| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
VIJAY KHETAN
(PAN:AAACW2472M)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSES 3.2 AND 2.0 OF SCHEDULE II AND REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
ALLEGED FAILURE IN IMPLEMENTING CODE OF CONDUCT FOR PROHIBITION OF INSIDER TRADING VIOLATING CLAUSE 1.2 OF CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,06,000 VIDE CONSENT ORDER)
02-MAR-2023
|
|
| 162 |
|
|
VIJAYKUMAR OMPRAKASH JAIN
(PAN:AALPJ8055H)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) READ WITH REGULATION 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,31,250 VIDE CONSENT ORDER)
10-JUN-2022
|
|
| 163 |
|
|
VIKRAM L.DESAI
(PAN:AGOPD3239J)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIABULLS VENTURES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,31,250 VIDE CONSENT ORDER)
06-OCT-2021
|
|
| 164 |
|
|
VIMALA DEVI KALANTRI
(PAN:AAHPK8935D)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I), 3(II) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAINT GOBAIN SEKURIT INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,09,000, DISGORGEMENT AMOUNT RS.2,14,338, INTEREST RS.2,29,019 VIDE CONSENT ORDER)
23-JUL-2020
|
|
| 165 |
|
|
VIMALA DEVI KALANTRI
(PAN:AAHPK8935D)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PANTALOON RETAIL (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,57,500, DISGORGEMENT AMOUNT RS.4,01,300, INTEREST RS.3,80,103 VIDE CONSENT ORDER)
23-JUL-2020
|
|
| 166 |
|
|
VINEET JAIN
(PAN:AEHPJ3012L)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BHARAT NIDHI LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 167 |
|
|
VINEET JAIN
(PAN:AEHPJ3012L)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOKA MARKETING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA MARKETING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 168 |
|
|
VINEET JAIN
(PAN:AEHPJ3012L)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ARTH UDYOG LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ARTH UDYOG LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,12,01,300 VIDE CONSENT ORDER)
12-SEP-2022
|
|
| 169 |
|
|
VIPUL J.MODI
(PAN:AABPM1417A)
|
|
|
|
QUICK TRADING & NVESTMENT ADVISORS LLP
PAN:AAAFQ5700B
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,31,250 VIDE CONSENT ORDER)
10-JUN-2022
|
|
| 170 |
|
|
VIPUL THAKKAR
(PAN:ADJPT6708J)
|
|
|
ALLEGED FAILURE IN CLOSING TRADING WINDOW DURING THE TIME OF UPSI PERIOD VIOLATING CLAUSE 4 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATIONS 9(1) AND 9(3) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BLISS GVS PHARMA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,75,000 VIDE CONSENT ORDER)
30-JUN-2021
|
|
| 171 |
|
|
VISHAL MEHTA
(PAN:ACAPM2367C)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO RELATIVES VIOLATING REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFIBEAM AVENUES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.66,93,750 VIDE CONSENT ORDER)
28-JUL-2021
|
|
| 172 |
|
|
VISHWARUPE NARAIN
(PAN:AFLPN8804M)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF CRISIL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.39,64,703 VIDE CONSENT ORDER)
20-MAY-2019
|
|
| 173 |
|
|
YASHISH DAHIYA
(PAN:ABPPD8875Q)
|
|
|
|
PB FINTECH LTD.
|
|
ALLEGED FAILURE TO IDENTIFY ACQUISITION OF 26% SHARES OF YKNP MARKETING MANAGEMENT BY PB FINTECH LTD. THROUGH ITS SUBSIDIARY PB FINTECH FZ-LLCAS UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 9A(2)(B) AND CLAUSE 4(1) OF SCHEDULE B OF SEBI (PIT) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,42,500 VIDE CONSENT ORDER)
04-MAR-2025
|
|
| 174 |
|
|
YOGINDER PAL CHUGH
(PAN:AAAPP6306L)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.66,93,750, DISGORGEMENT AMOUNT RS.10,74,743, INTEREST RS.5,92,551 VIDE CONSENT ORDER)
14-JUL-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 9
|
