| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 761 |
|
SANJAY DUTT
(PAN:ABPPD3025L)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(II) AND 4 OF SEBI (PIT) REGULATIONS, 1992 AND REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NEW DELHI TELEVISION 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 27-NOV-2020 TO 26-NOV-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-NOV-2020
|
|
| 762 |
|
|
SANJAY GUPTA
(PAN:ABMPG6231C)
|
|
|
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 SUPREME TEX MART LTD.
|
IMPOSED PENALTY RS.2,00,000
31-MAY-2021
|
SEBI VIDE ITS NOTICE DATED 27/08/2021 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
SEBI VIDE ITS ORDER DATED 20/09/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF MR.SANJAY GUPTA TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 24/09/2021 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 27/08/2021
|
| 763 |
|
|
SANJAY JETHALAL SONI
(PAN:BVSPS9741N)
|
|
|
DID NOT MAKE 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 SAIANAND COMMERCIAL LTD. (ERSTWHILE OREGON COMMERCIAL LTD.)
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAIANAND COMMERCIAL LTD. (ERSTWHILE OREGON COMMERCIAL LTD.)
|
IMPOSED PENALTY RS.4,00,000
27-JUL-2018
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2019 PARTLY ALLOWED THE APPEAL BY REDUCING TOTAL PENALTY AMOUNT TO RS.5 LACS TO BE PAID JOINTLY AND SEVERALLY FROM RS.5 LACS EACH AND AFFIRMED PENALTY AMOUNT OF RS.4 LACS AND RS.5 LACS ON MR.SANJAY JETHALAL SONI AND MS.KRUPA SANJAY SONI AND DIRECTED TO PAY WITHIN FOUR WEEKS FROM THE DATE OF THIS ORDER
|
| 764 |
|
|
SANJAY KUMAR
(PAN:AGZPK9556G)
|
|
|
ENTERED INTO OFF-MARKET TRANSACTION OF 25000 SHARES VIOLATING SECTION 13, 16 AND 18 READ WITH SECTIONS 13, 16 AND 2(I) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF CITYON SYSTEMS (INDIA) LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CITYON SYSTEMS (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
27-FEB-2020
|
SEBI VIDE ITS NOTICE DATED 13/11/2020 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) 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
|
| 765 |
|
|
SANJAY KUMAR SHARMA
(PAN:CMYPS4657K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KUSHAL LTD.
TRADED WHILE TRADING WINDOW WAS CLOSED VIOLATING CLAUSE 4 OF SCHEDULE B CODE OF CONDUCT READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KUSHAL LTD.
|
IMPOSED PENALTY RS.2,50,000
08-OCT-2021
|
SEBI VIDE ITS NOTICE DATED 28/03/2022 DIRECTED TO PAY RS.2,65,055.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/10/2023 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 16/02/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,23,500.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS NOTICE DATED 29/02/2024 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 16/10/2023
SEBI VIDE ITS ORDER DATED 29/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER
CERTIFICATE NO.4546 OF 2022 DATED 22/03/2022
|
| 766 |
|
|
SANJAY KUMAR SINGHAL
(PAN:AXNPS0187N)
|
|
|
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 TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
29-SEP-2022
|
|
| 767 |
|
|
SANJAY PATIDAR
(PAN:AOGPP8679A)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE FOR TRADES AND ENTERED INTO CONTRA TRADES WITHIN SIX MONTHS AND MADE UNLAWFUL GAINS VIOLATING CLAUSES 6 AND 10 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHAKTI PUMPS (INDIA) LTD.
|
IMPOSED PENALTY RS.3,00,000
01-DEC-2022
|
SEBI VIDE ITS ORDER DATED 20/04/2023 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 02/05/2023 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 20/04/2023
SEBI VIDE ITS ORDER DATED 02/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6254 OF 2023 DATED 20/02/2023
SAT: SAT VIDE ITS ORDER DATED 31/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/04/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED APPELLANT TO DEPOSIT PENALTY AMOUNT PURSUANT TO IMPUGNED ORDER. IF THE AMOUNT DEPOSITED, ACCOUNT WOULD BE DEFREEZE WITHIN FORTY EIGHT HOURS
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 01/12/2022
|
| 768 |
|
|
SANJAY SINGAL
(PAN:ANRPS7985C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 2015 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHREEKRISHNA BIOTECH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SHREEKRISHNA BIOTECH LTD.
|
IMPOSED PENALTY RS.1,00,000
20-DEC-2022
|
|
| 769 |
|
|
SANJEEV ANAND
(PAN:ACAPA7845F)
|
|
|
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 VARUN BEVERAGES LTD.
|
IMPOSED PENALTY RS.3,00,000
24-FEB-2022
|
|
| 770 |
|
|
SANJEEV BUBNA
(PAN:AECPB9459C)
|
|
|
|
INDISTOCK PVT.LTD.
