| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 7561 |
|
WIN POWER INFRA PVT.LTD.
(PAN:AAACW4060D)
|
|
|
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
|
|
| 7562 |
|
|
WIND FINANCIAL SERVICES PVT.LTD.
(PAN:AABCW2098J)
|
|
|
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
|
|
| 7563 |
|
|
WINDSOR DEALERS PVT.LTD.
(PAN:AAACU9530A)
|
|
|
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
|
|
| 7564 |
|
|
WINMORE LEASING & HOLDINGS LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) FOR YEAR 1997 AND 8(3) FOR YEARS 1998 TO 1999 OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
27-JUL-2009
|
|
| 7565 |
|
|
WINSOME DISTRIBUTORS PVT.LTD.
(PAN:AABCW1546R)
|
|
|
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
|
|
| 7566 |
|
|
WINSOME HOLDINGS & INVESTMENTS LTD.
(Along with : SIRUGUPPA SUGARS & CHEMICALS LTD.)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-MAY-2008
|
|
| 7567 |
|
|
WINSOME INTERNATIONAL LTD.
(Along with : PUNRASAR STOCK BROKING PVT.LTD.)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) FOR YEAR 1997,7(3) FOR YEAR 2004 AND 8(3) FOR YEARS 1998 TO 2006 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 20% SHARES OF WINSOME INTERNATIONAL LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
10-DEC-2008
|
|
| 7568 |
|
|
WIRES & FABRIKS (S.A.) LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,80,000 VIDE CONSENT ORDER)
22-APR-2010
|
|
| 7569 |
|
|
WISDOM FINVEST & CONSULTANCY PVT.LTD.
(PAN:AAACW2413N)
|
|
|
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
|
|
| 7570 |
|
|
WISE INVESTMENTS PVT.LTD.
(PAN:AAACW3141R)
|
|
|
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
|
|
| 7571 |
|
|
WIZARD TRADERS PVT.LTD.
(PAN:AAACW2797B)
|
|
|
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
|
|
| 7572 |
|
|
WLR RECOVERY III (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULGENCE IN SUPPRESSING INFORMATION THERBY MISLED REGULATOR AND PUBLIC IN VIOLATION OF REGULATION 45(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULENCE IN SEGREGATION AND TRANSFER OF SHARES & VOTING RIGHTS UNDER SALE & PURCHASE AGREEMENT PRIOR TO COMPLETION OF OPEN OFFER FORMALITIES IN VIOLATION OF REGULATION 22(16) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,10,23,185 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-SEP-2013
|
|
| 7573 |
|
|
WLR RECOVERY IV/ESC (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULGENCE IN SUPPRESSING INFORMATION THERBY MISLED REGULATOR AND PUBLIC IN VIOLATION OF REGULATION 45(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULENCE IN SEGREGATION AND TRANSFER OF SHARES & VOTING RIGHTS UNDER SALE & PURCHASE AGREEMENT PRIOR TO COMPLETION OF OPEN OFFER FORMALITIES IN VIOLATION OF REGULATION 22(16) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,10,23,185 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-SEP-2013
|
|
| 7574 |
|
|
WLR/GS (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULGENCE IN SUPPRESSING INFORMATION THERBY MISLED REGULATOR AND PUBLIC IN VIOLATION OF REGULATION 45(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULENCE IN SEGREGATION AND TRANSFER OF SHARES & VOTING RIGHTS UNDER SALE & PURCHASE AGREEMENT PRIOR TO COMPLETION OF OPEN OFFER FORMALITIES IN VIOLATION OF REGULATION 22(16) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,10,23,185 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-SEP-2013
|
|
| 7575 |
|
|
WOCKHARDT LTD.
(PAN:AAACW2472M)
|
|
|
|
HABIL KHORAKIWALA
PAN:AABPK4415C
|
|
|
HUZAIFA KHORAKIWALA
PAN:ABLPK6715C
|
|
|
MURTAZA KHORAKIWALA
PAN:AAZPK7040H
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE TO STOCK EXCHANGES REGARDING FORM 483 ISSUED BY USFDA TO WALUJ FACTORY VIOLATING CLAUSE 36 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
ALLEGED FAILURE IN MAKING DISCLOSURE TO STOCK EXCHANGES VIOLATING REGULATION 12(2) READ WITH CLAUSE 2.0 OF SCHEDULE II OF SEBI REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015
ALLEGED FAILURE IN ENFORCING CODE OF CONDUCT OF INTERNAL PROCEDURES AND CONDUCT OF INSIDER TRADING AND DID NOT ENSURE COMPLIANCE OF THE SAME VIOLATING REGULATIONS 12(1) AND 12(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.36,70,875 VIDE CONSENT ORDER)
22-MAY-2023
|
|
| 7576 |
|
|
WOMEN'S NEXT LOUNGERIES LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BSE AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
22-FEB-2018
|
|
| 7577 |
|
|
WONDER COMMOTRADE PVT.LTD.
(PAN:AAACW9366N)
|
|
|
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
|
|
| 7578 |
|
|
WONDER DEALERS PVT.LTD.
(PAN:AAACW9638H)
|
|
|
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
|
|
| 7579 |
|
|
WONDERFUL TRADING CO.PVT.LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDERVIOLATION OF REGULATIONS 3(I),(II) AND 3 A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND SECTION 12 A (D) AND (E) OF SEBI ACT, 1992 IN MATTER OF APOLLO TYRES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
14-NOV-2008
|
MATTER DISPOSED OFF. AS APPLICANT AGREED TO PAY RS.10,00,000 AS PER CONSENT ORDER DATED 14/11/2008
|
| 7580 |
|
|
WONDERLAND PAPER SUPPLIERS PVT.LTD.
(PAN:AABCW0544K)
|
|
|
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. |
| |
|
|
| Page 379 of 382
|
