| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
ACCEPT SUPPLIERS PVT.LTD.
(PAN:AAKCA3499E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 122 |
|
|
ACCESSLINE INVESTMENT PVT.LTD.
(PAN:AAACK3314J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 123 |
|
|
ACCRETION SECURITIES PVT.LTD.
(PAN:AAKCA6582A)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 124 |
|
|
ACCURACAP PRIME OPPORTUNITIES FUND
(PAN:AAGTA5589A)
(Along with : ACCURACAP TECHNOLOGIES LLP)
|
|
|
|
DIVYA SINGHAL
PAN:CYXPS5759M
|
|
|
NARESH CHAND GUPTA
PAN:AFAPG6539D
|
|
|
PRATEEK GUPTA
PAN:BGZPG8303C
|
|
|
RAMAN NAGPAL
PAN:ABSPN1820E
|
|
ALLEGED FAILURE TO MAINTAIN MINIMUM CORPUS OF RS.20 CRORE IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO RESTORE CORPUS ABOVE RS.20 CRORE WITHIN THREE MONTHS FROM THE DATE OF SUCH BREACH IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO REDEEM THE UNITS AND WIND UP THE SCHEME DESPITE FAILURE TO RESTORE CORPUS WITHIN STIPULATED PERIOD IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED EXCEEDING MAXIMUM PERMISSIBLE INVESTMENT LIMIT IN A SINGLE INVESTEE COMPANY IN MATTER OF ACCURACAP VECTRA FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 125 |
|
|
ACCURACAP TECHNOLOGIES LLP
(PAN:AAAFQ3030E)
(Along with : ACCURACAP PRIME OPPORTUNITIES FUND)
|
|
|
|
DIVYA SINGHAL
PAN:CYXPS5759M
|
|
|
NARESH CHAND GUPTA
PAN:AFAPG6539D
|
|
|
PRATEEK GUPTA
PAN:BGZPG8303C
|
|
|
RAMAN NAGPAL
PAN:ABSPN1820E
|
|
ALLEGED FAILURE TO MAINTAIN MINIMUM CORPUS OF RS.20 CRORE IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO RESTORE CORPUS ABOVE RS.20 CRORE WITHIN THREE MONTHS FROM THE DATE OF SUCH BREACH IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO REDEEM THE UNITS AND WIND UP THE SCHEME DESPITE FAILURE TO RESTORE CORPUS WITHIN STIPULATED PERIOD IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED EXCEEDING MAXIMUM PERMISSIBLE INVESTMENT LIMIT IN A SINGLE INVESTEE COMPANY IN MATTER OF ACCURACAP VECTRA FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 126 |
|
|
ACE LIGHT INVESTMENTS
(PAN:AAQFA5870N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 127 |
|
|
ACG ASSOCIATED CAPSULES PVT.LTD.
(PAN:AAACA4769K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF RAJ OIL MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF RAJ OIL MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,51,164 VIDE CONSENT ORDER)
25-MAY-2017
|
|
| 128 |
|
|
ACHAL AGARWAL (HUF)
(PAN:AADHA6921M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 129 |
|
|
ACHIN BANSAL (HUF)
(PAN:AANHA5014M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 130 |
|
|
ACHINTYA COMMODITIES PVT.LTD.
(PAN:AAJCA1602L)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.24,02,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 131 |
|
|
ACHINTYA SECURITIES
(PAN:AAPFA0167M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.33,32,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 132 |
|
|
ACHINTYA SECURITIES PVT.LTD.
(PAN:AAFCM2199G)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,62,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 133 |
|
|
ACI INFOCOM LTD.
(PAN:AADCA2262Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) AND 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,50,000 VIDE CONSENT ORDER)
05-DEC-2012
|
|
| 134 |
|
|
ACKRUTI CITY LTD.
(Along with : CELLO PENS & STATIONARY PVT.LTD.)
|
|
|
|
FALGUNI VYOMESH SHAH
PAN:AAFPS0667J
|
|
|
KUNJAL HEMANT SHAH
PAN:AAGPS9693B
|
|
|
LATA MAHIPATRAY SHAH
PAN:AAGPS9692A
|
|
|
NARESH JAYANTILAL SHAH
PAN:AADPS0903R
|
|
|
PANKAJ G.RATHOD
PAN:AAAPR5522N
|
|
|
PRADEEP G.RATHOD
PAN:AAAPR5520Q
|
|
|
SANGEETA P.RATHOD
PAN:AAAPR5521R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION TO INFLUENCE PRICE UPWARDS DURING PRICING PERIOD OF FCCB OF ACKRUTI CITY LTD.,WELSPUN STAHL-ROHREN LTD.,BRUSHMAN (INDIA) LTD.,RPG TRANSMISSION LTD. AND MURLI INDUSTRIES LTD.