PAN:AAACI6554J
|
|
TRADED WHILE IN POSSESSION OF UPSI AND COMMUNICATED UPSI TO OTHERS VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF LUX INDUSTRIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 24-JAN-2022 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
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
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.1,28,68,738 ALONG WITH OTHER ENTITIES/PERSONS
24-JAN-2022
|
SEBI VIDE ITS ORDER DATED 27/05/2022 DIRECTED TO A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF LUX INDUSTRIES LTD., EITHER DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDERS B) RESTRAINT RELATED TO BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN RESPECT OF LUX INDUSTRIES LTD. NOT TO PROHIBIT THE CREDIT OF SHARES TO BE RECEIVED ON ACCOUNT OF STOCK OPTION, BONUS ETC. ISSUED BY THE COMPANY C) FUNDS DEPOSITED BY ENTITIES IN INTEREST BEARING ESCROW ACCOUNT/FDR TO REMAIN IN SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 06/11/2023 A) REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 24/01/2022 WHICH WERE CONFIRMED WITH MODIFICATIONS VIDE ORDER DATED 27/05/2022 B) RELEASED AMOUNT IMPOUNDED PURSUANT TO INTERIM ORDER DATED 24/01/2022 READ WITH ORDER DATED 27/05/2022 ALONG WITH INTEREST IF ANY, ACCRUED ON THE SAID AMOUNT
|
| 771 |
|
|
SANJEEV KUMAR
(PAN:BJMPS6988P)
(Along with : BINDU SHARMA)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(2) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIAN ENERGY EXCHANGE LTD.
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.2,18,77,312 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS IN THEIR NAMES TO CREDIT OR DEPOSIT IMPOUNDING AMOUNT WITH A LIEN MARK IN FAVOUR OF SEBI AND AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-OCT-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS WITHOUT PERMISSION OF SEBI
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF COMPLYING WITH THIS ORDER
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES TILL SUCH TIME UNLAWFUL GAINS CREDITED TO FIXED DEPOSIT ACCOUNT EXCEPT WITH PRIOR PERMISSION OF SEBI
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
15-OCT-2025
|
SAT: SAT VIDE ITS ORDER DATED 17/12/2025 A) DIRECTED APPELLANTS TO SUBMIT AFFIDAVIT TO SEBI WITH CERTIFICATE OF VALUATION OF IMMOVABLE PROPERTIES BY CERTIFIED VALUER EMPANELMENT WITH INCOME TAX DEPARTMENT WITHIN ONE WEEK FROM DATE OF THIS ORDER B) STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF RS.15 CRORE IN NATIONALIZED BANK WITH LIEN MARKED IN FAVOUR OF SEBI C) SEBI TO PROVIDE INSPECTION WITHIN ONE WEEK AND APPELLANTS TO FILE REPLY/SUBMISSION WITHIN FOUR WEEKS THEREAFTER. NO COSTS
|
| 772 |
|
|
SANJEEV MISRA
(PAN:ADXPM3586F)
|
|
|
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.
DID NOT EXECUTE TRADE AS PER TRADING PLAN VIOLATING REGULATION 5(4) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MATRIMONY.COM LTD.
|
IMPOSED PENALTY RS.2,00,000
30-AUG-2022
|
|
| 773 |
|
|
SANTOSH K.RAJPURIA
(PAN:AAYPR6561R)
|
|
|
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
|
|
| 774 |
|
|
SANTOSH S.CHITNISH
(PAN:AKWPC9499H)
|
|
|
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 TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
24-JAN-2022
|
|
| 775 |
|
|
SANYA HAIDER
(PAN:AKCPH1028B)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DEN NETWORKS LTD.
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JUN-2024
|
|
| 776 |
|
|
SAPNA SARAOGI
(PAN:AMWPK4406A)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I), 3(II) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAINT GOBAIN SEKURIT INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.26,77,500 VIDE CONSENT ORDER)
23-JUL-2020
|
|
| 777 |
|
|
SARATH KUMAR MULUGU
(PAN:BQYPK6319K)
|
|
|
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 TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
29-APR-2022
|
|
| 778 |
|
|
SARIKA GAGGAR
(PAN:AGXPG4869J)
|
|
|
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 GARNET INTERNATIONAL LTD.
ENTERED INTO OPPOSITE TRANSACTIONS DURING NEXT SIX MONTHS FOLLOWING PRIOR TRANSACTIONS VIOLATING CODE OF CONDUCT AS PRESECRIBED UNDER CLAUSE 10 OF SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GARNET INTERNATIONAL LTD.
|
IMPOSED PENALTY RS.2,00,000
13-OCT-2021
|
|
| 779 |
|
|
SAROJ GUPTA
(PAN:AAPPG3976N)
|
|
|
|
DMC EDUCATION LTD.
CIN:L80211DL1984PLC018554
PAN:AACCD5023B
|
|
VIOLATED CLAUSE 1.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES AS UNDER REGULATION 12(1) SCHEDULE I SPECIFIED IN PART A OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DMC EDUCATION LTD.
|
IMPOSED PENALTY RS.2,00,000
31-OCT-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 13/09/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
SEBI VIDE ITS ORDER DATED 17/11/2021 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNT OF MR.SAROJ GUPTA TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 780 |
|
|
SAROJ GUPTA
(PAN:AAPPG3976N)
|
|
|
DID NOT ADHERE TO CLAUSE 1.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES SPECIFIED IN PART A OF SCHEDULE I OF EBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DMC INTERNATIONAL LTD. (NOW KNOWN AS DMC EDUCATION LTD.)
|
IMPOSED PENALTY RS.1,00,000
31-JUL-2018
|
SEBI VIDE ITS NOTICE DATED 01/08/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS 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
|
| 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 39 of 50
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