| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
ANIL T.JAIN
(PAN:AADPA8582A)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF REFEX REFRIGERANTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF REFEX REFRIGERANTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF REFEX REFRIGERANTS LTD.
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF REFEX REFRIGERANTS LTD.
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
18-MAY-2018
|
SAT: SAT VIDE ITS ORDER DATED 07/10/2020 DISMISSED THE APPEAL
|
| 102 |
|
|
ANILA JALAN
(PAN:AAIPA6667P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF LE WATERINA RESORTS & HOTELS LTD.
|
IMPOSED PENALTY RS.1,50,000
12-MAR-2019
|
SAT: SAT VIDE ITS ORDER DATED 23/02/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 20/03/2019 AND MATTER REMITTED TO AO TO PASS A FRESH ORDER WITHIN SIX MONTHS AFTER SUPPLYING SCN. FURTHER DIRECTED APPELLANTS TO APPEAR BEFORE THE AO ON 08/03/2021
SEBI VIDE ITS ORDER DATED 13/08/2021 REDUCED PENALTY TO RS.1.5 LACS FROM RS.16 LAC U/S 15A(B) OF SEBI ACT,1992
|
| 103 |
|
|
ANIRUDDHA PAUL
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ING VYSYA BANK LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ING VYSYA BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,69,780 VIDE CONSENT ORDER)
15-SEP-2017
|
|
| 104 |
|
|
ANISHA AGARWALA
(PAN:AMHPA8862B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GOBIND SUGAR MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-APR-2013
|
|
| 105 |
|
|
ANISHA RAOOF DHANANI
|
|
|
ALLEGED FAILURE IN ADOPTION OF CODE OF CONDUCT VIOLATING CLAUSE 1.2 OF MODEL CODE OF CONDUCT AS SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATIONS 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF COROMANDEL INTERNATIONAL LTD. (EARLIER KNOWN AS LIBERTY PHOSPHATE LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 106 |
|
|
ANITA GUPTA
(PAN:AARPG4507H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PRAKASH WOOLLEN MILLS LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JAN-2018
|
|
| 107 |
|
|
ANITA JAGDISHCHANDRA MANSUKHANI
(PAN:AAHPM0923H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MAN INDUSTRIES (INDIA) LTD.
|
IMPOSED PENALTY RS.2,00,000
28-JAN-2019
|
|
| 108 |
|
|
ANITA RAVICHANDRAN
(PAN:AAHPR0973N)
|
|
|
INDULGED IN COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO RELATIVES WHO UNDERTOOK TRANSACTIONS IN SCRIP OF KLG CAPITAL SERVICES LTD. VIOLATING REGULATION 11 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-JUL-2014 TO 05-FEB-2015
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-JUL-2014 TO 05-FEB-2015
22-SEP-2009
DIRECTED TO DISGORGE RS.94,83,982
24-JUL-2014
|
DIRECTED STOCK EXCHANGES TO (I) SQUARE OFF EXISTING OPEN POSITIONS IN F&O SEGMENT. (II) STRICTLY ENSURE THAT NO FRESH POSITIONS ARE CREATED AS PER WTM ORDER DATED 24/09/2009
SAT: APPEAL DISPOSED OFF AS APPLICANT STATES THAT REPLY SHALL BE FILED WITHIN FOUR WEEKS WITH NO ORDER AS TO COSTS
SAT: IMPUGNED ORDER DATED 22/09/2009 SET ASIDE AND CASE REMANDED TO WHOLE TIME MEMBER. NO ORDER AS TO COSTS
SEBI VIDE ITS ORDER DATED 24/07/2014 DIRECTED 1. NOT TO BUY, SELL OR DEAL IN SECURITIES MARKET IN ANY MANNER WHATSOEVER, OR ACCESS SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF TEN (10) YEARS FROM DATE OF THIS ORDER 2. TO DISGORGE UNLAWFUL GAIN OF RS.54,61,127 AND ALSO PAY RS.40,22,855 BEING SIMPLE INTEREST @ 12% P.A.FOR 6 YEARS (2008-14) ON UNLAWFUL GAIN OF RS.54,61,127
