| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 721 |
|
SYSTEL INFOTECH LTD.
|
|
|
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
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
IMPOSED PENALTY RS.15,00,000
12-JAN-2010
|
SEBI VIDE ITS NOTICE DATED 21/12/2017 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 722 |
|
|
T J R FINANCE LTD.
(PAN:AAACT5701E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KENAL INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
27-APR-2018
|
|
| 723 |
|
|
T J R SONS LTD.
(PAN:AAACT4502F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KENAL INDUSTRIES LTD.
|
IMPOSED PENALTY RS.5,00,000
27-APR-2018
|
|
| 724 |
|
|
TACTFULL INVESTMENTS LTD.
|
|
|
|
GOPAL DASS GOYAL
|
|
|
PRASHANT KUMAR SRIVASTAVA
|
|
|
RUCHI BAMBA
|
|
|
VINOD GUPTA
|
|
VIOLATED SEBI ACT, 1992
VIOLATED SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
CC NO.19/10 23.04.2012 PRESENT: SH.SANJAY MANN, ADVOCAE, COUNSEL FOR SEBI. SH.AMIT BHATNAGAR, ADVOCATE, COUNSEL FOR CONVICT COMPANYALONG WITH AR OF COMPANYARGUMENTS HEARD. VIDE SEPARATE ORDER ON THE POINT OF SENTENCE COMPANY ACCUSED ISBURDENED WITH A FINE OF RS.50,000.OO FOR THE OFFENCE PUNISHABLE UNDER SECTION 24(1) OF SEBI ACT.FINE AMOUNT IS PAID. COPY OF JUDGMENT ALONG WITH ORDER ON THE POINT OF SENTENCE BE GIVENTO THE AR OF CONVICT COMPANY/ITS COUNSEL FREE OF COST. SINCE, A5 & A6 ARE PROCLAIMED OFFENDERS, FILE BE CONSIGNED TO RECORDROOM WITH DIRECTION THAT SAME BE REVIVED AS AND WHEN THEY ARE APPREHENDED
|
| 725 |
|
|
TAIB SECURITIES MAURITIUS LTD.
(PAN:AAACT5003H)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1), 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAASHYAP TECHNOLOGIES LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KAASHYAP TECHNOLOGIES LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KAASHYAP TECHNOLOGIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,68,645 VIDE CONSENT ORDER)
09-JAN-2017
|
|
| 726 |
|
|
TAINWALA CHEMICALS & PLASTICS (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN MAKING 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 ACQUISITION OF 26,00,000 (33.33%) SHARES/VOTING RIGHTS OF TPL PLASTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
10-SEP-2008
|
|
| 727 |
|
|
TAKESHI MARKETING PVT.LTD.
|
|
|
|
VIRENDRA PANDEY
DIN:00425357
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUL-2009 TILL FURTHER ORDERS
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 11/05/2012 RESTRAINED THE NOTICEE FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES FOR A PERIOD OF TWO YEARS I.E. FROM 11/05/2012 TO 10/05/2014
|
| 728 |
|
|
TANU HEALTHCARE LTD.
|
|
|
|
TANU AGRAWAL
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY IN TIME AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SOCRUS BIO SCIENCES LTD.(FORMERLY KNOWN AS TANU HEALTHCARE LTD.)
|
IMPOSED PENALTY RS.50,000
17-JUN-2010
|
|
| 729 |
|
|
TARACHAND JAIN (HUF)
(PAN:AFMPM3339M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 730 |
|
|
TARAI FOODS LTD.
|
|
|
|
G.S.SANDHU
|
|
ALLEGED INDULGENCE IN ISSUANCE OF MISLEADING NEWS TO INDUCE TRANSACTIONS IN SHARES OF TARAI FOODS LTD.
ALLEGED TRADING IN SCRIP OF TARAI FOODS LTD. WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,12,000, ADMINISTRATION CHARGES RS.25,000 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 27-APR-2009 TO 26-OCT-2009
24-APR-2009
|
|
| 731 |
|
|
TARGET MINING PVT.LTD.
(PAN:AADCT9856F)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF INTERFACE FINANCIAL SERVICES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF INTERFACE FINANCIAL SERVICES LTD.
