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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 28-AUG-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PERSONS: INDULGED IN UNAUTHORISED CARRY FORWARD TRANSACTIONS

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person DILIP S.PENDSE  
  INDULGED IN ILLEGAL CARRY FORWARD TRANSACTIONS IN SCRIPS OF HIMACHAL FUTURISTIC COMMUNICATIONS LTD.,TATA ENGINEERING & LOCOMOTIVE CO.LTD.,INFOSYS TECHNOLOGIES LTD. AND SOFTWARE SOLUTIONS INDIA LTD.   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-DEC-2012 TO 23-DEC-2014

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-DEC-2012 TO 23-DEC-2014

24-DEC-2012 		SAT: SAT VIDE ITS ORDER DATED 16/04/2014 QUASHED AND SET ASIDED THE IMPUGNED ORDER DATED 24/12/2012 AND DIRECTED SEBI TO PASS A FRESH ORDER ON MERITS WITHIN A PERIOD OF SIX MONTHS FROM THE DATE OF THIS ORDER. NO COSTS

SEBI VIDE ITS ORDER DATED 13/10/2014 PROHIBITED MR.DILIP S.PENDSE FROM ACCESSING CAPITAL MARKET FOR A PERIOD OF TWO YEARS FROM THE DATE OF THIS ORDER. PERIOD OF PROHIBITION ALREADY UNDER GONE IMPOSED VIDE SEBI ORDER DATED 24/12/2012 SHALL BE TAKEN INTO ACCOUNT WHILE IMPLEMENTING THIS ORDER

SAT: SAT VIDE ITS ORDER DATED 27/04/2016 DISPOSED OFF THE APPEAL AS INFRUCTUOUS. NO COSTS

SAT: SAT VIDE ITS ORDER DATED 29/08/2017 DISPOSED OFF THE APPEAL. AS COUNSEL FOR THE APPELLANT STATED THAT THE APPELLANT HAS DIED DURING PENDENCY OF THE APPEAL. AS A RESULT PROCEEDINGS QUA THE APPELLANT STANDS ABATED. NO COSTS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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