| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 801 |
|
SHAM SUNDER GUPTA
(PAN:AISPG6871B)
|
|
|
DID NOT MAKE DISCLOSURE OF TRADING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF DMC INTERNATIONAL LTD. (NOW KNOWN AS DMC EDUCATION LTD.)
DID NOT GET PRE CLERANCE OF TRADES VIOLATING CLAUSES 1.2, 3.3.1,4.2 AND 6 (C) OF CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES SPECIFIED IN PART A OF SCHEDULE I READ WITH REGULATION 12 (1) AND 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DMC INTERNATIONAL LTD. (NOW KNOWN AS DMC EDUCATION LTD.)
|
IMPOSED PENALTY RS.6,00,000
31-JUL-2018
|
SEBI VIDE ITS NOTICE DATED 29/07/2020 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
SEBI VIDE ITS ORDER DATED 17/08/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF MR.SHAM SUNDER GUPTA TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 04/10/2022 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 29/07/2020
SEBI VIDE ITS ORDER DATED 04/10/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2936 OF 2020 DATED 24/06/2020
|
| 802 |
|
|
SHAM SUNDER GUPTA
(PAN:AISPG6871B)
|
|
|
|
DMC EDUCATION LTD.
CIN:L80211DL1984PLC018554
PAN:AACCD5023B
|
|
ENTERED INTO OPPOSITE TRANSACTIONS WITHIN SIX MONTHS FROM PRIOR TRANSACTION WHILE TRADING WINDOW WAS CLOSED VIOLATING CLAUSES 3.3.1 AND 4.2 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.
MADE WRONG DISCLOSURE OF SHAREHOLDING OF PROMOTER GROUP TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF EQUITY LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF DMC EDUCATION LTD.
|
IMPOSED PENALTY RS.8,00,000
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 NOTICE DATED 04/10/2022 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 13/09/2018
SEBI VIDE ITS ORDER DATED 04/10/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.1727 OF 2018 DATED 13/09/2018
|
| 803 |
|
|
SHANTABEN J.TIMBADIA
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 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.2,00,000
16-NOV-2018
|
|
| 804 |
|
|
SHARDA JAIN
(PAN:AAKPJ8759P)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.26,66,642, DISGORGEMENT AMOUNT RS.17,92,700 VIDE CONSENT ORDER)
10-JUN-2022
|
|
| 805 |
|
|
SHARWARY V.DESAI
(PAN:AHAPD5917E)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIABULLS VENTURES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,31,250 VIDE CONSENT ORDER)
06-OCT-2021
|
|
| 806 |
|
|
SHASHI KANT DALMIA
(PAN:AMSPD0413A)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PARAG MILK FOODS LTD.
DID NOT OBTAIN PRE-CLEARANCE OF TRADES FROM COMPLIANCE OFFICER VIOLATING CLAUSE 6 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 PARAG MILK FOODS LTD.
|
IMPOSED PENALTY RS.10,00,000
13-JAN-2023
|
SEBI VIDE ITS NOTICE DATED 17/03/2023 DIRECTED TO PAY RS.12,37,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 12/04/2023 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 20/04/2023 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 12/04/2023
SEBI VIDE ITS ORDER DATED 20/04/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6327 OF 2023 DATED 17/03/2023
SAT: SAT VIDE ITS ORDER DATED 16/05/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER MAY BE FILE WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/05/2024 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.10 LAC FROM RS.12 LAC
|
| 807 |
|
|
SHASHI KANT TIWARI
(PAN:AAJPT5411H)
|
|
|
ENTERED INTO OPPOSITE TRANSACTION WITHIN SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSE 4.2 OF SCHEDULE I OF PART SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBISEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
|
IMPOSED PENALTY RS.1,00,000
31-JUL-2023
|
|
| 808 |
|
|
SHASHWAT AGARWAL
(PAN:ABUPA2590C)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NIKKI GLOBAL FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,62,109 VIDE CONSENT ORDER)
12-DEC-2019
|
|
| 809 |
|
|
SHASHWAT KUMAR GUPTA
(PAN:AKAPG1370K)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MINDTREE LTD.
|
IMPOSED PENALTY RS.1,00,000
02-MAR-2022
|
|
| 810 |
|
|
SHATRUGHAN NATH BHATT
(PAN:AGVPB1966B)
|
|
|
DELAY IN MAKING 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.
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.2,00,000
10-MAR-2022
|
|
| 811 |
|
|
SHEETAL AVINASH PITALE
(PAN:ARBPP1512C)
|
|
|
DID NOT MAKE DISCLOSURES OF RELEASE OF PLEDGE AND INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
DELAY IN MAKING DISCLOSURES OF CREATION OF PLEDGE AND INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
|
IMPOSED PENALTY RS.4,00,000
17-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 19/12/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.4,29,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6404 OF 2023 DATED 12/04/2023
|
| 812 |
|
|
SHEETAL S.SHAH
(PAN:ANYPS3796C)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAWACA BUSINESS MACHINES LTD.
