| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
AHMEDALLY GULAMHUSEIN KATHAWALA
(PAN:AADPK6661N)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5) AND 10(6) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF UNION QUALITY PLASTICS LTD.
|
IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-AUG-2021
|
|
| 62 |
|
|
AHSAN MOHD.ILIYAS SHAIKH
(PAN:AMPPS9653L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 63 |
|
|
AISHWARIYA BAJAJ
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NIVEDITA MERCANTILE & FINANCING LTD.
|
IMPOSED PENALTY RS.60,000
30-JUN-2010
|
|
| 64 |
|
|
AJAI HARI DALMIA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(4) READ WITH 3(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 279324 (63.48%) SHARES OF ANNIVERSARY INVESTMENTS & AGENCIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-AUG-2008
|
|
| 65 |
|
|
AJAY K.KAKKAD
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 8(1) AND 8(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF WHITE DIAMONDS INDUSTRIES LTD.
|
IMPOSED PENALTY RS.4,00,000
26-MAR-2014
|
SAT: SAT VIDE ITS ORDER DATED 15/10/2015 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 26/03/2014 AND DIRECTED TO RESTORE THE MATTER TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 66 |
|
|
AJAY KUMAR
(PAN:AOIPK8949N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ARUN VARUN TRADE & INVESTMENT LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-DEC-2017
|
|
| 67 |
|
|
AJAY KUMAR GOEL
(PAN:AIBPG4407C)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PIONEER AGRO EXTRACTS LTD.
|
IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-MAR-2015
|
|
| 68 |
|
|
AJAY MAGAN
|
|
|
|
YOGI LEASING & FINANCE LTD.
|
|
VIOLATED SECTION 26 OF SEBI ACT, 1992
VIOLATED SECTION 27 OF SEBI ACT, 1992
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 69 |
|
|
AJAY SARAF
(PAN:AKYPS6638Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 70 |
|
|
AJIT KUMAR BHUWALKA
(PAN:AGZPB4007B)
|
|
|
DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PH TRADING LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
24-APR-2015
|
|
| 71 |
|
|
AJIT R.SANGHVI
|
|
|
|
STERLING CONSULTANCY SERVICES PVT.LTD.
|
|
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 350000 SHARES OF WASHINGTON SOFTWARE LTD. MAKING 5.07% HOLDING IN AGGREGATE
|
IMPOSED PENALTY RS.1,00,000
07-JUN-2007
|
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 72 |
|
|
AJIT THOMAS
(PAN:AAAPT8581H)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AVT NATURAL PRODUCTS LTD.
|
IMPOSED PENALTY RS.40,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-SEP-2014
|
|
| 73 |
|
|
AJMAIR SINGH BHULLAR
|
|
|
|
JAMES HOTELS 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 FOR YEARS 1997-1998 TO 2004-2005 IN MATTER OF ACQUISITION OF 20% SHARES OF JAMES HOTELS LTD.
|
REACHED SETTLEMENT ( CONSENT ORDER)
05-DEC-2008
|
|
| 74 |
|
|
AJMAN S.LAILA
|
|
|
|
OXFORD INDUSTRIES LTD.
CIN:L17112MH1980PLC023572
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-AUG-2002
|
SAT: ORDER UPHELD AND PENALTY AMOUNT REDUCED TO RS.50,000.NO ORDER AS TO COSTS
|
| 75 |
|
|
AKASH M.AMBANI
(PAN:AIBPA1587H)
|
|
|
|
KANKHAL TRADING LLP
PAN:AAACK1774A
|
|
|
RELIANCE INDUSTRIES HOLDING PVT.LTD.
|
|
|
RELIANCE REALTY LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF RELIANCE INDUSTRIES LTD.
|
IMPOSED PENALTY RS.25,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
07-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 23/12/2021 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 17/01/2022 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 03/02/2022 RESPONDENT FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 19/10/2022 CONDONED THE DELAY IN FILING OF APPEAL. REJOINDER, IF ANY, TO BE FILED BY APPELLANT ON OR BEFORE NEXT DATE
|
| 76 |
|
|
AKBAL NARAYAN SINGH
(PAN:ABFPS9453D)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 11(1) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF CAMSON BIO TECHNOLOGIES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUN-2021 TO 21-JUN-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUN-2021 TO 21-JUN-2026
DIRECTED NOT TO LIQUIDATE EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS
22-JUN-2021
|
|
| 77 |
|
|
AKBAR MUN
|
|
|
VIOLATED SEBI TAKEOVER REGULATIONS
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
14-JUL-2003
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.50,000 FROM RS.2,00,000
|
| 78 |
|
|
AKEEL S.LAILA
|
|
|
|
OXFORD INDUSTRIES LTD.
CIN:L17112MH1980PLC023572
|
|
DID NOT ADHERE TO SEBI TAKEOVER REGULATIONS, 1997
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-AUG-2002
|
SAT: ORDER UPHELD AND PENALTY AMOUNT REDUCED TO RS.50,000.NO ORDER AS TO COSTS
|
| 79 |
|
|
AKHILESH B.ACHARYA
(PAN:AAEHA0777Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 80 |
|
|
AKHILESH CHITLANGIA
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO SEBI AS REQUIRED UNDER REGULATION 3(3) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 11,97,425 (32.87%) EQUITY SHARES OF SARDA PLYWOOD INDUSTRIES LTD.
|
IMPOSED PENALTY RS.10,000 ALONG WITH OTHER ENTITIES/PERSONS
20-OCT-2008
|
|
| 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 4 of 148
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