| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1281 |
|
SANJAY DALMIA
(PAN:AADPD9438N)
|
|
|
|
GHCL LTD.
PAN:AAACG5609C
|
|
FILED FALSE AND MISLEADING REPORT ON SHAREHOLDING PATTERN WITH THE STOCK EXCHANGES
DID NOT MAKE DISCLOSURE OF SALE/TRANSFER OF SHARES OF PROMOTERS IN MATTER OF GHCL LTD.
MISLED INVESTORS BY GIVING FALSE SHAREHOLDING OF PROMOTERS OF GHCL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-APR-2009 TILL FURTHER ORDERS
20-APR-2009
|
DIRECTIONS ISSUED VIDE ORDER DATED 20/04/2009 REVOKED WITH IMMEDIATE EFFECT VIDE ORDER DATED 14/03/2011
|
| 1282 |
|
|
SANJAY DHINGRA
(PAN:AAFPD9561J)
|
|
|
|
KWALITY LTD.
PAN:AABCK1289R
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KWALITY LTD.
|
IMPOSED PENALTY RS.2,00,000
13-JUL-2017
|
|
| 1283 |
|
|
SANJAY GUPTA
|
|
|
|
AMBIKA FERRO ALLOYS PVT.LTD.
|
|
|
INFORMATION TECHNOLOGIES (INDIA) LTD.
CIN:U65910UP1994PLC017049
PAN:AAACI1891E
|
|
|
VEDANT STEEL CASTING & FORGING PVT.LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 1284 |
|
|
SANJAY JAIN
(PAN:AAIPJ2491G)
|
|
|
DID NOT ADOPT APPROPRIATE MECHANISMS & PROCEDURES TO ENFORCE CODE OF CONDUCT VIOLATING REGULATIONS 12(1) AND 12(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 AND CLAUSE 1.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING IN MATTER OF ORICON ENTERPRISES LTD.
|
IMPOSED PENALTY RS.2,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-MAY-2018
|
|
| 1285 |
|
|
SANJAY JALAN
(DIN:00625845
PAN:AAWPJ2893G)
|
|
|
|
LE WATERINA RESORTS & HOTELS LTD.
CIN:L45201TN1987PLC014714
PAN:AAACH2823H
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF LE WATERINA RESORTS & HOTELS LTD.
|
IMPOSED PENALTY RS.1,00,000
12-MAR-2019
|
SEBI VIDE ITS NOTICE DATED 30/08/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS 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 20/11/2019 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF DEFAULTERS WHICH WERE ATTACHED PURSUANT TO NOTICE OF ATTACHMENT DATED 30/08/2019
|
| 1286 |
|
|
SANJAY JETHALAL SONI
(PAN:BVSPS9741N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1), 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PARICHAY INVESTMENTS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF PARICHAY INVESTMENTS LTD.
|
IMPOSED PENALTY RS.3,00,000
28-SEP-2018
|
SAT: SAT VIDE ITS ORDER DATED 03/05/2019 CONDONED THE DELAY OF 92 DAYS IN FILING OF APPEAL AND PARTLY ALLOWED THE APPEAL BY REDUCING THE PENALTY TO RS.3.00 LACS FROM RS.6.00 LACS AND DIRECTED TO DEPOSIT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 1287 |
|
|
SANJAY JOGLEKAR
(PAN:ABNPJ8225G)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MAHINDRA & MAHINDRA LTD.
|
IMPOSED PENALTY RS.2,00,000
21-AUG-2014
|
SAT: SAT VIDE ITS ORDER DATED 10/07/2015 MODIFIED IMPUGNED ORDERS BY REDUCING THE PENALTY AMOUNT TO RS.1,00,000 FROM RS.2,00,000 FOR VIOLATION OF REGULATION 13(4) READ WITH 13(5) OF SEBI PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 HOWEVER ADDITIONAL PENALTY OF RS.2,00,000 IMPOSED UNDER SECTION 15 HB OF SEBI ACT IS SUSTAINED.NO COSTS
|
| 1288 |
|
|
SANJAY KUMAR SHANKARLAL THAKKAR
(PAN:ACFPT3869D)
|
|
|
AIDED AND ABETTED PROMOTERS AND PAC IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GUJARAT ARTH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GUJARAT ARTH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GUJARAT ARTH LTD.
DID NOT FURNISH INFORMATION IN RESPONSE TO SUMMONS ISSUED IN MATTER OF GUJARAT ARTH LTD.
|
IMPOSED PENALTY RS.45,00,000
26-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 14/07/2021 ALLOWED RESPONDENT TWO WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 25/08/2021 ALLOWED APPELLANT THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 16/11/2022 PARTLY ALLOWED THE APPEAL BY REDUCING THE PENALTY AMOUNT RS.5 LAC FROM RS.1 CRORE U/S 15A(A) OF SEBI ACT.
SEBI VIDE ITS ORDER DATED 26/06/2023 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
SEBI VIDE ITS NOTICE DATED 01/09/2023 ALLOWED THE APPEAL AND 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 26/06/2023
SEBI VIDE ITS ORDER DATED 01/09/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4080 OF 2021 DATED 09/08/2021
|
| 1289 |
|
|
SANJAY KUMAR SHANKARLAL THAKKAR
(PAN:ACFPT3869D)
|
|
|
AIDED AND ABETTED PROMOTERS AND PAC IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GUJARAT ARTH LTD.
