| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
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ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DIVI'S LABORATORIES LTD.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ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF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
|
|
| 102 |
|
|
R.SRIDHAR
(PAN:APYPS3033G)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND (E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4 READ OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SABERO ORGANICS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.33,46,875, DISGORGEMENT AMOUNT RS.12,83,604, INTEREST RS.12,85,854 VIDE CONSENT ORDER)
07-JAN-2020
|
|
| 103 |
|
|
RAAJA KANWAR
(PAN:AAJPK0819J)
|
|
|
ALLEGED ENTER INTO CONTRA TRADES DURING INVESTIGATION PERIOD VIOLATING CLAUSE 10 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UFO MOVIEZ INDIA LTD.
ALLEGED TRADING IN SHARES WHEN TRADING WINDOW WAS CLOSED VIOLATING CLAUSE 4 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UFO MOVIEZ INDIA LTD.
ALLEGED FAILURE IN OBTAINING PRE-CLEARANCE OF TRADING IN SHARES OF COMPANY WHEN TRADING WINDOW WAS OPEN VIOLATING CLAUSE 6 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UFO MOVIEZ INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,92,500 VIDE CONSENT ORDER)
20-OCT-2022
|
|
| 104 |
|
|
RADHIKA DRONAVALI
(PAN:AKGPR0018R)
|
|
|
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
|
|
| 105 |
|
|
RADHIKA DRONAVALLI
(PAN:AKGPR0018R)
|
|
|
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
|
|
| 106 |
|
|
RAHIL DALAL
(PAN:AXIPD5516F)
|
|
|
ALLEGED INDULGENCE IN PROCUREMENT OF UNPUBLISHED PRICE SENSITIVE INFORMATION FROM MR.NIMAI PAREKH AND SHARED WITH HIS FATHER VIOLATING SECTIONS 12A(D)AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 3(2) OF SEBI (PIT) REGULATIONS, 2015 IN THE MATTER OF MERGER OF HDFC LTD. AND HDFC BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.35,00,000 VIDE CONSENT ORDER)
20-DEC-2024
|
|
| 107 |
|
|
RAJAN KUMAR
(PAN:ECEPK7787Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PVR LTD.
ALLEGED FAILURE IN OBTAINING PRE-CLEARANCE OF TRADING IN SHARES OF COMPANY WHEN TRADING WINDOW WAS CLOSED VIOLATING PARA 5.3 AND 6.1 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PVR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,61,875 VIDE CONSENT ORDER)
16-NOV-2021
|
|
| 108 |
|
|
RAJAT NARAIN
(PAN:AHGPN3785N)
|
|
|
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.80,78,197, DISGORGEMENT AMOUNT RS.30,14,217 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 22-MAR-2019 TO 21-MAR-2020
22-MAR-2019
|
|
| 109 |
|
|
RAJESH KUMAR K.
(PAN:ALZPK3311Q)
|
|
|
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.15,48,000 VIDE CONSENT ORDER)
08-JUL-2020
|
|
| 110 |
|
|
RAJESHKUMAR JHUNJHUNWALA
(PAN:AABPJ9214G)
|
|
|
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 APTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,21,74,129, DISGORGEMENT AMOUNT RS.81,84,289, INTEREST RS.42,59,418 VIDE CONSENT ORDER)
14-JUL-2021
|
|
| 111 |
|
|
RAJESHWARI KULKARNI
(PAN:AGEPK7106M)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF GEODESIC LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF GEODESIC LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,35,921 VIDE CONSENT ORDER)
02-NOV-2018
|
|
| 112 |
|
|
RAJGOPALACHARI VENKATTESH
(PAN:ABHPV7270P)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 AND SECTIONS 12A(D) AND (E), 15G (I) AND 15HB OF SEBI ACT, 1992 IN MATTER OF DCB BANK LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF MINIMUM STANDARD FOR CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DCB BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.66,93,750, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.11,35,390, INTEREST RS.7,23,788 VIDE CONSENT ORDER)
09-MAR-2021
|
|
| 113 |
|
|
RAJINDER MITTAL
(PAN:AARPM9226F)
|
|
|
|
BCL INDUSTRIES LTD.
CIN:AAACB5510B
PAN:AAACB5510B
|
|
ALLEGED FAILURE TO DISCLOSE MANOJ FINVEST PVT.LTD. AS PART OF PROMOTER GROUP VIOLATING REGULATION 31(4) OF SEBI (LODR) REGULATIONS, 2015 READ WITH REGULATIONS 2(1)(PP)(IV)(B) OF SEBI (ICDR) REGULATIONS, 2018 IN MATTER OF BCL INDUSTRIES LTD.
ALLEGED FAILURE TO COVER MANOJ FINVEST PVT.LTD. UNDER CODE OF CONDUCT OF BCL INDUSTRIES LTD. TO REGULATE, MONITOR AND REPORT TRADING BY DESIGNATED PERSONS AND IMMEDIATE RELATIVES OF DESIGNATED PERSONS VIOLATING REGULATION 9(4) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BCL INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,60,000 VIDE CONSENT ORDER)
06-MAR-2025
|
|
| 114 |
|
|
RAJIV KAPOOR
(PAN:ABXPK6196M)
|
|
|
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 MINDA INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,03,516 VIDE CONSENT ORDER)
20-NOV-2019
|
|
| 115 |
|
|
RAJPAL SINGH KOCHHAR
|
|
|
|
JAGSONPAL PHARMACEUTICALS LTD.
|
|
ALLEGED FAILURE IN MAINTAINING STRUCTURED DIGITAL DATABASE VIOLATING REGULATIONS 9A(1), 9A(2), 3(5) AND 3(6) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF JAGSONPAL PHARMACEUTICALS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,75,000 VIDE CONSENT ORDER)
11-OCT-2024
|
|
| 116 |
|
|
RAKESH JHUNJHUNWALA
(PAN:ACPPJ9449M)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION AND COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,50,85,704, DISGORGEMENT AMOUNT RS.5,86,79,870, INTEREST RS.3,10,79,431 VIDE CONSENT ORDER)
14-JUL-2021
|
|
| 117 |
|
|
RAKESH NANGIA
(PAN:AAHPN4647B)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COSMO FILMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,01,40,000, DISGORGEMENT AMOUNT RS.13,71,328, INTEREST RS.3,86,827 VIDE CONSENT ORDER)
25-AUG-2023
|
|
| 118 |
|
|
RAKESH RAJENDRA BHOJGADHIYA
(PAN:AKRPB5208J)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF POONAWALLA FINCORP LTD. (PREVIOUSLY KNOWN AS MAGMA FINCORP LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,74,97,889 VIDE CONSENT ORDER)
17-MAY-2023
|
|
| 119 |
|
|
RAMESH S.DAMANI
(PAN:AABPD1702D)
|
|
|
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 APTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,03,77,703, DISGORGEMENT AMOUNT RS.2,04,21,983, INTEREST RS.1,13,31,939 VIDE CONSENT ORDER)
14-JUL-2021
|
|
| 120 |
|
|
RANJANA PATHAK
(PAN:BJZPP9760P)
|
|
|
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 CIPLA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
23-SEP-2019
|
|
| 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 6 of 9
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