| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 241 |
|
ADVANTEDGE TECHNOLOGY FUND
(PAN:AAHTA3601J)
(Along with : ADVANTEDGE INVESTMENT ADVISORS LLP)
|
|
|
|
KUNAL KHATTAR
PAN:AAPPK7564G
|
|
|
NITIN GARG
PAN:AHLPG2707N
|
|
|
RIDHISH TALWAR
PAN:ACEPT7935P
|
|
ALLEGED FAILURE TO CONTRIBUTE TO SCHEME ON A PRO-RATA BASIS IN LINE WITH CONTRIBUTIONS MADE BY OTHER INVESTORS VIOLATING REGULATIONS 10(D), 20(1), 20(2) AND 20(5) READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSE 11.1.2. OF MASTER CIRCULAR FOR AIF
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-JUN-2026
|
|
| 242 |
|
|
ADVENT COMPUTER SERVICES LTD.
|
|
|
|
V.N.SESHAGIRI RAO
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF 2,27,907 SHARES OF ADVENT COMPUTER SERVICES LTD. SOLD
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-SEP-2009
|
|
| 243 |
|
|
ADWELTH SOLUTION
(PAN:AARFA6590N)
|
|
|
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
|
|
| 244 |
|
|
ADYA SUREKA BENEFICIARY TRUST
(PAN:AADTA7310G)
|
|
|
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
|
|
| 245 |
|
|
AEONIAN INVESTMENTS CO.LTD.
(PAN:AAACA0200D)
(Along with : AMIT C.CHOKSEY (HUF))
|
|
|
|
AMIT CHAMPAKLAL CHOKSEY
|
|
|
ANKITA AMIT CHOKSEY
|
|
|
BHANUSHANKAR RAVISHANKAR TRIVEDI
|
|
|
BIPIN VITHALDAS JHAVERI
|
|
|
DHIREN PURUSHOTTAMDAS MEHTA
|
|
|
MANUBHAI GOKALBHAI PATEL
|
|
|
NAMRATA AMIT CHOKSEY
|
|
|
PRITI AMIT CHOKSEY
|
|
|
VISPI RUSI PATEL
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
|
SAT: SAT VIDE ITS ORDER DATED 29/08/2013 DIRECTED SEBI TO PASS FINAL ORDER WITHIN A PERIOD OF FOUR WEEKS FROM DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 24/09/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 246 |
|
|
AEONIAN INVESTMENTS CO.LTD.
(PAN:AAACA0200D)
(Along with : AMIT C.CHOKSEY (HUF))
|
|
|
|
AMIT CHAMPAKLAL CHOKSEY
|
|
|
ANKITA AMIT CHOKSEY
|
|
|
BHANUSHANKAR RAVISHANKAR TRIVEDI
|
|
|
BIPIN VITHALDAS JHAVERI
|
|
|
DHIREN PURUSHOTTAMDAS MEHTA
|
|
|
MANUBHAI GOKALBHAI PATEL
|
|
|
NAMRATA AMIT CHOKSEY
|
|
|
PRITI AMIT CHOKSEY
|
|
|
VISPI RUSI PATEL
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
|
SAT: SAT VIDE ITS ORDER DATED 29/08/2013 DIRECTED SEBI TO PASS FINAL ORDER WITHIN A PERIOD OF FOUR WEEKS FROM DATE OF THIS ORDER. NO COSTS
SEBI VIDE ITS ORDER DATED 24/09/2013 REVOKED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 247 |
|
|
AEONIAN INVESTMENTS CO.LTD.
(PAN:AAACA0200D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(3) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SUNSHIELD CHEMICALS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,94,472 VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 248 |
|
|
AEONIAN INVESTMENTS CO.LTD.
(PAN:AAACA0200D)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 3(4) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SUNSHIELD CHEMICALS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,37,404 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-JAN-2018
|
|
| 249 |
|
|
AFFINITY TRADECOM PVT.LTD.
(PAN:AAICA2987K)
|
|
|
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
|
|
| 250 |
|
|
AFFIX TRADELINKS PVT.LTD.
(PAN:AAJCA1528K)
|
|
|
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
|
|
| 251 |
|
|
AG FINSTOCK PVT.LTD.
(PAN:AADCA1157A)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,52,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 252 |
|
|
AGALLOCHUN INVESTMENTS PVT.LTD.
|
|
|
ALLEGED DELAY IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 14 (1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 19,53,234 SHARES OF ANIL PRODUCT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-OCT-2010
|
|
| 253 |
|
|
AGARNI LEASING & FINANCE PVT.LTD.
(Along with : SHREEVATSAA FINANCE & LEASING LTD.)
|
|
|
DID NOT ADHERE TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
DIRECTED TO FREEZ OF VOTING RIGHTS AND CORPORATE BENEFITS LIKE DIVIDEND, RIGHTS, BONUS SHARES, SPLIT, ETC. WITH RESPECT TO EXCESS OF PROPORTIONATE PROMOTER / PROMOTERS GROUP SHAREHOLDING FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED SHAREHOLDERS FORMING PART OF PROMOTER / PROMOTER GROUP FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
RESTRAINED DIRECTORS FROM HOLDING ANY NEW POSITION AS DIRECTOR IN ANY LISTED COMPANY FROM 04-JUN-2013 TILL COMPLIANCE MINIMUM PUBLIC SHAREHOLDING REQUIREMENT
04-JUN-2013
|
SEBI VIDE ITS ORDER DATED 21/01/2016 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
SEBI VIDE ITS ORDER DATED 15/02/2017 VACATED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 04/06/2013
|
| 254 |
|
|
AGARWAL BULLION LTD.
(PAN:AADCK2585Q)
|
|
|
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
|
|
| 255 |
|
|
AGARWAL FINESTATE PVT.LTD.
(PAN:AAACA7730L)
|
|
|
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
|
|
| 256 |
|
|
AGARWAL IRON & STEEL CO.PVT.LTD.
(PAN:AACCA6114C)
|
|
|
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
|
|
| 257 |
|
|
AGARWAL JITENDER KUMAR (HUF)
(PAN:AABHA8960J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,52,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 258 |
|
|
AGARWAL PAWAN KUMAR (HUF)
(PAN:AAKHA4764K)
|
|
|
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
|
|
| 259 |
|
|
AGARWAL SALTS PVT.LTD.
(PAN:AAICA1429N)
|
|
|
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
|
|
| 260 |
|
|
AGARWAL SUNIL KUMAR & SONS
(PAN:AADHA0983R)
|
|
|
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 13 of 432
|