|
DIRECTED BSE AND NSE TO PERMIT MEMBERS TO SQUARE OFF THEIR EXISTING OPEN POSITIONS IF ANY, IN F&O SEGMENT AND ENSURE THAT NO FRESH POSITIONS ARE CREATED
DIRECTED NOT TO BUY, SELL OR DEAL IN SECURITIES OF THIER OWN COMPANIES AND THIER LISTED GROUP COMPANIES, IN ANY MANNER FROM 02-DEC-2010 TILL FURTHER ORDERS
DIRECTED TO ENSURE SHAREHOLDING OF PROMOTERS/PROMOTER GROUP IN THE COMPANIES NOT ALTERED IN ANY MANNER FROM 02-DEC-2010 TILL FURTHER ORDERS
02-DEC-2010
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
03-JAN-2014
|
SAT: APPEAL DISPOSED OFF BY CLARIFYING THAT THE INJUNCTION/RESTRICTION AS SET DOWN IN PARAGARAPH 53(B) AND 53(E) OF THE IMPUGNED ORDER DATED 02/12/2010 WILL NOT COME IN THE WAY OF THE PLEDGEES TO ENFORCE THEIR CLAIM IN THE EVENT OF ANY SUCH REQUIREMENT BY THE PLEDGEES UNDER THE LOAN CONVENANTS
DIRECTED VIDE ORDER DATED 05/02/2011 (1) NOT TO DISPOSED OFF OR ALIENATE SHARES BELONGING TO VARIOUS SCRIPS. (2)NSDL TO FREEZE SHARES LYING IN THE ACCOUNT OF IFSL. (3) BACKGROUND PURPOSE AND OTHER ATTENDANT CIRCUMSTANCES RELATING TO OFF-MARKET TRANSFERS FROM THE ACCOUNT OF PCSL TO IFSL AND SUBSEQUENT PART SALE OF TRANSFERRED SHARES SHALL BE INVESTIGATED
INTERIM DIRECTIONS ISSUED VIDE ORDER DATED 02/12/2010 REVOKED VIDE ORDER DATED 16/03/2012
AD-INTERIM EX-PARTE ORDER DATED 02/12/2010 DISPOSED OFF AS THE NOTICEE HAS PAID RS.2,00,000.00 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 03/01/2014
|
| 135 |
|
|
ACM EDUCATIONAL FOUNDATION
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) READ WITH 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10, 11(2) AND 12 READ WITH REGULATION 14 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF AUTOMOBILE PRODUCTS OF INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,97,33,551 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-JAN-2017
|
|
| 136 |
|
|
ACROSS BROKING PVT.LTD.
(PAN:AAGCA8645J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,97,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 137 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
|
|
|
|
MILAN RAMNIKLAL PAREKH
PAN:AACPP4073G
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF FAST TRACK ENTERTAINMENT LTD.
DID NOT EXERCISE DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF FAST TRACK ENTERTAINMENT LTD.
|
IMPOSED PENALTY RS.2,00,000
24-MAR-2009
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000, LEGAL EXPENSES RS.40,000, INTEREST RS.18,329 VIDE CONSENT ORDER)
07-JAN-2010
|
SAT: ORDER DATED 24/03/2009 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,00,000 TOWARDS SETTLEMENT CHARGES, RS.40,000 TOWARDS LEGAL CHARGES AND INTEREST THEREON @15% PER ANNUM, AS PER CONSENT ORDER
|
| 138 |
|
|
ACTIVE VYAPAAR PVT.LTD.
(PAN:AAGCA7411G)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-MAR-2023
|
|
| 139 |
|
|
ADANI AGRO PVT.LTD.
(Along with : ADANI ENTERPRISES LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.10,50,000 AS PER CONSENT ORDER
|
| 140 |
|
|
ADANI ENTERPRISES LTD.
(Along with : ADANI PROPERTIES PVT.LTD.)
|
|
|
VIOLATED SEBI CODE OF CONDUCT
AIDED AND ABETTED KP ENTITIES IN MANIPULATING SCRIP OF ADANI ENTERPRISES LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-MAY-2007 TO 24-MAY-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-MAY-2007 TO 24-MAY-2009
25-MAY-2007
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,00,000, LEGAL EXPENSES RS.50,000 VIDE CONSENT ORDER)
24-APR-2008
|
SAT: APPEAL DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.7,50,000 AS PER CONSENT ORDER
|
| 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 7 of 377
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