| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 721 |
|
RUPESHBHAI KANTILAL SAVLA
(PAN:AACPS6257P)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 12A (D) AND (E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF DEEP INDUSTRIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DEEP INDUSTRIES LTD.
|
DIRECTED TO DISGORGE RS.1,74,57,816
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2019 TO 29-MAR-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2019 TO 29-MAR-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
16-APR-2018
|
SEBI VIDE ITS ORDER DATED 30/09/2018 DIRECTED TO A) DISGORGE WRONGFUL GAIN OF RS.1,74,57,816.00 B) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING,SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR SIX MONTHS C) DURING PERIOD OF RESTRAINT, EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN
SAT: SAT VIDE ITS ORDER DATED 26/04/2021 DISMISSED THE APPEAL AND MATTER TO BE LISTED ON 21/05/2021
SAT: SAT VIDE ITS ORDER DATED 16/12/2021 DISMISSED THE APPEAL
|
| 722 |
|
|
S.MADHAVAN
(PAN:AAAPM2924M)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UFO MOVIEZ INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.19,12,500, DISGORGEMENT AMOUNT RS.1,59,499, INTEREST RS.76,140 VIDE CONSENT ORDER)
20-JAN-2022
|
|
| 723 |
|
|
S.RAVI AIYAR
(PAN:AADPA8913H)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE OF TRADES VIOLATING CLAUSE 3.3 OF MODEL CODE OF CONDUCT AS SPECIFIED IN SCHEDULE I PART A READ WITH REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITECH LTD.
ENTERED INTO OPPOSITE TRANSACTIONS WITHIN SIX MONTHS FOLLOWING PRIOR TRANSACTIONS VIOLATING CLAUSE 4.2 OF MODEL CODE OF CONDUCT AS SPECIFIED IN SCHEDULE I PART A READ WITH REGULATION 12(1) OF SEBI (PIT) REGULATIONS 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITECH LTD.
|
IMPOSED PENALTY RS.5,00,000
30-SEP-2022
|
|
| 724 |
|
|
S.V.RAJYALAXMI REDDY
(PAN:AWXPR4787Q)
|
|
|
|
BRIGHTCOM GROUP LTD.
PAN:AAACL5827B
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
TRADED DURING CLOSURE OF TRADING WINDOW VIOLATING CLAUSE 4 OF SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
EXECUTED CONTRA TRADE WITHIN SIX MONTHS VIOLATING CLAUSE 10 OF SCHEDULE B READ WITH REGULATION 9 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
|
IMPOSED PENALTY RS.5,00,000
13-JUN-2023
|
|
| 725 |
|
|
S.V.SUBHA RAO
(PAN:AAHPR8501L)
|
|
|
|
JAGSONPAL PHARMACEUTICALS LTD.
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF JAGSONPAL PHARMACEUTICALS LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 22-NOV-2024 TO 21-NOV-2025
IMPOSED PENALTY RS.10,00,000
22-NOV-2024
|
SAT: SAT VIDE ITS ORDER DATED 20/12/2024 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND FILE REJOINDER THREE WEEKS THEREAFTER. STAYED THE IMPUGNED ORDER SUBJECT TO DEPOSIT 50% OF THE PENALTY AMOUNT
SAT: SAT VIDE ITS ORDER DATED 02/07/2025 ALLOWED THE APPEAL AND SET ASIDE ORDER DATED 22/11/2024. NO COSTS
|
| 726 |
|
|
SABITA JAJODIA
(PAN:ACQPA6002J)
|
|
|
|
JAISUKH DEALERS LTD.
CIN:L65100WB2005PLC101510
PAN:AABCJ7808H
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF JAISUKH DEALERS LTD.
|
IMPOSED PENALTY RS.1,00,000
23-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 21/01/2021 PARTLY ALLOWED THE APPEAL AND DIRECTED TO PAY PENALTY AMOUNT OF RS.1 LAC WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 05/05/2021 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPLICATION FOR EXEMPTION TO FILE CERTIFIED COPY OF THE IMPUGNED ORDER
SEBI VIDE ITS NOTICE DATED 16/09/2024 DIRECTED TO PAY RS.1,50,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 21/10/2024 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
|
| 727 |
|
|
SACHIN AGARWAL
(PAN:AEDPA9226P)
|
|
|
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.1,37,70,000 VIDE CONSENT ORDER)
08-JUL-2020
|
|
| 728 |
|
|
SACHIN GUPTA
(PAN:AAGPG3473P)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT AND REGULATION 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PC JEWELLER LTD.
|
DIRECTED TO DISGORGE RS.6,17,60,184 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO CREDIT AMOUNTS TO ESCROW ACCOUNT IN NATIONALISED BANK
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 11-MAY-2021 TO 10-MAY-2022
17-DEC-2019
|
SEBI VIDE ITS ORDER DATED 11/05/2021 DIRECTED TO A) RESTRAIN FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER B) DISGORGE JOINTLY AND SEVERALLY A SUM OF RS. 6,17,60,184.13 IMPOUNDED BY IMPOUNDING ORDER PASSED IN THE PRESENT MATTER AND THE SAME SHALL BE CREDITED INTO THE INVESTOR PROTECTION AND EDUCATION FUND (IPEF)
|
| 729 |
|
|
SACHIN GUPTA
(PAN:AAGPG3473P)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT AND REGULATION 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PC JEWELLER LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-MAY-2021 TO 10-MAY-2023
17-DEC-2019
|
SEBI VIDE ITS ORDER DATED 11/05/2021 DIRECTED TO RESTRAIN FROM BUYING, SELLING OR DEALING IN THE SECURITIES OF PC JEWELLER LTD., DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF TWO YEARS, FROM DATE OF THIS ORDER
|
| 730 |
|
|
SACHIN GUPTA
(PAN:AAGPG3473P)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT AND REGULATION 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PC JEWELLER LTD.
