| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 7521 |
|
W H BRADY & CO.LTD.
(Along with : BRADY & MORRIS ENGINEERING CO.LTD.)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 7522 |
|
|
WAAREE ENERGIES LTD.
(PAN:AAACA4043J)
|
|
|
ALLEGED FAILURE TO COMPLETE PERIOD OF THREE YEARS AS PROMOTER TO BE TREATED AS QUALIFYING PERSONS FOR ACQUISITION PURSUANT TO INTER-SE TRANSFER OF SHARES OF WAAREE RENEWABLE TECHNOLOGIES LTD. AS REQUIRED UNDER REGULATION 10(1)(A)(II) OF SAST REGULATIONS, 2011
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
02-JUL-2024
|
|
| 7523 |
|
|
WALCHAND PEOPLEFIRST LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(B) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,06,562 VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 7524 |
|
|
WALLACE BROTHERS TRADING & INDUSTRIAL LTD.
(PAN:AABCW4361N)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE AFTER BECOME PART OF THE PROMOTER GROUP VIOLATING REGULATION 7(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.34,70,785 VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 7525 |
|
|
WALLACE BROTHERS TRADING & INDUSTRIAL LTD.
(PAN:AABCW4361N)
|
|
|
DID NOT ADHERE TO ACCOUNTING STANDARD VIOLATING REGULATION 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
ACQUIRED SHARES OF BOMBAY BURMAH TRADING CORP.LTD. BEYOND THRESHOLD LIMIT OF 5% WITHOUT MAKING OPEN OFFER VIOLATING REGULATIONS 5(1) READ WITH 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30 OF SAST REGULATIONS, 2011 IN MATTER OF BOMBAY BURMAH TRADING CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,46,79,935 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
10-JAN-2025
|
|
| 7526 |
|
|
WALLFORT SHARE & STOCK BROKERS PVT.LTD.
(PAN:AAACW0750G)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.13,17,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 7527 |
|
|
WARDEN CONSTRUCTION & FINANCE LTD.
(PAN:AAACW0453G)
|
|
|
ALLEGED FAILURE IN OBTAINING REGISTRATION OF SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,80,000 VIDE CONSENT ORDER)
29-OCT-2018
|
|
| 7528 |
|
|
WARTZ TRACOM PVT.LTD.
(PAN:AAACW2844H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7529 |
|
|
WATCO ENGINEERING CO.PVT.LTD.
(PAN:AAACW0469Q)
|
|
|
ALLEGED DELAY 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 CHANKYA INVESTMENTS LTD. (PRESENTLY KNOWN AS ANTARIKSH INDUSTRIES LTD.)
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,31,250 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-AUG-2017
|
|
| 7530 |
|
|
WAVE ENTERPRISES
(PAN:AAAFW8536D)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,07,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 7531 |
|
|
WAY2WEALTH COMMODITIES PVT.LTD.
(PAN:AAACW6445N)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 7532 |
|
|
WAZIR FINANCIAL SERVICES LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BIRLA COTSYN (INDIA) LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF BIRLA COTSYN (INDIA) LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,250 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-FEB-2017
|
|
| 7533 |
|
|
WB GANAPATI SPONGE PROJECTS PVT.LTD.
(PAN:AAACW8393H)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7534 |
|
|
WEALTH DISCOVERY COMM
(PAN:AABCW0569Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 7535 |
|
|
WEALTH DISCOVERY SECURITIES PVT.LTD.
(PAN:AABCW0387J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7536 |
|
|
WEALTH TRENDS
(PAN:AAAFW7061R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7537 |
|
|
WEED INVESTMENT & FINANCE PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NANDAN EXIM LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
23-MAY-2011
|
|
| 7538 |
|
|
WEGMANS FINANCIAL SERVICES LTD.
(PAN:AAACW0819J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 7539 |
|
|
WELCOME ENTERPRISES
(PAN:AAAFW9275F)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,72,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 7540 |
|
|
WELKIN TRADECOMM PVT.LTD.
(PAN:AAACW9486D)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 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 377 of 382
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