| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
360 ONE ALTERNATES ASSET MANAGEMENT LTD.
(PAN:AACCZ2983Q)
(Along with : 360 ONE PRIVATE EQUITY FUND)
|
|
|
|
SAKSHAM KOHLI
PAN:BQOPK0276P
|
|
ALLEGED ACCEPTANCE OF INVESTMENTS IN 360 ONE SEED VENTURES FUND 1 FROM OTHER ALTERNATIVE INVESTMENT FUNDS (AIFS) WHILE AT THE SAME TIME HAVING INVESTED IN UNITS OF OTHER AIFS VIOLATING REGULATIONS 15(1)(DA), 20(1) AND 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN MATTER OF 360 ONE PRIVATE EQUITY FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-AUG-2025
|
|
| 2 |
|
|
360 ONE PRIVATE EQUITY FUND
(PAN:AAATI9829H)
(Along with : 360 ONE ALTERNATES ASSET MANAGEMENT LTD.)
|
|
|
|
SAKSHAM KOHLI
PAN:BQOPK0276P
|
|
ALLEGED ACCEPTANCE OF INVESTMENTS IN 360 ONE SEED VENTURES FUND 1 FROM OTHER ALTERNATIVE INVESTMENT FUNDS (AIFS) WHILE AT THE SAME TIME HAVING INVESTED IN UNITS OF OTHER AIFS VIOLATING REGULATIONS 15(1)(DA), 20(1) AND 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN MATTER OF 360 ONE PRIVATE EQUITY FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-AUG-2025
|
|
| 3 |
|
|
3A CAPITAL SERVICES LTD.
(PAN:AAACZ2547A)
|
|
|
ALLEGED FAILURE IN MAKING PAYMENT FOR 31,66,251 SHARES OF JORD ENGINEERS INDIA LTD.VIOLATING SECTIONS 13 AND 18(1) READ WITH SECTION 2(I) (A) OF SECURITIES CONTRACTS (REGULATION) ACT, 1956
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.50,000 VIDE CONSENT ORDER)
09-MAY-2012
|
|
| 4 |
|
|
3D PLM SOFTWARE SOLUTIONS LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,296 VIDE CONSENT ORDER)
16-MAY-2018
|
|
| 5 |
|
|
A & R ENTRPRISE PVT.LTD.
(PAN:AAJCA8830E)
|
|
|
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
|
|
| 6 |
|
|
A & S DEVELOPMENTS PVT.LTD.
(PAN:AAGCA1015N)
|
|
|
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
|
|
| 7 |
|
|
A K AGARWAL (HUF)
(PAN:AADHA7899A)
|
|
|
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
|
|
| 8 |
|
|
A K BAJORIA (HUF)
(PAN:AAEHA6564M)
|
|
|
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
|
|
| 9 |
|
|
A K LODHA SONS (HUF)
(PAN:AACHA3596H)
|
|
|
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
|
|
| 10 |
|
|
A K SINGH & SONS (HUF)
(PAN:AANHA4115R)
|
|
|
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
|
|
| 11 |
|
|
A ONE ISPAT PVT.LTD.
(PAN:AAICA3791P)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.17,82,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 12 |
|
|
A TO Z CONSULTANTS PVT.LTD.
(PAN:AAACA4696F)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLOBE CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 13 |
|
|
A TO Z HOLDINGS PVT.LTD.
(PAN:AAECA0001A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF SBEC SUGAR LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,13,434, INTEREST RS.3,376 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-AUG-2018
|
COMPANY VIDE DEMAND DRAFT NO.116301 DATED 24/07/2018 FOR RS 5,16,810.00 DRAWN ON AXIS BANK LTD. HAS PAID SETTLEMENT CHARGES INCLUDING INTEREST
|
| 14 |
|
|
A TO Z SECURITIES LTD.
(PAN:AAACA3106C)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLOBE CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 15 |
|
|
A.B.FISCAL SERVICES PVT.LTD.
(PAN:AACCA2345R)
|
|
|
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
|
|
| 16 |
|
|
A.B.PLASTICS PVT.LTD.
(PAN:AAECA1048F)
|
|
|
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
|
|
| 17 |
|
|
A.K.CAPITAL FINANCE PVT.LTD.
(PAN:AACCG5929R)
|
|
|
ALLEGED TO DEVISED A SCHEME WHEREIN AK GROUP BY USING THE POWERS OF ATTORNEY (POA) SUBMITTED BID APPLICATIONS FOR 1,408,015 NCDS ON BEHALF OF 911 APPLICANTS IN PUBLIC ISSUE OF NCD VIOLATING CLAUSES 2, 3, 9, 19, 27 AND 32 SPECIFIED IN SCHEDULE III OF SEBI (MERCHANT BANKERS) REGULATIONS, 1992 READ WITH SEBI CIRCULAR NO.CIR. /IMD/DF/22/2011 DATED 26/12/2011 IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
ALLEGED PURSUANT TO ALLOTMENT OF NCDS, AK CAPITAL GROUP, BY USING THE POWER OF ATTORNEY SOLD OF THE NCDS ALLOTTED TO 911 APPLICANTS TO EASPL AND RSDPL THROUGH OFF-MARKET TRANSACTIONS IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
ALLEGED NBFC ARM OF AK CAPITAL GROUP PROVIDED LOANS TO 911 APPLICANTS AT 11% AND 10.5% TO APPLY FOR NCDS COUPON RATE OF 8.90% AND 9.00% IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
ALLEGED INDULGENCE IN UNFAIR TRADE PRACTICE, ACTED TO PROVIDE GUARANTEED EXITS AT A PROFIT TO 911 APPLICANTS ON THE DAY OF LISTING OR ON NEXT DAY BY SHARING PART OF COMMISSION/ BROKERAGE/ INCENTIVES RECEIVED BY THEM VIOLATING REGULATIONS 4(1) AND/OR 4(2) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ISSUANCE OF NCDS BY DEWAN HOUSING CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.96,00,000, DISGORGEMENT AMOUNT RS.9,76,647, INTEREST RS.7,59,376 VIDE CONSENT ORDER)
16-OCT-2025
|
|
| 18 |
|
|
A.K.INVESTMENTS
(PAN:AANFA6009Q)
|
|
|
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
|
|
| 19 |
|
|
A.K.KHANDELWAL (HUF)
(PAN:AAEHA7853D)
|
|
|
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
|
|
| 20 |
|
|
A.K.SHARMA & SONS
(PAN:AACHA4794F)
|
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 374
|
