS7884C)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WIPRO LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,02,125 VIDE CONSENT ORDER)
30-AUG-2019
|
|
| 58 |
|
|
KUNJ DEEP KALRA
(PAN:ANXPK6816E)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIAN SUCROSE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
25-JUL-2022
|
|
| 59 |
|
|
L.KISHORE BABU
(PAN:AAFPL6754R)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (A) READ WITH 6(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MATTER OF DIVI'S LABORATORIES LTD.
|
REACHED SETTLEMENT ( DISGORGEMENT AMOUNT RS.96,68,183 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 60 |
|
|
L.KISHORE BABU
(PAN:AAFPL6754R)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (A) READ WITH 6(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MATTER OF DIVI'S LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,10,50,000 VIDE CONSENT ORDER)
21-OCT-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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