DID NOT FURNISH INFORMATION IN RESPONSE TO SUMMONS ISSUED IN MATTER OF GUJARAT ARTH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GUJARAT ARTH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GUJARAT ARTH LTD.
|
IMPOSED PENALTY RS.1,40,00,000
09-FEB-2015
|
SAT: SAT VIDE ITS ORDER DATED 19/07/2016 CONDONED THE DELAY IN REPLY. NO COSTS. SAT VIDE ITS ORDER DATED 19/07/2016 QUASHED AND SET ASIDED IMPUGNED ORDER AND RESTORED TO THE FILE OF AO TO PASS FRESH ORDERS ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 1290 |
|
|
SANJAY KUMAR TAYAL
(PAN:AAEPT9209L)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A (A) TO (E) OF SEBI ACT, 1992 AND REGULATIONS 3 AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF BANK OF RAJASTHAN LTD. (NOW MERGED WITH ICICI BANK LTD.)
|
DIRECTED TO DISGORGE RS.95,77,614 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
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
05-JAN-2016
|
SEBI VIDE ITS ORDER DATED 22/11/2017 PROHIBITED MR.ROHIT PREMKUMAR GUPTA, MR.SANJAY KUMAR TAYAL, MR.NAVIN KUMAR TAYAL, MS.JYOTIKA SANJAY TAYAL, ADVIK TEXTILES & REALPRO PVT.LTD., MR.KULWINDER KUMAR NAYYAR AND MR.AZAM MOHMMED ASHAN SHAIKH FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER, FOR A PERIOD OF FIVE YEARS AND JOINTLY AND SEVERALLY DISGORGE RS.95,77,614 ALONG WITH INTEREST @ 12% P.A. FROM 27/05/2010 ONWARDS, WITHIN A PERIOD OF 45 DAYS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 02/08/2021 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICER DATED 16/06/2022 DIRECTED TO PAY RS.2,34,42,801.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 05/09/2022 ALLOWED THE APPEAL AND 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 05/07/2022
SEBI VIDE ITS ORDER DATED 17/10/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4927 OF 2022 DATED 16/06/2022
|
| 1291 |
|
|
SANJAY R.KIMTEE
(PAN:AEOPK6715N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF FLAWLESS DIAMOND INDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FLAWLESS DIAMOND INDIA LTD.
|
IMPOSED PENALTY RS.1,00,000
29-JUL-2011
|
|
| 1292 |
|
|
SANJAY R.TAPARIA
(PAN:ABLPT6544N)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE OF OPPOSITE TRANSACTION EXECUTED WITHIN SIX MONTHS VIOLATING REGULATION 12(3) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF IN MATTER OF TULSI EXTRUSIONS LTD.
|
IMPOSED PENALTY RS.1,00,000
27-APR-2021
|
SEBI VIDE ITS NOTICE DATED 15/07/2022 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
SEBI VIDE ITS ORDER DATED 11/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.1,21,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF MR.SANJAY R.TAPARIA TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 30/01/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.4433 OF 2022 DATED 06/01/2022
SEBI VIDE ITS NOTICE DATED 30/01/2023 ALLOWED THE APPEAL AND 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 15/07/2022
|
| 1293 |
|
|
SANJEEV AGRAWAL
(PAN:ABOPA4675N)
|
|
|
DELAY IN MAKING 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 SUPERIOR INDUSTRIAL ENTERPRISES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SUPERIOR INDUSTRIAL ENTERPRISES LTD.
|
IMPOSED PENALTY RS.1,00,000
11-JUL-2019
|
|
| 1294 |
|
|
SANJEEV BURMAN JHAVERI
(PAN:ABKPJ9608A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SUPER DOMESTIC MACHINES LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF SUPER DOMESTIC MACHINES LTD.
|
IMPOSED PENALTY RS.2,00,000
27-JUN-2018
|
|
| 1295 |
|
|
SANJEEV REDDY CHILUMALA
(PAN:AFNPC7708P)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF INNOVATIVE TECH PACK LTD.
|
IMPOSED PENALTY RS.1,00,000
06-NOV-2012
|
|
| 1296 |
|
|
SANKET RAKESH JAIN
(PAN:ANKPJ8852A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SRK INDUSTRIES LTD.
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 (PIT) REGULATIONS, 1992 IN MATTER OF SRK INDUSTRIES LTD.
|
IMPOSED PENALTY RS.2,00,000
09-SEP-2020
|
|
| 1297 |
|
|
SANTHOSH J.KARIMATTOM
(PAN:BKWPS1385K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF CITYMAN LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF CITYMAN LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,16,875 VIDE CONSENT ORDER)
20-AUG-2014
|
|
| 1298 |
|
|
SANTOSH GROVER
(PAN:AOUPG7497K)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF CDI INTERNATIONAL LTD. (FORMERLY KNOWN AS COMPACT DISC INDIA LTD.)
|
IMPOSED PENALTY RS.2,00,000
31-JUL-2015
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 11/01/2023 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
SEBI VIDE ITS NOTICE DATED 24/05/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.3,09,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 1299 |
|
|
SANTOSH GUPTA
|
|
|
|
TAURAS PORTFOLIOS LTD.
|
|
VIOLATED REGULATIONS 4(A) TO 4(E) OF SEBI (PFUTP) REGULATIONS, 1995
VIOLATED REGULATION 6(D) OF SEBI (PFUTP) REGULATIONS, 1995
DEALT IN SECURITIES VIOLATING REGULATION 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
VIOLATED SECTION 11 (2) OF SEBI TAKEOVER CODE, 1997
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 1300 |
|
|
SANTOSH KUMAR JAIN
(PAN:ACIPJ0790Q)
|
|
|
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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 65 of 82
|
