| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1321 |
|
SEETHARAM BALDEVA
(PAN:ABTPB5317K)
|
|
|
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
|
| 1322 |
|
|
SEHRUNNISA ABDUL Q.KHAN
|
|
|
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
|
| 1323 |
|
|
SENTHIL KUMAR U.P.
(PAN:AOWPS5581G)
|
|
|
TRANSACTED AND ENTERED INTO OPPOSITE POSITIONS WITHIN LESS THEN SIX MONTHS ON MANY OCCASIONS VIOLATING CLAUSE 4.2 OF PART A, SCHEDULE I UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ORCHID CHEMICALS & PHARMACEUTICALS LTD.
|
IMPOSED PENALTY RS.1,00,000
29-NOV-2012
|
|
| 1324 |
|
|
SERVESH GUPTA
(PAN:AGZPG4175B)
|
|
|
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 USG TECH SOLUTIONS LTD.
|
IMPOSED PENALTY RS.1,00,000
28-DEC-2021
|
|
| 1325 |
|
|
SEVANTILAL JIVANLAL PAREKH (A.K.A. S.J.PAREKH)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONSS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ORICON ENTERPRISES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
31-OCT-2017
|
|
| 1326 |
|
|
SHABANA LALANI
(PAN:AAXPL8934H)
|
|
|
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
|
| 1327 |
|
|
SHAH RAMILA JAYANTILAL
(PAN:AMIPS9108D)
|
|
|
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
|
| 1328 |
|
|
SHAHID KHWAJA
(PAN:ATXPK3630J)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 2(E) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PALRED TECHNOLOGIES LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) & 3(II) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PALRED TECHNOLOGIES LTD.
|
DIRECTED TO DISGORGE RS.14,07,715
DIRECTED TO FREEZE ALL DEMAT ACCOUNTS WHEREIN EQUITY SHARES ALLOTTED UNDER PREFERENTIAL OFFER WERE LYING
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
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-AUG-2019 TO 12-AUG-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-AUG-2019 TO 12-AUG-2022
DIRECTED NOT TO ASSOCIATE WITH ANY LISTED COMPANY IN CAPACITY OF DIRECTOR OR OTHERWISE FROM 13-AUG-2019 TO 12-AUG-2022
04-FEB-2016
|
SEBI VIDE ITS ORDER DATED 13/08/2019 ALLOWED TO WITHDRAW THE DIFFERENCE BETWEEN AMOUNT DEPOSITED IN ESCROW ACCOUNTS OPENED PURSUANT TO DIRECTIONS PASSED IN INTERIM ORDER DATED 04/02/2016 AND RECOMPUTED AMOUNT OF DISGORGEMENT
SAT: SAT VIDE ITS ORDER DATED 15/06/2022 DISMISSED THE APPEAL. NO COSTS
|
| 1329 |
|
|
SHAHIDA SHAUKAT THARADRA
(PAN:ACEPT7249Q)
|
|
|
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 RAJ OIL MILLS LTD.
|
IMPOSED PENALTY RS.5,00,000
19-MAY-2014
|
SEBI VIDE ITS NOTICE DATED 08/12/2017 DIRECTED ALL THE BANKS 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 13/08/2018 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 08/12/2017
|
| 1330 |
|
|
SHAILENDRA N.ROY
(PAN:AFYPR0159L)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF LARSEN & TOUBRO LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,54,375 VIDE CONSENT ORDER)
30-JAN-2018
|
|
| 1331 |
|
|
SHAILESH MEHTA
(PAN:ABAPM4682R)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SAFARI INDUSTRIES (INDIA) 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 SAFARI INDUSTRIES (INDIA) LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,57,375 VIDE CONSENT ORDER)
30-JUN-2015
|
|
| 1332 |
|
|
SHAKIL ZAKARIA
|
|
|
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
|
|
| 1333 |
|
|
SHAKUNTALA DEVI JHALANI
(PAN:ABUPJ0312R)
|
|
|
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
|
| 1334 |
|
|
SHAKUNTALA VIJAYKUMAR SHINDE
(PAN:ADGPS9938J)
|
|
|
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
|
| 1335 |
|
|
SHALINI GUPTA
(PAN:AGFPG4050K)
|
|
|
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
|
|
| 1336 |
|
|
SHAM SADHURAM GANDHI
(PAN:AAAPG8353J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 7(1) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(3) AND 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
|
IMPOSED PENALTY RS.3,00,000
11-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 08/11/2019 UPHELD AO ORDER DECLARING APPELLANT VIOLATED THE REGULATION AND SET ASIDED ORDER IMPOSING PENALTY OF RS.3 LACS. FURTHER, WARNED APPELLANT NOT TO REPEAT SIMILAR VIOLATION IN FUTURE
|
| 1337 |
|
|
SHAM SADHURAM GANDHI
(PAN:AAAPG8353J)
|
|
|
|
FINALYSIS CREDIT & GUARANTEE CO.LTD.