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2020
|
|
| 732 |
|
|
TATA FINANCE LTD.
|
|
|
|
DILIP S.PENDSE
|
|
DEALT IN SCRIP OF TATA FINANCE LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
IMPOSED PENALTY RS.5,00,000
27-SEP-2006
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE AND CASE REMITTED BACK TO AO TO ISSUE FRESH SHOW CAUSE NOTICE AND FINAL ORDER
AS IT IS PROVED THAT ANURADHA PENDSE AND NALINI PROPERTIES PVT.LTD. DEALT IN SHARES OF TATA FINANCE LTD. ON THE BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION COMMUNICATED BY DILIP S.PENDSE. HENCE PENALTY IMPOSED RS.500000.00 EACH
|
| 733 |
|
|
TATA FINANCE LTD.
|
|
|
|
JAIVANT ESVONTA TALAULICAR
|
|
INSIDER TRADING IN SCRIP OF TATA FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-OCT-2003 TO 13-OCT-2008
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-OCT-2003 TO 13-OCT-2008
14-OCT-2003
|
SAT: APPEAL DISMISSED AS WITHDRAWN WITH NO ORDER AS TO COSTS
|
| 734 |
|
|
TATA FINANCE LTD.
|
|
|
|
JAIVANT ESVONTA TALAULICAR
|
|
DEALT IN SCRIP OF TATA FINANCE LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
IMPOSED PENALTY RS.2,00,000
20-OCT-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.2,20,000 VIDE CONSENT ORDER)
15-DEC-2008
|
|
| 735 |
|
|
TATA MOTORS LTD.
(PAN:AAACT2727Q)
|
|
|
CIRCULATED FINANCIAL FIGURES PRIOR TO ITS OFFICIAL ANNOUNCEMENT/PUBLICATION VIOLATING REGULATIONS 3(1) AND 3(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 READ WITH SECTION 12A(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
DIRECTED TO STRENGTHEN ITS PROCESSES/SYSTEMS/CONTROLS ENSURE INSTANCES OF LEAKAGE OF UNPUBLISHED PRICE SENSITIVE INFORMATION DO NOT RECUR IN FUTURE
DIRECTED TO CONDUCT INTERNAL INQUIRY INTO THE LEAKAGE OF UNPUBLISHED PRICE SENSITIVE INFORMATION RELATING TO ITS FINANCIAL RESULTS AND DIRECTED TO TAKE APPROPRIATE ACTION AGAINST RESPONSIBLE PERSONS
06-MAR-2018
|
|
| 736 |
|
|
TATA STEEL LTD.
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TIN PLATE CO.OF INDIA LTD.,THE
|
IMPOSED PENALTY RS.10,00,000
07-DEC-2017
|
SAT: SAT VIDE ITS ORDER DATED 26/04/2022 ALLOWED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED THAT EFFECT AND OPERATION OF THE IMPUGNED ORDER TO REMAIN STAYED DURING PENDENCY OF THE APPEAL. FURTHER, DIRECTED TO FILE CERTIFIED COPY OF IMPUGNED ORDER IN THE REGISTRY WITHIN SIX WEEKS FROM DATE OF THIS ORDER. EXEMPTION APPLICATION DISPOSED OFF
SAT: SAT VIDE ITS ORDER DATED 01/07/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 737 |
|
|
TAURAS PORTFOLIOS LTD.
|
|
|
|
ARUN AGGARWAL
|
|
|
P.K.RAO
|
|
|
R.P.SHARMA
|
|
|
SANTOSH GUPTA
|
|
|
V.K.AGARWAL
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 738 |
|
|
TELESYS INFO-INFRA (I) LTD.
(PAN:AABCT1582G)
|
|
|
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 ASIA HR TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.1,50,000
10-OCT-2012
|
COMPANY VIDE DD NO.245896 DATED 30/11/2012 HAS PAID PENALTY OF RS.1.50 LACS
|
| 739 |
|
|
TELESYS SOFTWARE LTD.
(PAN:AABCT1582G)
|
|
|
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 IQ INFOTECH LTD.
|
IMPOSED PENALTY RS.50,000
12-NOV-2009
|
COMPANY VIDE DD NO.424294 DATED 02/01/2010 HAS PAID PENALTY OF RS.50,000.00
|
| 740 |
|
|
TEMPTATION FOODS LTD.
|
|
|
|
VINIT KUMAR
|
|
MISLEADED PUBLIC BY CONFIRMING REPORT PUBLISHED IN PUBLIC MEDIA ABOUT HIGHER SHAREHOLDING IN KOHINOOR FOODS LTD.
DID NOT INTIMATE BSE ABOUT INTENTION OF TAKEOVER OF KOHINOOR FOODS LTD.UNDER CLAUSE 36(7)(II) OF LISING AGREEMENT
DID NOT MAKE DISCLOSURE OF HOLDING OF MORE THAN 5% OF KOHINOOR FOODS LTD. AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
DIRECTED TO CEASE & DESIST FROM GIVING MISLEADING RECOMMENDATIONS IN ANY PUBLIC ACCESSIBLE MEDIA
16-FEB-2009
|
EX-PARTE ORDER DATED 16/02/2009 DISPOSED OFF AND ADVISED NOT TO REPORT OR PUBLISH INFORMATION REGARDING SHAREHOLDING WITHOUT STRICTLY ADHERING TO PROVISIONS OF LAW
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 37 of 42
|