|
IMPOSED PENALTY RS.20,00,000
11-MAY-2021
|
SAT: SAT VIDE ITS ORDER DATED 21/05/2021 DISPOSED OFF THE URGENCY APPLICATION AND ALLOWED RESPONDENT THREE WEEKS TIME TO FILE REPLY AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED RESPONDENT TO SUPPLY A CERTIFIED COPY OF IMPUGNED ORDER WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND DIRECTED APPELLANT TO DEPOSIT 50% AMOUNT WITHIN THREE WEEK FROM DATE OF THIS ORDER
|
| 731 |
|
|
SACHIN MACHHINDRA VYAVAHARE
(PAN:AYOPV1299E)
|
|
|
DID NOT MAKE 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.
|
IMPOSED PENALTY RS.1,00,000
28-JUN-2022
|
|
| 732 |
|
|
SACHIN N.KANOJIYA
(PAN:DHTPK4023E)
|
|
|
DID NOT REVIEW TRADING PLAN PROPERLY TO ASCERTAIN POTENTIAL VIOLATING OF REGULATION 5(3) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MOHOTA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
30-MAR-2022
|
|
| 733 |
|
|
SACHIN SUDAM CHOUDHARY
(PAN:AHNPC5666J)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATION 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARON BIO-MEDICINE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUN-2023 TO 21-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2023 TO 21-JUN-2026
22-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2024 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO FILED THREE WEEKS THEREAFTER
|
| 734 |
|
|
SACHIN SUDAM CHOUDHARY
(PAN:AHNPC5666J)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATION 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHARON BIO-MEDICINE LTD.
|
IMPOSED PENALTY RS.10,00,000
22-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 17/01/2024 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO FILED THREE WEEKS THEREAFTER
SEBI VIDE ITS NOTICE DATED 02/02/2024 DIRECTED TO PAY RS.10,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 20/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7576 OF 2024 DATED 02/02/2024
|
| 735 |
|
|
SACHIN SURESH SHARMA
(PAN:ACWPS3831M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PITHAMPUR STEELS LTD.
|
IMPOSED PENALTY RS.1,00,000
27-SEP-2018
|
|
| 736 |
|
|
SADANAND PRAYAG MISHRA
(PAN:AFVPM2400E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHREEKRISHNA BIOTECH LTD.
|
IMPOSED PENALTY RS.1,50,000
19-DEC-2022
|
SEBI VIDE ITS NOTICE DATED 09/06/2023 DIRECTED TO PAY RS.1,61,500.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 06/07/2023 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 12/07/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,63,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 27/02/2026 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 06/07/2023
SEBI VIDE ITS ORDER DATED 27/02/2026 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER
CERTIFICATE NO.6648 OF 2023 DATED 09/06/2023
|
| 737 |
|
|
SAGAR VILAS DAUNDKAR
(PAN:BLOPD8208F)
|
|
|
DID NOT MAKE 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.
|
IMPOSED PENALTY RS.1,00,000
29-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2022 ALLOWED THE APPEALS AND QUASHED IMPUGNED ORDER.NO COSTS
SAT: SAT VIDE ITS ORDER DATED 30/01/2023 DISMISSED APPLICATION AS INFRUCTUOUS
|
| 738 |
|
|
SAHIR PATEL
(PAN:AADPP0411F)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ABC BEARINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.44,20,000 VIDE CONSENT ORDER)
18-SEP-2023
|
|
| 739 |
|
|
SAICHITHRA SWAMINATHAN
(PAN:ARWPS8560J)
|
|
|
DID NOT OBTAIN PRECLEARANCE BEFORE CREATING PLEDGE VIOLATING REGULATION 5(2)(II) OF SEBI (PIT) REGULATIONS, 2015 AND CODE OF CONDUCT AS PRESCRIBED UNDER REGULATION 9(1) READ WITH CLAUSE 6 OF SCHEDULE B OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MATRIMONY.COM LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MATRIMONY.COM LTD.
|
IMPOSED PENALTY RS.2,00,000
30-AUG-2022
|
|
| 740 |
|
|
SAKET AGARWAL
(PAN:AANPA2136J)
|
|
|
|
STARLOG ENTERPRISES LTD.
PAN:AAACA3293L
|
|
DELAY IN IMPAIRMENT RELATING TO INVESTMENT IN ALBA ASIA PVT.LTD. VIOLATING REGULATIONS 4(1)(A), 4(2)(E)(I), 33(3), 34 AND 48 OF SEBI (LODR) REGULATIONS, 2015IN MATTER OF STARLOG ENTERPRISES LTD.
MISPRESENTED FINANCIAL STATEMENTS VIOLATING REGULATIONS 4(2)(F) AND 4(2)(K) OF SEBI (PFUTP) REGULATIONS, 2003IN MATTER OF STARLOG ENTERPRISES LTD.
DID NOT MAINTAIN STRUCTURED DIGITAL DATABASE DURING SECRETARIAL AUDIT VIOLATING REGULATION 3(6) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF STARLOG ENTERPRISES LTD.
FURNISHED FALSE CERTIFICATE WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) READ WITH PART B OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF STARLOG ENTERPRISES LTD.
|
IMPOSED PENALTY RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-SEP-2025
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 37 of 50
|
