| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 8581 |
|
VIVEK MEHROTRA
(PAN:AAHPM4127B)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING OF HDFC AMC TRADES-II AND MADE PROFIT OF RS.210.18 LACS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF SEBI PFUTP REGULATIONS, 2003 IN MATTER OF HDFC AMC TRADES II
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,76,64,824 VIDE CONSENT ORDER)
17-SEP-2019
|
|
| 8582 |
|
|
VIVEK NAGPAL
|
|
|
|
PADMINI TECHNOLOGIES LTD.
CIN:L25202DL1990PLC039395
|
|
INDULGED IN PRICE MANIPULATION AND CREATION OF ARTIFICIAL MARKET IN SCRIP OF SHONKH TECHNOLOGIES INTERNATIONAL LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-OCT-2007 TO 15-OCT-2012
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-OCT-2007 TO 15-OCT-2012
16-OCT-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.55,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 16-OCT-2007 TO 15-OCT-2012
11-AUG-2009
|
SAT: IMPUGNED ORDER DATED 16/10/2007 DISPOSED OFF, AS APPLICANT AGREED TO PAY A SUM OF RS.10,00,000 TOWARDS SETTLEMENT CHARGES AND RS.55,000 TOWARDS LEGAL EXPENSES ALONGWITH VOLUNTARILY UNDERTOOK TO REMAIN OUT OF CAPITAL MARKET FOR A PERIOD OF FIVE YEARS INCLUDING PERIOD FOR WHICH THEY HAVE REMAINED OUT OF CAPITAL MARKET IN TERMS OF IMPUGNED ORDER DATED 16/10/2007
|
| 8583 |
|
|
VIVEK PACHERIWAL
(PAN:BUAPP9195G)
|
|
|
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
|
|
| 8584 |
|
|
VIVEK RAJENDRA SAH
(PAN:ACNPS4085N)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 10(5), 10(6) AND 10(7) OF SAST REGULATIONS, 2011 IN MATTER OF G.P.PETROLEUMS LTD. (FORMERLY KNOWN AS SAH PETROLEUMS LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,16,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 8585 |
|
|
VIVEK SINGHANIA
(PAN:ASSPS6753N)
|
|
|
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
|
|
| 8586 |
|
|
VIVEK TALWAR
(PAN:AAAPT3994Q)
|
|
|
|
NITCO LTD.
PAN:AAACN1674N
|
|
ALLEGED CERTIFICATION OF INCORRECT COMPLIANCE CERTIFICATES VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF NITCO LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.68,25,000 VIDE CONSENT ORDER)
28-FEB-2025
|
|
| 8587 |
|
|
VRINDA ADUKIA
(PAN:AJAPA6177F)
|
|
|
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
|
|
| 8588 |
|
|
VRINDA DEVI AGARWAL
(PAN:ADUPA8472D)
|
|
|
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, LEGAL EXPENSES RS.13,570 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 8589 |
|
|
VRINDA KEDIA
(PAN:AVRPK8450E)
|
|
|
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
|
|
| 8590 |
|
|
VRISHALI JAIN
(PAN:AJJPJ2460K)
|
|
|
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
|
|
| 8591 |
|
|
VRUNDA TIKLE
(PAN:AFBTP3331B)
|
|
|
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
|
|
| 8592 |
|
|
VURAKARANAM RAMAKRISHNA
(PAN:ABMPV2797E)
|
|
|
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 3(1) READ WITH 25(5) OF SAST REGULATIONS, 2011 IN THE MATTER OF IIRM HOLDINGS INDIA LTD. (FORMERLY KNOWN AS SUDEV INDUSTRIES LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,12,500 VIDE CONSENT ORDER)
31-JAN-2025
|
|
| 8593 |
|
|
VYOMESH MAHIPATRAY SHAH
(PAN:AAHPS2338C)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF HUBTOWN LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,22,800 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-OCT-2017
|
|
| 8594 |
|
|
VYOMESH MAHIPATRAY SHAH
(PAN:AAHPS2338C)
|
|
|
|
HUBTOWN LTD.