PAN:AABCF9494P
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) 13(3) AND 13(5)(B) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF FINALYSIS CREDIT & GUARANTEE CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JUN-2020
|
SAT: SAT VIDE ITS ORDER DATED 20/04/2021 ALLOWED APPELLANTS TO THREE WEEKS FURTHER TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/06/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 01/10/2021 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/06/2021 CONDONED THE DELAY IN FILING OF APPEAL.IN THE MEANWHILE, RESPONDENT MAY FILE THE REPLY
SAT: SAT VIDE ITS ORDER DATED 28/09/2022 CONDONED THE DELAY OF 689 DAYS IN FILING OF APPEAL. DIRECTED RESPONDENT TO FILE REPLY TO THE DELAY APPLICATION AS WELL AS MEMORANDUM OF APPEAL WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 21/10/2022 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/01/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED TO FILE REJOINDER
SAT VIDE ITS ORDER DATED 06/09/2023 DIRECTED TO FILE WRITTEN SUBMISSION WITHIN TWO WEEKS
SAT: SAT VIDE ITS ORDER DATED 06/09/2023 DIRECTED TO FILE WRITTEN SUBMISSION WITHIN TWO WEEKS
SEBI VIDE ITS NOTICE DATED 07/09/2023 DIRECTED TO PAY RS.15,30,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 22/09/2023 ALLOWED APPELLANTS FURTHER TEN DAYS TO FILE WRITTEN SUBMISSION
SEBI VIDE ITS ORDER DATED 21/10/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7121 OF 2023 DATED 07/09/2023
SAT: SAT VIDE ITS ORDER DATED 09/08/2024 DISMISSED THE APPEALS. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 16/12/2024 DISMISSED THE APPEAL. NO COSTS
|
| 1338 |
|
|
SHAM SUNDER GUPTA
(PAN:AISPG6871B)
|
|
|
DID NOT MAKE DISCLOSURE OF TRADING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF DMC INTERNATIONAL LTD. (NOW KNOWN AS DMC EDUCATION LTD.)
DID NOT GET PRE CLERANCE OF TRADES VIOLATING CLAUSES 1.2, 3.3.1,4.2 AND 6 (C) OF CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES SPECIFIED IN PART A OF SCHEDULE I READ WITH REGULATION 12 (1) AND 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DMC INTERNATIONAL LTD. (NOW KNOWN AS DMC EDUCATION LTD.)
|
IMPOSED PENALTY RS.6,00,000
31-JUL-2018
|
SEBI VIDE ITS NOTICE DATED 29/07/2020 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 17/08/2022 DIRECTED ALL THE BANKS TO REMIT ENTIRE AMOUNT TO THE EXTENT LYING IN THE BANK AND TERM DEPOSIT ACCOUNTS OF MR.SHAM SUNDER GUPTA TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS NOTICE DATED 04/10/2022 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 29/07/2020
SEBI VIDE ITS ORDER DATED 04/10/2022 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.2936 OF 2020 DATED 24/06/2020
|
| 1339 |
|
|
SHANKARLAL GOPIRAM AGARWAL
(PAN:AAPPA7694B)
(Along with : CHAMPALAL GOPIRAM AGARWAL,
SUBHASHCHANDRA OMKARMAL AGARWAL)
|
|
|
|
OMKAR OVERSEAS LTD.
PAN:AAACO1827C
|
|
DID NOT CLOSE TRADING WINDOW PRIOR TO MAKING FINANCIAL RESULTS PUBLIC VIOLATING CLAUSES 3.2,1.2 AND 2.1 OF CODE OF CONDUCT AS SPECIFIED IN PART A OF SCHEDULE I READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OMKAR OVERSEAS LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
20-AUG-2018
|
|
| 1340 |
|
|
SHANKARLAL GOPIRAM AGARWAL
(PAN:AAPPA7694B)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OMKAR OVERSEAS LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF OMKAR OVERSEAS LTD.
|
IMPOSED PENALTY RS.3,00,000
14-AUG-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 67 of 82
|
