| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
KARISHMA INDUSTRIES LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 82 |
|
|
KARVY STOCK BROKING LTD.
(PAN:AABCK5190K)
(Along with : KARVY REALTY (INDIA) LTD.)
|
|
|
|
RAJIV RANJAN SINGH
PAN:ASHPS8610D
|
|
PLEDGED SECURITIES WITHOUT KNOWLEDGE OF CLIENTS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED FUNDS WITH ASSOCIATE COMPANY
DID NOT MAINTAIN CONTINUOUS NETWORTH
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-APR-2023
|
|
| 83 |
|
|
KFL FINANCIAL & SECURITIES LTD.
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 84 |
|
|
KUBER FINSTOCK PVT.LTD.
(PAN:AACCK2685A)
|
|
|
TRANSACTED IN SCRIP OF BIRMINGHAM THERMOTECH LTD. WITHOUT TRANSFERRING BENEFICIAL OWNERSHIP WITH THE INTENTION OF CREATING FALSE AND MISLEADING APPEARANCE OF TRADING
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
16-DEC-2005
|
|
| 85 |
|
|
LEO GLOBAL COMMODITIES PVT.LTD.
(PAN:AAACL6967A)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 86 |
|
|
LIFE INSURANCE CORP.OF INDIA
(PAN:AAACL0582H)
|
|
|
SPONSORED MORE THAN ONE MUTUAL FUND AND HOLD MORE THAN 10% SHAREHOLDING IN MORE THAN ONE AMC AND TRUSTEE COMPANY VIOLATING REGULATION 7B OF SEBI (MF) REGULATIONS, 1996
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/01/2021 PARTLY ALLOWED THE APPEAL BY SUBSTITUTING PENALTY OF RS.10 LACS TO WARNING. NO COSTS
|
| 87 |
|
|
LIVERPOOL LTD.PARTNERSHIP,THE
|
|
|
MADE OFFER FOR SALE OF SHARES TO SUBSEQUENTLY GET THE SHARES OF ASTRAZENECA PHARMA INDIA LTD.DELISTED
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECT THAT FRESH DELISTING PROPOSAL INITIATED BY PROMOTER COMPANY ANYTIME IN FUTURE, SAME SHALL BE INITIATED ONLY AFTER OBSERVING EXTANT PROVISIONS OF SEBI ACT AND REGULATIONS FRAMED THEREUNDER AND IN LETTER AND SPIRIT
DIRECTED BSE AND NSE TO CLOSELY MONITOR ENTIRE DELISTING PROCESS OF ASTRAZENECA PHARMA INDIA LTD.
05-JUN-2020
|
|
| 88 |
|
|
LUDHIANA COMMODITIES TRADING SERVICES LTD.
(PAN:AAACL9140M)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,17,885 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-OCT-2026
09-SEP-2026
|
|
| 89 |
|
|
MAKWANA ARUNBHAI MOHANBHAI (HUF)
(PAN:AACHM6405R)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 90 |
|
|
MANISH CONSTRUCTION
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 91 |
|
|
MANSFIELD (MAURITIUS) LTD.
(PAN:AAFCM5272N)
|
|
|
MADE OFFER FOR SALE OF SHARES TO SUBSEQUENTLY GET THE SHARES OF ASTRAZENECA PHARMA INDIA LTD.DELISTED
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECT THAT FRESH DELISTING PROPOSAL INITIATED BY PROMOTER COMPANY ANYTIME IN FUTURE, SAME SHALL BE INITIATED ONLY AFTER OBSERVING EXTANT PROVISIONS OF SEBI ACT AND REGULATIONS FRAMED THEREUNDER AND IN LETTER AND SPIRIT
DIRECTED BSE AND NSE TO CLOSELY MONITOR ENTIRE DELISTING PROCESS OF ASTRAZENECA PHARMA INDIA LTD.
05-JUN-2020
|
|
| 92 |
|
|
MARWADI COMMODITY BROKER PVT.LTD.
(PAN:AADCM0610J)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,39,735 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 93 |
|
|
MATALIA COMMODITY
(PAN:AKEPM2003M)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,54,557 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-OCT-2026
09-SEP-2026
|
|
| 94 |
|
|
MAULIK INVESTMENTS
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-DEC-2005
|
|
| 95 |
|
|
MK COMMODITY BROKERS LTD.
(PAN:AADCM6390H)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,08,940 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 96 |
|
|
MURALI KRISHNA MANEPALLY (HUF)
(PAN:AAGHM2011M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 STAYED IMPUGNED ORDER IN SO FAR AS THE APPELLANT IS CONCERNED
SAT: SAT VIDE ITS ORDER DATED 28/04/2021 LISTED ALL APPEALS ON 18/06/2021 AND DIRECTED ALL THE PARTIES TO FILE THEIR WRITTEN SUBMISSIONS IN THE MEANTIME
SAT: SAT VIDE ITS ORDER DATED 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 03/01/2023 DISMISSED THE APPEAL. NO COSTS
|
| 97 |
|
|
N.K.MALPANI,M/S
|
|
|
|
N.K.MALPANI
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-DEC-2005
|
|
| 98 |
|
|
NAINESH GUNVANTLAL JAIN (HUF)
(PAN:AAAHN3298K)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 99 |
|
|
NARAYAN COMMODITY BROKERS PVT.LTD.
(PAN:AABCN6733H)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 100 |
|
|
NDA COMMODITY BROKERS PVT.LTD.
(PAN:AAACN2448L)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 8
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