SAT: SAT VIDE ITS ORDER DATED 05/02/2015 QUASHED AND SET ASIDED THE IMPUGNED ORDER DATED 24/07/2014 AND RESTORED THE MATTER TO THE FILE OF SEBI FOR PASSING COMMON ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 22/12/2020 PERMITTED A) TO AVAIL THE BENEFITS OF ANY CORPORATE ACTION LIKE BONUS ISSUES, RIGHTS ISSUE ETC. B) TO DEMATERIALIZE THE SECURITIES HELD IN PHYSICAL FORM AND CREDITED INTO THEIR DEMAT ACCOUNT AND (C) TO DEMATERIALIZE AND RECEIVE CREDIT OF THOSE SECURITIES IN THEIR DEMAT ACCOUNT(S) WHICH ARE ENTITLED TO INHERIT / RECEIVE UPON TRANSMISSION
SEBI VIDE ITS ORDER DATED 22/12/2020 TIME LIMIT PROVIDE TO THEM FOR COMPLETION OF SALE / LIQUIDATION OF SECURITIES AND REMITTING THE PROCEEDS THEREOF TO SEBI UNDER PARA 2(B) OF ADDENDUM DATED 13/08/2020 (REF.NO.WTM/GM/EFD-I/DRA-I/43D/2020-21) EXTENDED TO 31/01/2021
SAT: SAT VIDE ITS ORDER DATED 22/06/2021 CONDONED THE DELAY OF 470 DAYS IN FILING OF APPEAL AND ALLOWED RESPONDENT THREE WEEKS TIME TO FILE A REPLY TO MEMO OF APPEAL AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 26/08/2021 ALLOWED APPELLANTS TWO WEEKS TIME TO FILE REJOINDER
|
| 109 |
|
|
ANITA RAVICHANDRAN
(PAN:AAHPR0973N)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) AND 3(II) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF KLG CAPITAL SERVICES LTD.
|
IMPOSED PENALTY RS.12,36,000
30-SEP-2020
|
SAT: SAT VIDE ITS ORDER DATED 20/09/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE DAYS AND APPELLANT TO FILE REJOINDER WITHIN THREE DAYS THEREAFTER
|
| 110 |
|
|
ANITA RAVICHANDRAN
(PAN:AAHPR0973N)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND (E) OF SEBI ACT, 1992 READ WITH REGULATION 3(I), 3(II) AND 4 OF SEBI (PIT) REGULATION, 1992 IN MATTER OF KLG CAPITAL SERVICES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 05-NOV-2019 TO 22-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 05-NOV-2019 TO 22-APR-2024
DIRECTED TO DISGORGE UNLAWFUL GAINS WITHIN 45 DAYS FROM DATE OF ORDER EITHER BY WAY OF DEMAND DRAFT
DIRECTED TO DISGORGE RS.4,12,000
05-NOV-2019
|
SEBI VIDE ITS NOTICE DATED 04/05/2021 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 01/06/2021 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 04/05/2021
SAT: SAT VIDE ITS ORDER DATED 12/05/2021 INFORMED THAT THE RESPONDENT WILL OPPOSE THE APPLICATION FOR CONDONATION OF DELAY OF 470 DAYS IN FILING OF APPEAL AND DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER.
SAT: SAT VIDE ITS ORDER DATED 22/06/2021 CONDONED THE DELAY OF 470 DAYS IN FILING OF APPEAL AND ALLOWED RESPONDENT THREE WEEKS TIME TO FILE A REPLY TO MEMO OF APPEAL AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 26/08/2021 ALLOWED APPELLANTS TWO WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 20/09/2021 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE DAYS AND APPELLANT TO FILE REJOINDER WITHIN THREE DAYS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 29/07/2022 DISMISSED THE APPEAL. NO COSTS
|
| 111 |
|
|
ANITHA ALOKAM
(PAN:AFCPA2142N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MATTER OF COVIDH TECHNOLOGIES LTD. (FORMERLY KNOWN AS APTUS INDUSTRIES LTD.)
|
IMPOSED PENALTY RS.50,000
31-JUL-2018
|
|
| 112 |
|
|
ANITHA KARUTURI
(PAN:AABCR6958A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHAGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KARUTURI GLOBAL LTD.
|
IMPOSED PENALTY RS.2,00,000
02-JUL-2013
|
|
| 113 |
|
|
ANJALI BEKE
|
|
|
|
ANJUDI PROPERTY & INVESTMENTS PVT.LTD.
|
|
MADE UNJUST PROFITS BY USING PRICE SENSITIVE INFORMATION
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
08-AUG-2005
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 114 |
|
|
ANJALI BEKE
|
|
|
|
ANJUDI PROPERTY & INVESTMENTS PVT.LTD.
