| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AARUSHI JAIN
(PAN:ALDPA0378H)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INTELLECT DESIGN ARENA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,31,250, DISGORGEMENT AMOUNT RS.13,78,000, INTEREST RS.4,83,848 VIDE CONSENT ORDER)
13-JUL-2021
|
|
| 2 |
|
|
ABHAY ARVIND GANDHI
(PAN:AAXPG9162A)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) AND 4 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF RANBAXY LABORATORIES LTD.
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 IN MATTER OF RANBAXY LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.35,06,250 VIDE CONSENT ORDER)
11-APR-2019
|
|
| 3 |
|
|
AJOY CHAWLA
(PAN:AADPC3230D)
|
|
|
ALLEGED TRADING IN SHARES WHEN TRADING WINDOW WAS CLOSED VIOLATING CLAUSE 4 AND 10 OF CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,44,063 VIDE CONSENT ORDER)
13-OCT-2020
|
|
| 4 |
|
|
AMIT AGRAWAL
(PAN:AEZPA0831J)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF POONAWALLA FINCORP LTD. (PREVIOUSLY KNOWN AS MAGMA FINCORP LTD.)
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,72,64,081 VIDE CONSENT ORDER)
17-MAY-2023
|
|
| 5 |
|
|
AMIT KUMAR RATHI
(PAN:AASPR9581K)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,50,000, DISGORGEMENT AMOUNT RS.6,54,897, INTEREST RS.2,75,057 VIDE CONSENT ORDER)
12-JUL-2024
|
|
| 6 |
|
|
AMLA NARAIN
(PAN:ADIPN4051F)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATIONS 3(I) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATIONS 12(1) AND 12(2) OF SEBI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.80,78,197, DISGORGEMENT AMOUNT RS.30,14,217 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH /ACCESSING CAPITAL MARKET /INTERMEDIARIES) FROM 22-MAR-2019 TO 21-MAR-2020
22-MAR-2019
|
|
| 7 |
|
|
ANJUSHREE RATHI
(PAN:AASPR9580J)
|
|
|
ALLEGED TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,50,000, DISGORGEMENT AMOUNT RS.2,91,142, INTEREST RS.1,19,368 VIDE CONSENT ORDER)
12-JUL-2024
|
|
| 8 |
|
|
ANKIT JAIN
(PAN:AFNPJ5441E)
|
|
|
|
AVG LOGISTICS PVT.LTD.
|
|
ALLEGED INDULGENCE IN EXECUTION OF CONTRA TRADES VIOLATING CLAUSE 10 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY DESIGNATED PERSONS AS SPECIFIED UNDER REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AVG LOGISTICS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,95,000, DISGORGEMENT AMOUNT RS.1,39,361, INTEREST RS.19,511 VIDE CONSENT ORDER)
30-JUL-2025
|
|
| 9 |
|
|
ARUN G.BIJUR
(PAN:AFTPB0801N)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SESHASAYEE PAPER & BOARDS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,64,063 VIDE CONSENT ORDER)
27-APR-2020
|
|
| 10 |
|
|
ARUN JAIN
(PAN:AAHPJ6020E)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION AND COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION TO RELATIVES 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 INTELLECT DESIGN ARENA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,35,45,000 VIDE CONSENT ORDER)
13-JUL-2021
|
|
| 11 |
|
|
ARUN VERMA
(PAN:AAIPV5192Q)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF STEEL AUTHORITY OF INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,50,000, DISGORGEMENT AMOUNT RS.40,09,939 VIDE CONSENT ORDER)
30-APR-2024
|
|
| 12 |
|
|
ARVIND SINGHANIA
(PAN:AAVPS3280M)
|
|
|
|
FENTON INVESTMENTS PVT.LTD.
PAN:AAACF5719J
|
|
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 VARUN BEVERAGES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,50,000, DISGORGEMENT AMOUNT RS.11,43,321, INTEREST RS.5,93,525 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-AUG-2022
|
|
| 13 |
|
|
ASHA KEJRIWAL
(PAN:AGGPK0885R)
|
|
|
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) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,09,20,000, DISGORGEMENT AMOUNT RS.35,92,600, INTEREST RS.15,34,286 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 20-FEB-2025 TO 19-AUG-2025
20-FEB-2025
|
|
| 14 |
|
|
ASHISH ANUP NIGAM
(PAN:ADUPN5191L)
|
|
|
|
AXIS CAPITAL LTD.
PAN:AAACU8367M
|
|
ALLEGED INDULGENCE IN COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BF INVESTMENT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.55,90,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 11-APR-2025 TO 10-OCT-2025
11-APR-2025
|
|
| 15 |
|
|
ASHOK JAIPURIA
(PAN:AAAPJ4737B)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COSMO FILMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.49,40,000 VIDE CONSENT ORDER)
25-AUG-2023
|
|
| 16 |
|
|
ASHUTOSH AGARWAL
(PAN:ADBPA9564H)
|
|
|
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) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ELECTROSTEEL CASTINGS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,11,80,000, DISGORGEMENT AMOUNT RS.3,49,000, INTEREST RS.1,49,046 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 20-FEB-2025 TO 19-AUG-2025
20-FEB-2025
|
|
| 17 |
|
|
ATUL SARAOGI
(PAN:AUXPS5844D)
|
|
|
ALLEGED TRADING DURING UPSI PERIOD IN F&O SEGMENT THROUGH ACCOUNT OF MS VIMALA DEVI KALANTRI VIOLATING REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATIONS 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITED SPIRITS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.75,66,295, DISGORGEMENT AMOUNT RS.30,43,256, INTEREST RS.18,11,946 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-AUG-2019
|
|
| 18 |
|
|
ATUL SARAOGI
(PAN:AUXPS5844D)
|
|
|
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.25,15,500 VIDE CONSENT ORDER)
23-JUL-2020
|
|
| 19 |
|
|
ATUL SARAOGI
(PAN:AUXPS5844D)
|
|
|
ALLEGED INDULGENCE IN COMMUNICATION 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 SAINT GOBAIN SEKURIT INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.30,18,600 VIDE CONSENT ORDER)
23-JUL-2020
|
|
| 20 |
|
|
ATUL SWAROOP
(PAN:AMKPS6757Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF MINDA INDUSTRIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,01,758 VIDE CONSENT ORDER)
20-NOV-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 9
|
