| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
KARVY STOCK BROKING LTD.
(PAN:AABCK5190K)
|
|
|
|
RAJIV RANJAN SINGH
(PAN:ASHPS8610D)
|
|
PLEDGED SECURITIES WITHOUT KNOWLEDGE OF CLIENTS
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED FUNDS WITH ASSOCIATE COMPANY
DID NOT MAINTAIN CONTINUOUS NETWORTH
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-APR-2023
|
|
| 62 |
|
|
KFL FINANCIAL & SECURITIES LTD.
|
|
|
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
|
|
| 63 |
|
|
KUBER FINSTOCK PVT.LTD.
|
|
|
TRANSACTED IN SCRIP OF BIRMINGHAM THERMOTECH LTD. WITHOUT TRANSFERRING BENEFICIAL OWNERSHIP WITH THE INTENTION OF CREATING FALSE AND MISLEADING APPEARANCE OF TRADING
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
16-DEC-2005
|
|
| 64 |
|
|
LIFE INSURANCE CORP.OF INDIA
(PAN:AAACL0582H)
|
|
|
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
|
| 65 |
|
|
LIVERPOOL LTD.PARTNERSHIP,THE
|
|
|
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
|
|
| 66 |
|
|
MAKWANA ARUNBHAI MOHANBHAI (HUF)
(PAN:AACHM6405R)
|
|
|
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
|
|
| 67 |
|
|
MANISH CONSTRUCTION
|
|
|
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
|
|
| 68 |
|
|
MANSFIELD (MAURITIUS) LTD.
(PAN:AAFCM5272N)
|
|
|
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
|
|
| 69 |
|
|
MAULIK INVESTMENTS
|
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-DEC-2005
|
|
| 70 |
|
|
MURALI KRISHNA MANEPALLY (HUF)
(PAN:AAGHM2011M)
|
|
|
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
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 STAYED IMPUGNED ORDER IN SO FAR AS THE APPELLANT IS CONCERNED
SAT: SAT VIDE ITS ORDER DATED 28/04/2021 LISTED ALL APPEALS ON 18/06/2021 AND DIRECTED ALL THE PARTIES TO FILE THEIR WRITTEN SUBMISSIONS IN THE MEANTIME
SAT: SAT VIDE ITS ORDER DATED 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 03/01/2023 DISMISSED THE APPEAL. NO COSTS
|
| 71 |
|
|
N.K.MALPANI,M/S
|
|
|
|
N.K.MALPANI
|
|
DID NOT EXERCISE DUE CARE AND DILIGENCE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
27-DEC-2005
|
|
| 72 |
|
|
NAINESH GUNVANTLAL JAIN (HUF)
(PAN:AAAHN3298K)
|
|
|
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
|
|
| 73 |
|
|
NIRVANA MALL MANAGEMENT CO.PVT.LTD.
(PAN:AACCN2665B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHANTANU SHEOREY AQUAKULT LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
01-JUN-2021
|
|
| 74 |
|
|
NISKALP INFRASTRUCTURE SERVICES LTD.
(PAN:AABCN9239J)
|
|
|
FALSIFIED BOOKS OF ACCOUNTS OF NISKALP BY BACK DATING TRANSACTIONS OF SALE OF SHARES OF GLOBAL TELESYSTEMS LTD. AND GLOBAL E-COMMERCE SERVICES LTD. AND THEN MADE REVERSAL OF THESE TRADE
DID NOT MAKE DISCLOSURE OF TRUE AND CORRECT FINANCIAL STATUS TO STAKEHOLDERS AND CONCEALED MATERIAL FACTS IN OFFER DOCUMENT OF RIGHTS ISSUEOF TATA FINANCE LTD. IN MATTER OF GLOBAL TELESYSTEMS LTD. AND GLOBAL E-COMMERCE SERVICES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
09-JUN-2022
|
|
| 75 |
|
|
OM VIJAY NIVESH PVT.LTD.
|
|
|
|
AMIT JAIN
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF ORACLE CREDIT LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
26-MAR-2010
|
|
| 76 |
|
|
OMPRAKASH (HUF)
|
|
|
|
HARISH KUMAR
|
|
|
OMPRAKASH
|
|
|
OMPRAKASH
|
|
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
|
|
| 77 |
|
|
PATEL AMBALAL RANCHHODBHAI (HUF)
(PAN:AACHP4026P)
|
|
|
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
|
|
| 78 |
|
|
PHILODEN AGROCHEM PVT.LTD.
|
|
|
|
DILIP THAKKAR
|
|
ACTED AS MEDIATOR FOR VISION ORGANICS LTD. TO GET ITS IPO SUBSCRIBED WITH AN UNDERSTANDING THAT SHARES ALLOTTED WILL BE REPURCHASED BY ISSUER COMPANY AT A COMMISSION
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
24-JAN-2006
|
|
| 79 |
|
|
PINNACLE TRADES & INVESTMENTS LTD.
|
|
|
INDULGED IN PRICE MANIPULATION BY CREATION OF ARTIFICIAL MARKET IN SCRIP OF SOUTH EAST ASIA MARINE ENGINEERING & CONSTRUCTIONS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
12-DEC-2008
|
|
| 80 |
|
|
PIRAMAL ENTERPRISES LTD.
(PAN:AAACN4538P)
|
|
|
|
AJAY G.PIRAMAL
(PAN:AAEPP7726Q)
|
|
|
NANDINI PIRAMAL
(PAN:AEOPP0388Q)
|
|
|
SWATI A.PIRAMAL
(PAN:AAJPP8862G)
|
|
DID NOT CLOSE TRADING WINDOW DURING THE TIME OF PRICE SENSITIVE INFORMATION WAS UNPUBLISHED VIOLATING CLAUSES 3.2-1 AND 3.2-3(F) OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES IN SCHEDULE I PART A READ WITH REGULATION 12(3) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
DID NOT HANDLE PRICE SENSITIVE INFORMATION RELATING TO SALE OF DOMESTIC HEALTHCARE BUSINESS TO ABOTT ON NEED TO KNOW BASIS VIOLATING CLAUSES 1.2 AND 2.2 OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES IN SCHEDULE I PART A READ WITH REGULATION 12(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF PIRAMAL ENTERPRISES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
03-OCT-2016
|
SAT: SAT VIDE ITS ORDER DATED 15/05/2019 ALLOWED THE APPEAL BY MODIFYING THE IMPUGNED ORDER FROM IMPOSITION OF PENALTY TO WARNING WITH FURTHER DIRECTIONS IF ANY SUCH INCIDENT OCCURS IN FUTURE, IT WOULD BE OPEN TO SEBI TO PROCEED IN ACCORDANCE WITH LAW. NO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
| Page 4 of 6
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