| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
NIDHI NEGANDHI
(PAN:AAEPV6916G)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UFO MOVIEZ INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.19,68,750, DISGORGEMENT AMOUNT RS.7,08,297, INTEREST RS.2,87,588 VIDE CONSENT ORDER)
06-JUL-2021
|
|
| 82 |
|
|
NIMAI PAREKH
(PAN:DZRPP2884N)
|
|
|
|
DELOITTE TOUCHE TOHMATSU INDIA LLP
|
|
ALLEGED INDULGENCE IN COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN THE MATTER OF MERGER OF HDFC LTD. AND HDFC BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.39,00,000 VIDE CONSENT ORDER)
20-DEC-2024
|
|
| 83 |
|
|
NISHAT SHAILESH GUPTE
(PAN:AQDPG4932E)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITED SPRITS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,23,500 VIDE CONSENT ORDER)
10-NOV-2020
|
|
| 84 |
|
|
NITAN CHHATWAL
(PAN:AAGPC9892G)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SURABHI CHEMICALS & INVESTMENTS LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SURABHI CHEMICALS & INVESTMENTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,92,263 VIDE CONSENT ORDER)
29-MAR-2023
|
|
| 85 |
|
|
P.SUNEELA RANI
(PAN:AENPP3112K)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3 AND 4 READ OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AUROBINDO PHARMA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,64,00,000, LEGAL EXPENSES RS.60,000 VIDE CONSENT ORDER)
06-MAY-2020
|
|
| 86 |
|
|
P.V.RAMPRASAD REDDY
(PAN:AENPP3110M)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3 AND 4 READ OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AUROBINDO PHARMA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,60,00,000, LEGAL EXPENSES RS.60,000 VIDE CONSENT ORDER)
06-MAY-2020
|
|
| 87 |
|
|
PADMAJA PATIL
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1A) OF SEBI TAKEOVER CODE, 1997 READ WITH REGULATION 35 OF SAST REGULATIONS, 2011 IN MATTER OF SANGAM HEALTH CARE PRODUCTS LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF SANGAM HEALTH CARE PRODUCTS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.18,94,400, INTEREST RS.14,325 VIDE CONSENT ORDER)
11-JUL-2018
|
|
| 88 |
|
|
PADMANABHAN KALYANASUNDARAM
(PAN:AEEPK0452Q)
|
|
|
ALLEGED 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 MINDTREE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,11,719 VIDE CONSENT ORDER)
22-APR-2020
|
|
| 89 |
|
|
PATANJALI GOVIND KESWANI
(PAN:AEQPK2642L)
|
|
|
|
SPANK MANAGEMENT SERVICES PVT.LTD.
PAN:AAICS5637G
|
|
ALLEGED INDULGENCE IN TRADING 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 VARUN BEVERAGES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,70,000, DISGORGEMENT AMOUNT RS.14,58,156, INTEREST RS.7,55,045 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-JUL-2022
|
|
| 90 |
|
|
PENMETSA SRINIVASA RAJU
(PAN:AEHPP6768B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURES OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ANJANI FOODS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
10-MAR-2023
|
|
| 91 |
|
|
PRABHAT KUMAR HALDAR
(PAN:AAQPH4586G)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF HALDAR VENTURE LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF HALDAR VENTURE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
16-JAN-2019
|
|
| 92 |
|
|
PRASHANT SHETTY
(PAN:ABQPS2763P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF INDOSTAR CAPITAL FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,04,750 VIDE CONSENT ORDER)
11-JAN-2019
|
|
| 93 |
|
|
PRATIBHA KHANDELWAL ADVANI
(PAN:ACOPA4171A)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF NIIT TECHNOLOGIES LTD.
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NIIT TECHNOLOGIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.89,50,500, DISGORGEMENT AMOUNT RS.13,69,500, INTEREST RS.9,00,944 VIDE CONSENT ORDER)
12-NOV-2020
|
|
| 94 |
|
|
PRAVEEN LINGAMNENI
(PAN:AAWPL9203A)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (A) READ WITH 6(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MATTER OF DIVI'S LABORATORIES LTD.
|
REACHED SETTLEMENT ( DISGORGEMENT AMOUNT RS.96,68,183 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 95 |
|
|
PRAVEEN LINGAMNENI
(PAN:AAWPL9203A)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (A) READ WITH 6(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MATTER OF DIVI'S LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.51,45,596 VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 96 |
|
|
PRIYA MAJARI TODI
(PAN:AHWPK2292B)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(2) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,01,40,000, DISGORGEMENT AMOUNT RS.3,09,100, INTEREST RS.1,32,006 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 20-FEB-2025 TO 19-AUG-2025
20-FEB-2025
|
|
| 97 |
|
|
PRIYANKA JAIN
(PAN:AFFPJ8907D)
|
|
|
ALLEGED FAILURE IN IMPLEMENTING CODE OF CONDUCT VIOLATING REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH CLAUSE 1.2 OF CODE OF CONDUCT SPECIFIED UNDER PART B OF SCHEDULE I READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MANAPPURAM FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,30,000 VIDE CONSENT ORDER)
26-JUN-2020
|
|
| 98 |
|
|
PRIYANKA PATHAK
(PAN:AHMPP1761E)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF CRISIL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.26,55,240, DISGORGEMENT AMOUNT RS.7,92,600, INTEREST RS.5,15,950 VIDE CONSENT ORDER)
15-APR-2019
|
|
| 99 |
|
|
PUNIT GOENKA
(PAN:AAEPG2529E)
|
|
|
|
ZEE ENTERTAINMENT ENTERPRISES LTD.
PAN:AAACZ0243R
|
|
ALLEGED FAILURE IN PUTTING IN PLACE ADEQUATE INTERNAL CONTROLS WITHIN COMPANY TO IDENTIFY UPSI AND DID NOT IDENTIFY INFORMATION THE INFORMATION AS UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 9A(1) AND 9A(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,70,000 VIDE CONSENT ORDER)
13-APR-2023
|
|
| 100 |
|
|
PUSHPA LATHA DEVI
(PAN:AEVPL9622G)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) (A) READ WITH 6(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF MATTER OF DIVI'S LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,31,250 VIDE CONSENT ORDER)
21-OCT-2020
|
|
| 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 5 of 9
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