| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 7541 |
|
WELLESLEY COMMERCIAL CO.LTD.
(PAN:AAACW4435A)
|
|
|
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
|
|
| 7542 |
|
|
WELLKNOWN FINANCIAL ADVISORY PVT.LTD.
(PAN:AABCW0492J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 7543 |
|
|
WELLMANS FINLEASE PVT.LTD.
(PAN:AABCT6562C)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF DR.WELLMAN'S HOMEOPATHIC LABORATORIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-MAY-2013
|
|
| 7544 |
|
|
WELLPLAN DEALCOMM PVT.LTD.
(PAN:AAACW8363P)
|
|
|
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
|
|
| 7545 |
|
|
WELSPUN FINTRADE LTD.
(PAN:AAACW2877J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,07,063 VIDE CONSENT ORDER)
11-SEP-2015
|
|
| 7546 |
|
|
WELSPUN FINTRADE LTD.
(PAN:AAACW2877J)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
24-SEP-2015
|
|
| 7547 |
|
|
WELSPUN INDIA LTD.
(PAN:AAACW1259N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(3) OF SEBI TAKEOVER CODE, 1997
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,44,532 VIDE CONSENT ORDER)
20-AUG-2014
|
|
| 7548 |
|
|
WELSPUN INDIA LTD.
(PAN:AAACW1259N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(3) OF SEBI TAKEOVER CODE, 1997
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,41,500 VIDE CONSENT ORDER)
30-DEC-2014
|
|
| 7549 |
|
|
WELVET FINANCIAL ADVISERS PVT.LTD.
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 20-DEC-2010 TO 19-JUN-2011
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 20-DEC-2010 TO 19-JUN-2011
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,72,20,811, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.85,60,406 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 20-DEC-2010 TO 19-JUN-2011
20-DEC-2010
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 CONFIRMED AND DIRECTED THE NOTICEE NOT TO BUY, SELL OR DEAL IN SECURITIES INCLUDING IPOS, UNTIL FURTHER ORDERS.FURTHER DIRECTED TO ISSUE SHOW CAUSE NOTICE IF ANY, ARISING FROM THE INVESTIGATIONS AT THE EARLIEST, BUT NOT LATER THAN 15 DAYS FROM THE DATE OF THIS ORDER
INTERIM ORDER DATED 01/12/2008 REVOKED, AS APPLICANT AGREED TO PAY A TOTAL OF RS.2,57,81,217.00 (RS.1,71,20,811.00 TOWARDS DISGORGEMENT, RS.85,60,406.00 TOWARDS SETTLEMENT CHARGES AND RS.1,00,000 TOWARDS SETTLEMENT CHARGES FOR WITHDRAWING PROTEST PETITION) AND AGREED TO UNDERGO DEBARMENT FROM BUYING, SELLING OR OTHERWISE ACCESSING SECURITIES MARKET FOR A PERIOD OF SIX MONTHS FROM DATE OF ORDER, AS PER CONSENT ORDER
|
| 7550 |
|
|
WEST RIVER INVESTMENTS LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.13,19,625 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-MAR-2019
|
|
| 7551 |
|
|
WESTERN VANIJYA PVT.LTD.
(PAN:AAACW8679A)
|
|
|
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
|
|
| 7552 |
|
|
WESTLIFE DEVELOPMENT LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 6(4) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WESTLIFE DEVELOPMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.5,000 VIDE CONSENT ORDER)
20-APR-2009
|
|
| 7553 |
|
|
WHITE CHIT FUND PVT.LTD.
(PAN:AAACW0017C)
|
|
|
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
|
|
| 7554 |
|
|
WHITEMOON TRADING CO.PVT.LTD.
(CIN:U51909MH2002PTC138235)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) SEBI TAKEOVER CODE, 1997
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1),13(3) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
15-JUN-2009
|
|
| 7555 |
|
|
WHITESPACE ALPHA TRUST
(PAN:AAATW5453D)
|
|
|
|
PRAVEEN DWARAKANATH
PAN:ANKPD7583J
|
|
|
RAMASWAMY SHIVARAMAN
PAN:BZOPS3579J
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-FEB-2024
|
|
| 7556 |
|
|
WHITESPACE FUND LLP
(PAN:AADFW1831G)
|
|
|
|
PRAVEEN DWARAKANATH
PAN:ANKPD7583J
|
|
|
RAMASWAMY SHIVARAMAN
PAN:BZOPS3579J
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-FEB-2024
|
|
| 7557 |
|
|
WILFUL FINANCE & INVESTMENT CO.PVT.LTD.
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF GHCL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
12-JAN-2010
|
|
| 7558 |
|
|
WILFUL FINANCE & INVESTMENT CO.PVT.LTD.
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GHCL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-JUL-2011
|
|
| 7559 |
|
|
WILLIAMSON MAGOR & CO.LTD.
(CIN:L01132WB1949PLC017715
PAN:AAACW2369P)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MCNALLY BHARAT ENGINEERING CO.LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MCNALLY BHARAT ENGINEERING CO.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,42,500 VIDE CONSENT ORDER)
22-JAN-2016
|
|
| 7560 |
|
|
WILMINGTON TRUST COLLECTIVE INVESTMENT TRUST - LAZARD/WILMINGTON ACW EX-US EQUITY ADVANTAGE FUND
(PAN:AAATW5548H)
|
|
|
ALLEGED DELAY IN INTIMATING CHANGE IN REGULATORY STATUS, CATEGORY AND SUB-CATEGORY OF FOREIGN PORTFOLIO INVESTORS TO SEBI OR DESIGNATED DEPOSITORY PARTICIPANT
ALLEGED INDULGENCE IN MAKING FRESH PURCHASES BEFORE COMPLETION OF ADDITIONAL KNOW YOUR CLIENTS (KYC) REQUIREMENTS WITHOUT HOLDING A VALID REGISTRATION CERTIFICATE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.64,35,000 VIDE CONSENT ORDER)
21-NOV-2024
|
|
| 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 378 of 382
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