| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
ADANI TRANSMISSION LTD.
(CIN:L40300GJ2013PLC077803)
|
|
|
|
ANIL KUMAR SARDANA
PAN:AAMPS0961N
|
|
|
DEEPAK BHARGAVA
PAN:ACAPB5130C
|
|
|
GAUTAMBHAI SHANTILAL ADANI
PAN:ABKPA0965H
|
|
|
LAXMI NARAYANA MISHRA
PAN:ADFPM5694J
|
|
|
RAJESHBHAI SHANTILAL ADANI
PAN:ABKPA0962A
|
|
ALLEGED FAILURE IN ADHERING TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19A OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957 AND CLAUSES 35 AND 40A OF LISTING AGREEMENT IN MATTER OF ADANI GROUP COMPANIES
ALLEGED FAILURE IN ADHERING TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING REGULATIONS 31 AND 38 OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 24(1) OF SCRA, 1956 IN MATTER OF ADANI GROUP COMPANIES
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.37,05,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-SEP-2026
|
|
| 162 |
|
|
ADARSH AGARWALLA & SONS (HUF)
(PAN:AAIHA8680G)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 163 |
|
|
ADARSH BHALOTIA (HUF)
(PAN:AAJHA9920N)
|
|
|
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
|
|
| 164 |
|
|
ADARSH COMMERCIAL CO.LTD.
(PAN:AACCA1947R)
|
|
|
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
|
|
| 165 |
|
|
ADARSH ENTERTAINMENT PVT.LTD.
(PAN:AAFCA8506R)
|
|
|
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
|
|
| 166 |
|
|
ADARSH MERCANTILE LTD.
(PAN:AACCA1970E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.13,17,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 167 |
|
|
ADARSH PLANT PROTECT LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES UNDER REGULATIONS 6(2),6(4) FOR YEAR 1997 AND 8(3) FOR YEARS 1998 AND 2004 OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
15-MAY-2009
|
|
| 168 |
|
|
ADD INVESTMENTS
|
|
|
ALLEGED PRICE MANIPULATION IN SCRIP OF GRANULES INDIA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 169 |
|
|
ADESH BROKING HOUSE PVT.LTD.
(PAN:AADCP6079Q)
(Along with : ASPOLIGHT MERCHANTS PVT.LTD.,
PARAMOUNT FINTRADE PVT.LTD.)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 170 |
|
|
ADESH BROKING HOUSE PVT.LTD.
(PAN:AADCP6079Q)
(Along with : ASPOLIGHT MERCHANTS PVT.LTD.,
PARAMOUNT FINTRADE PVT.LTD.)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,40,000, LEGAL EXPENSES RS.13,570 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 171 |
|
|
ADHEESH KABRA (HUF)
(PAN:AAOHA0587J)
|
|
|
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
|
|
| 172 |
|
|
ADHESION TRADECOM PVT.LTD.
(PAN:AAKCA9397F)
|
|
|
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
|
|
| 173 |
|
|
ADHIKASH FINANCE & TRADING PVT.LTD.
|
|
|
|
ANANTNARAYAN GOPAL IYER
|
|
|
NALINESH R.DALAL
|
|
DID NOT MAKE DISCLOSURE OF ACQUISITION OF 13.90% SHARES OF KRISHNA FILAMENTS LTD. WHILE ACTING IN CONCERT WITH OTHER ENTITIES
|
IMPOSED PENALTY RS.50,000 ALONG WITH OTHER ENTITIES/PERSONS
20-JUN-2005
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-APR-2008
|
SAT: APPEAL DISPOSED OFF, AS APPLICANTS AGREED TO PAY A SUM OF RS. 75,000 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER
|
| 174 |
|
|
ADHUNIK PROPERTIES PVT.LTD.
(PAN:AACCA0959P)
|
|
|
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
|
|
| 175 |
|
|
ADIDARSHAN TRADEWING PVT.LTD.
(PAN:AAJCA6493K)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 176 |
|
|
ADINARAYAN GUPTA (HUF)
(PAN:AAFHA7213N)
|
|
|
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
|
|
| 177 |
|
|
ADINATH BIO-LABS LTD.
(PAN:AAECA5539M
CIN:L24230WB1982PLC034492)
|
|
|
|
FATEH CHAND JAIN
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
|
| 178 |
|
|
ADINATH BIO-LABS LTD.
(PAN:AAECA5539M
CIN:L24230WB1982PLC034492)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
|
| 179 |
|
|
ADINATH BIO-LABS LTD.
(PAN:AAECA5539M
CIN:L24230WB1982PLC034492)
|
|
|
|
MANOJ KUMAR BOTHRA
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
|
| 180 |
|
|
ADINATH BIO-LABS LTD.
(PAN:AAECA5539M
CIN:L24230WB1982PLC034492)
|
|
|
|
ABHISHEK KUMAR JAIN
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF ADINATH BIO-LABS LTD.
|
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 07-SEP-2009 TO 06-NOV-2009
01-SEP-2009
|
|
| 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 9 of 382
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