|
|
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3 A OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
PROSECUTION LAUNCHED
15-MAY-2006
|
DISMISSED
THE MATTER IS DISPOSED OFF AS COMPOUNDED
|
| 115 |
|
|
ANJALI BEKE
|
|
|
|
ANJUDI PROPERTY & INVESTMENTS PVT.LTD.
|
|
DEALT IN SCRIP OF TATA FINANCE LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-JAN-2008 TO 10-JAN-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-JAN-2008 TO 10-JAN-2013
11-JAN-2008
|
|
| 116 |
|
|
ANJALI MALHOTRA
(PAN:AUQPM3884L)
|
|
|
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 IN MATTER OF EMPIRE INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
20-NOV-2017
|
|
| 117 |
|
|
ANJANA GUPTA
(DIN:00059090
PAN:AHCPG7242H)
|
|
|
ENTERED INTO OPPOSITE TRANSACTIONS DURING NEXT SIX MONTHS VIOLATING CLAUSE 4.2 OF MODEL CODE OF CONDUCT SPECIFIED IN PART A OF SCHEDULE I READ WITH REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF IFL PROMOTERS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 AND REGULATIONS 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF IFL PROMOTERS LTD.
DID NOT OBTAIN PRE-CLEARANCE FOR TRADES VIOLATING CLAUSE 3.3.1 OF MODEL CODE OF CONDUCT SPECIFIED IN PART A OF SCHEDULE I READ WITH REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH CALUSE 6(C) OF CODE OF CONDUCT ADOPTED BY COMPANY AND REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF IFL PROMOTERS LTD.
|
IMPOSED PENALTY RS.5,00,000
16-APR-2021
|
SEBI VIDE ITS NOTICE DATED 04/07/2022 DIRECTED TO PAY RS.5,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 28/07/2022 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
|
| 118 |
|
|
ANJANI SINHA
(PAN:AJJPS1231P)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) READ WITH 2(C) AND 2(H) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MULTI COMMODITY EXCHANGE OF INDIA LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (D) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MULTI COMMODITY EXCHANGE OF INDIA LTD.
|
DIRECTED TO DISGORGE RS.12,61,552
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
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
02-AUG-2017
|
SAT: SAT VIDE ITS ORDER DATED 18/08/2017 DISPOSED OFF THE APPEAL AS THE COUNSEL FOR SEBI, ON INSTRUCTION STATES THAT THE SEBI WOULD IMMEDIATELY DE-FREEZE THE BANK ACCOUNT, AS MENTIONED IN THE ORDER. FURTHER, DIRECTED SEBI TO PASS AN ORDER AFTER CONSIDERING THE OBJECTIONS, IF ANY, AS EXPEDITIOUSLY AS POSSIBLE AND IN ANY EVENT WITHIN A PERIOD OF THREE MONTHS FROM THE DATE OF RECEIVING THE OBJECTIONS FROM THE APPELLANT.NO COSTS
SEBI VIDE ITS ORDER DATED 05/01/2018 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 02/08/2017
|
| 119 |
|
|
ANJU DEVI AGARWAL
(PAN:ACHPA6756E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO BOMBAY STOCK EXCHANGES AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997 IN MATTER OF ALKA SECURITES LTD.
DID NOT MAKE DISCLOSURE OF DILUTION OF SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ALKA SECURITES LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF ALKA SECURITIES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUL-2009 TILL FURTHERS ORDERS
DIRECTED NSDL AND CDSL TO FREEZE BENEFICIAL OWNER ACCOUNTS OF PERSONS/ENTITIES
28-JUL-2009
|
EX-PARTE INTERIM ORDER DATED 28/07/2009 CONFIRMED
SEBI VIDE ITS ORDER DATED 10/09/2012 REVOKED DIRECTIONS ISSUED VIDE ITS AD INTERIM EX-PARTE ORDER DATED 28/07/2009 AND CONFIRMATORY ORDER DATED 30/10/2009 WITH IMMEDIATE EFFECT
|
| 120 |
|
|
ANJU MITTAL
|
|
|
|
SAMTEX FASHIONS LTD.
PAN:AABCS3233M
|
|
ACTED IN CONCERT WITH SUB-BROKERS TO CREATE ARTIFICIAL MARKET IN SCRIP OF SAMTEX FASHIONS LTD. AND OFF-LOADED THEIR SHARES TO MAKE UNJUST ENRICHMENT
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING AS REQUIRED UNDER SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS 1992
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-MAR-2006 TILL FURTHER ORDERS
21-MAR-2006
|
NO NEED TO CONTINUE INTERIM ORDER DATED 21/03/2006
|
| 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 82
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