PAN:AAACA6101D
|
|
|
HUBTOWN LTD.
PAN:AAACA6101D
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,85,625 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
19-JAN-2016
|
ORDER DATED 04/06/2013 PASSED BY SEBI DISPOSED OFF, AS APPLICANTS AGREED TO PAY RS.12,85,625.00 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 19/01/2016
SEBI VIDE ITS ORDER DATED 22/07/2014 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 8595 |
|
|
WADHWANIA N.VAHIDABEN
(PAN:AATPW1676M)
|
|
|
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
|
|
| 8596 |
|
|
WAQAR NAQVI
(PAN:ABYPN8115G)
|
|
|
ALLEGED FAILURE IN HAVING ANY POLICIES AND PROCEDURES TO DEAL WITH EXCEPTIONAL EVENTS WHERE MARKET QUOTATIONS ARE NO LONGER RELIABLE FOR PARTICULAR SECURITY VIOLATING CLAUSE (C) OF INVESTMENT VALUATION NORMS AS SPECIFIED IN EIGHTH SCHEDULE UNDER REGULATIONS 25(19) AND 47 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 READ WITH REGULATION 18(9) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF TAURUS MUTUAL FUND
ALLEGED FAILURE IN REVIEWING VALUATION POLICY VIOLATING CLAUSE (D) OF INVESTMENT VALUATION NORMS AS SPECIFIED IN EIGHTH SCHEDULE UNDER REGULATIONS 25(19) AND 47 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 READ WITH REGULATIONS 18(9), 25(6A) AND 18(4)(D) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF TAURUS MUTUAL FUND
ALLEGED FAILURE IN HAVING ANY POLICY TO ADDRESS CONFLICT OF INTEREST VIOLATING CLAUSE (E) OF INVESTMENT VALUATION NORMS AS SPECIFIED IN EIGHTH SCHEDULE UNDER REGULATIONS 25(19) AND 47 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 READ WITH REGULATIONS 18(9), 25(6A) AND 18(4)(D) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF TAURUS MUTUAL FUND
ALLEGED FAILURE IN DETECTING AND PREVENT INCORRECT VALUATION VIOLATING CLAUSE (H) OF INVESTMENT VALUATION NORMS AS SPECIFIED IN EIGHTH SCHEDULE UNDER REGULATIONS 25(19) AND 47 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF TAURUS MUTUAL FUND
ALLEGED INDULGENCE IN DECLARATION OF INCORRECT NAV VIOLATING CLAUSE (G) OF EIGHTH SCHEDULE UNDER REGULATIONS 25(19) AND 47 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF TAURUS MUTUAL FUND
ALLEGED FAILURE IN ENSURING STAMPING MACHINE NOT TO BE TEMPERED WITH DATE AND TIME VIOLATING SEBI CIRCULAR DATED 11/10/2006 READ WITH REGULATION 25(6A) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF TAURUS MUTUAL FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,67,250 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUL-2021
|
|
| 8597 |
|
|
WILO SE
(PAN:AAACW6513H)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF MPF SYSTEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,97,500 VIDE CONSENT ORDER)
13-FEB-2017
|
|
| 8598 |
|
|
WRICHA AGARWAL
(PAN:AEXPT3125Q)
|
|
|
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
|
|
| 8599 |
|
|
Y.K.DALMIA
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER REGULATION 3(1) (C) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 15,00,000 (25.42%) SHARES OF SURAJ PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,00,000, ADMINISTRATION CHARGES RS.25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-NOV-2009
|
|
| 8600 |
|
|
Y.L.AGARWAL
|
|
|
|
HIMACHAL FUTURISTIC COMMUNICATIONS LTD.
PAN:AAACH4041D
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF HIMACHAL FUTURISTIC COMMUNICATIONS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JAN-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 430 of 433
|
