| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.H.HOLDINGS PVT.LTD.
|
|
|
|
HARISH KUMAR
|
|
INDULGED IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SHARES OF ELECTROLUX KELVINATOR LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-AUG-2008
|
|
| 2 |
|
|
ABL BIOTECHNOLOGIES LTD.
(PAN:AAACA5463G)
|
|
|
|
G.SUBRAMANIAN
(PAN:AARPS0953K)
|
|
|
RAVEENDRAN SAPPANY
(PAN:AAGPR8625Q)
|
|
|
ROSEMARY ISAAC
(PAN:AAEPR5705R)
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABL BIOTECHNOLOGIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
31-MAY-2019
|
|
| 3 |
|
|
ADITI A.DALAL,M/S
|
|
|
|
ADITI A.DALAL
|
|
AIDED TROPICAL SECURITIES & INVESTMENTS PVT.LTD. IN THE SYNCHRONIZED/STRUCTURED DEALS IN SCRIP OF PRUDENTIAL PHARMACEUTICALS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
11-NOV-2010
|
|
| 4 |
|
|
ADVANCE HOVERCRAFT & COMPOSITES (INDIA) LTD.
|
|
|
|
PRASHANT KUMAR
|
|
DEMATERIALISED AND SOLD CERTAIN SHARES OF SHONKH TECHNOLOGIES INTERNATIONAL LTD. DURING LOCK-IN PERIOD
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-NOV-2015
|
|
| 5 |
|
|
ALKARNI HOLDINGS LTD.
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT READ WITH REGULATIONS 3(C) TO 3(D) & 4(2)(A), 4(2)(C), 4(2)(F) AND 4(2)(K) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 6 |
|
|
ALLIANCE INTERMEDIATERIES & NETWORK PVT.LTD.
(PAN:AAECA6031C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 7 |
|
|
AMIT SAHITA FINANCE PVT.LTD.
(PAN:AABCA2735J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF AADHAAR VENTURES INDIA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-JUL-2020
|
|
| 8 |
|
|
AMS FINANCE & SECURITIES LTD.
(PAN:AAACA6746Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
15-SEP-2014
|
|
| 9 |
|
|
ANKIT MAHENDRA JAIN (HUF)
(PAN:AAKHA9197C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 10 |
|
|
ANZ INVESTMENT
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 11 |
|
|
ASIATIC ENGINEERS PVT.LTD.
|
|
|
|
HARISH KUMAR
|
|
INDULGED IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SHARES OF ELECTROLUX KELVINATOR LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-AUG-2008
|
|
| 12 |
|
|
ASK HOLDINGS PVT.LTD.
|
|
|
CREATED ARTIFICIAL MARKETS IN SCRIP OF AKL SOFT & INFOSYS LTD.
CREATED ARTIFICIAL MARKETS IN SCRIP OF AKL SOFT & INFOSYS LTD.
TRANSACTED IN SCRIP OF AKL SOFT & INFOSYS LTD. WITHOUT TRANSFERRING BENEFICIAL OWNERSHIP WITH THE INTENTION TO INFLATE PRICES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
16-SEP-2005
|
|
| 13 |
|
|
ASTRAZENECA PHARMACEUTICALS AB SWEDEN
(PAN:AAGCA8106J)
|
|
|
MADE OFFER FOR SALE OF SHARES TO SUBSEQUENTLY GET THE SHARES OF ASTRAZENECA PHARMA INDIA LTD.DELISTED
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECT THAT FRESH DELISTING PROPOSAL INITIATED BY PROMOTER COMPANY ANYTIME IN FUTURE, SAME SHALL BE INITIATED ONLY AFTER OBSERVING EXTANT PROVISIONS OF SEBI ACT AND REGULATIONS FRAMED THEREUNDER AND IN LETTER AND SPIRIT
DIRECTED BSE AND NSE TO CLOSELY MONITOR ENTIRE DELISTING PROCESS OF ASTRAZENECA PHARMA INDIA LTD.
05-JUN-2020
|
|
| 14 |
|
|
BALKISHAN INNANI (HUF)
(PAN:AADHB8997E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 15 |
|
|
BANK OF BARODA
(PAN:AAACB1534F)
|
|
|
SPONSORED MORE THAN ONE MUTUAL FUND AND HOLD MORE THAN 10% SHAREHOLDING IN MORE THAN ONE AMC AND TRUSTEE COMPANY VIOLATING REGULATION 7B OF SEBI (MF) REGULATIONS, 1996
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
14-AUG-2020
|
SAT: SAT VIDE ITS ORDER DATED 07/01/2021 PARTLY ALLOWED THE APPEAL BY SUBSTITUTING PENALTY OF RS.10 LACS TO WARNING. NO COSTS
|
| 16 |
|
|
BIRLA SUN LIFE ASSET MANAGEMENT CO.LTD.
|
|
|
|
A.BALASUBRAMANIAN
|
|
DID NOT ADHERE TO ALL PROVISIONS OF THE DIRECTIVES/INSTRUCTIONS/GUIDELINES, CIRCULARS IN MATTER OF ADVERTISEMENT THROUGH NEWSPAPERS AND HOARDINGS AS REQUIRED UNDER REGULATION 25(6A) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-FEB-2010
|
|
| 17 |
|
|
BOEING INVESTMENTS PVT.LTD.
|
|
|
|
ASHOK KUMAR CHATURVEDI
|
|
INDULGED IN CREATION OF SYNCHRONIZED TRANSACTIONS IN SCRIP OF FLEX INDUSTRIES LTD. (NOW KNOWN AS UFLEX LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-JAN-2009
|
|
| 18 |
|
|
BULL RESEARCH INVESTMENT ADVISORS PVT.LTD.
(PAN:AAHCB1200H)
|
|
|
|
SANDEEP KUSHWAHA
(PAN:DPBPK9313F
DIN:08176753)
|
|
|
VINIT SATPUTE
(PAN:EBMPS2703F
DIN:07737200)
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD ADVISORY SERVICES/PACKAGES TO SAME CLIENTS ON MULTIPLE OCCASION AT DIFFERENT ARBITRARY PRICE FOR FUTURE/OVERLAPPING PERIOD WHILE EXISTING SUBSCRIPTION WAS ACTIVE
RECEIVED PAYMENT FROM FAMILY MEMBERS OF PRIMARY CLIENTS TO HIDE EXORBITANT FEES TAKEN FROM PRIMARY CLIENT
RECEIVED PAYMENT BEFORE DOING KNOW YOUR CLIENTS (KYC) AND RISK PROFILING OF CLIENTS
RAISED INVOICES IN THE NAME OF CLIENTS WHO DID NOT HAVE DEMAT/TRADING ACCOUNT
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT POSSESS NISM CERTIFICATE
DID NOT ADHERE TO REQUIREMENT OF CAPITAL ADEQUACY
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
|
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO FILE A REPORT OF RESOLUTION OF COMPLAINTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
15-SEP-2023
|
|
| 19 |
|
|
CAPVISION INVESTMENT ADVISOR
(PAN:AAJFC0782A)
|
|
|
|
REKHA MISHRA
(PAN:CFQPM0385H)
|
|
ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-FEB-2023
|
|
| 20 |
|
|
CARDINAL CAPITAL PARTNERS
|
|
|
INDULGED IN FRAUDULENT SCHEME WITHOUT PAYING REAL CONSIDERATION TO TRANSFERRED AND RECEIVED GDRS VIOLATING SECTIONS 12A(A) OF SEBI ACT. 1992 AND REGULATIONS 3(B) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TELEDATA TECHNOLOGY SOLUTIONS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-AUG-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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