|
IMPOSED PENALTY RS.1,00,000
28-APR-2022
|
|
| 813 |
|
|
SHEFALI AMEEN KHWAJA
(PAN:ADTPV2598L)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) & 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.6,00,000
02-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 23/11/2021 DIRECTED APPELLANTS TO DEPOSIT RS.30 LAC ON OR BEFORE NEXT DATE BEFORE THE RESPONDENT. IF THE AMOUNT DEPOSITED, THE BALANCE AMOUNT SHALL NOT BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 15/06/2022 DISMISSED THE APPEAL. NO COSTS
|
| 814 |
|
|
SHEFALI AMEEN KHWAJA
(PAN:ADTPV2598L)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PALRED TECHNOLOGIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) & 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
DIRECTED TO DISGORGE RS.13,91,337
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-AUG-2019 TO 12-AUG-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-AUG-2019 TO 12-AUG-2022
DIRECTED NOT TO ASSOCIATE WITH ANY LISTED COMPANY IN CAPACITY OF DIRECTOR OR OTHERWISE FROM 13-AUG-2019 TO 12-AUG-2022
04-FEB-2016
|
SEBI VIDE ITS ORDER DATED 13/08/2019 ALLOWED TO WITHDRAW THE DIFFERENCE BETWEEN AMOUNT DEPOSITED IN ESCROW ACCOUNTS OPENED PURSUANT TO DIRECTIONS PASSED IN INTERIM ORDER DATED 04/02/2016 AND RECOMPUTED AMOUNT OF DISGORGEMENT
SAT: SAT VIDE ITS ORDER DATED 15/06/2022 DISMISSED THE APPEAL. NO COSTS
|
| 815 |
|
|
SHEFALI BHUPENDRA MEHTA
(PAN:ACAPM7034N)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ADF FOODS LTD.
|
IMPOSED PENALTY RS.40,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 06/02/2023 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 17/02/2023 DIRECTED TO PAY RS.43,,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 01/03/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6248 OF 2023 DATED 17/02/2023
|
| 816 |
|
|
SHEFALI BHUPENDRA MEHTA
(PAN:ACAPM7034N)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 4(1) READ WITH SECTIONS 12A(D) AND 12A(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF ADF FOODS LTD.
|
DIRECTED TO DISGORGE RS.39,37,384
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
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
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 30-MAR-2021 TO 29-SEP-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-FEB-2019
|
SEBI VIDE ITS ORDER DATED 30/03/2021 DIRECTED TO 1) RESTRAIN FROM ACCESSING THE SECURITIES MARKET AND ARE FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH THE SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR SIX MONTHS FROM DATE OF THIS ORDER 2) JOINTLY AND SEVERALLY, DISGORGE THE AMOUNT OF UNLAWFUL GAINS OF RS.39,37,384.10 AND TRANSFER AMOUNT DEPOSITED IN ESCROW ACCOUNT (ALONG WITH INTEREST) TO IPEF WITHIN A PERIOD OF 45 DAYS 4) DURING THE PERIOD OF RESTRAINT THE EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS SHALL REMAIN FROZEN
SAT: SAT VIDE ITS ORDER DATED 05/10/2021 CONDONED THE DELAY OF 49 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/09/2022, DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER MAY BE FILED THREE WEEKS THEREAFTER AND NO FURTHER RECOVERY TO BE MADE BY APPELLANT DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 07/09/2022 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 17/10/2022 ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 18/01/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 06/02/2023 DISMISSED THE APPEAL. NO COSTS
|
| 817 |
|
|
SHEFALI BHUPENDRA MEHTA
(PAN:ACAPM7034N)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 4(1) READ WITH SECTIONS 12A(D) AND 12A(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF ADF FOODS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-MAR-2021 TO 29-MAR-2022
22-FEB-2019
|
SEBI VIDE ITS ORDER DATED 30/03/2021 DIRECTED TO 2) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF ADF FOODS LTD., DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER, FOR ONE YEAR
SAT: SAT VIDE ITS ORDER DATED 05/10/2021 CONDONED THE DELAY OF 49 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 07/09/2022, DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER MAY BE FILED THREE WEEKS THEREAFTER AND NO FURTHER RECOVERY TO BE MADE BY APPELLANT DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 07/09/2022 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 17/10/2022 ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY
SAT: SAT VIDE ITS ORDER DATED 18/01/2023 CONDONED THE DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 06/02/2023 DISMISSED THE APPEAL. NO COSTS
|
| 818 |
|
|
SHILPA SHETTY KUNDRA
(PAN:ACPPS6622P)
|
|
|
|
VIAAN INDUSTRIES LTD.
CIN:291306
PAN:AABCH2363M
|
|
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 VIAAN INDUSTRIES LTD.
|
IMPOSED PENALTY RS.3,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JUL-2021
|
|
| 819 |
|
|
SHIVANAND SINGH
(PAN:BLQPS8451M)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED REGULATIONS 13(1), 13(3), 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER 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 TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
22-JUN-2021
|
|
| 820 |
|
|
SHIVANAND SINGH
(PAN:BLQPS8451M)
|
|
|
INDULGED IN FUNDING ACTIVITIES CARRIED OUT BY COMPANY IN CONNIVANCE WITH ITS PROMOTER ENTITIES FOR CONVERSION OF WARRANTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(1) AND 13(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.4,00,000
30-MAY-2022
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 41 of 50
|
