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Regulatory Actions Covered By This Website

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RECENT REGULATORY ORDERS
The regulatory orders issued during 15 days preceding today are listed in a chronological order.
 

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.
 
PERSON
S.
No.
DATE OF ORDER  PERSON  ENTITY COMPETENT AUTHORITY  REGULATORY CHARGES  REGULATORY ACTION(S) / DATE OF ORDER  FURTHER DEVELOPMENTS
13-OCT-2014 History of entity/person  ANIL DAVE     SEBI  INDULGED IN SYNCHRONIZED TRANSACTIONS WITH MR. VIMAL PATEL AND PERMITTED GSPL TO USE HIS ACCOUNT AS CONDUIT FOR DIVERTING FUNDS TO OTHER FRONT ENTITIES OF GSPL IN MATTER OF TIJARIA POLYPIPES LTD.  IMPOSED PENALTY RS.25,00,000

13-OCT-2014
 
10-OCT-2014 History of entity/person  AMIT RAGHUVANSHI     SEBI  DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF BAJAJ FINANCE LTD.  IMPOSED PENALTY RS.50,000

10-OCT-2014
 
10-OCT-2014 History of entity/person  K.P.SINGH  
History of company DLF LTD.
 
SEBI  DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATIONS AGAINST SUBSIDIARIES IN RED HEARING PROSPECTUS (RHP) AND PROSPECTUS IN MATTER OF DLF LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2014 TO 09-OCT-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2014 TO 09-OCT-2017

10-OCT-2014
 
10-OCT-2014 History of entity/person  KAMESHWAR SWARUP  
History of company DLF LTD.
 
SEBI  DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATIONS AGAINST SUBSIDIARIES IN RED HEARING PROSPECTUS (RHP) AND PROSPECTUS IN MATTER OF DLF LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2014 TO 09-OCT-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2014 TO 09-OCT-2017

10-OCT-2014
 
10-OCT-2014 History of entity/person  PIA SINGH  
History of company DLF LTD.
 
SEBI  DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATIONS AGAINST SUBSIDIARIES IN RED HEARING PROSPECTUS (RHP) AND PROSPECTUS IN MATTER OF DLF LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2014 TO 09-OCT-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2014 TO 09-OCT-2017

10-OCT-2014
 
10-OCT-2014 History of entity/person  RAJIV SINGH  
History of company DLF LTD.
 
SEBI  DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATIONS AGAINST SUBSIDIARIES IN RED HEARING PROSPECTUS (RHP) AND PROSPECTUS IN MATTER OF DLF LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2014 TO 09-OCT-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2014 TO 09-OCT-2017

10-OCT-2014
 
10-OCT-2014 History of entity/person  RAMESH SANKA  
History of company DLF LTD.
 
SEBI  DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATIONS AGAINST SUBSIDIARIES IN RED HEARING PROSPECTUS (RHP) AND PROSPECTUS IN MATTER OF DLF LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2014 TO 09-OCT-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2014 TO 09-OCT-2017

10-OCT-2014
 
10-OCT-2014 History of entity/person  T.C.GOYAL  
History of company DLF LTD.
 
SEBI  DID NOT MAKE DISCLOSURES OF RELATED PARTY TRANSACTIONS, FINANCIAL DETAILS OF SUBSIDIARIES AND OUTSTANDING LITIGATIONS AGAINST SUBSIDIARIES IN RED HEARING PROSPECTUS (RHP) AND PROSPECTUS IN MATTER OF DLF LTD.  DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-OCT-2014 TO 09-OCT-2017

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-OCT-2014 TO 09-OCT-2017

10-OCT-2014
 

The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

 
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