| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
ACACIA BANYAN PARTNERS
(PAN:AAGCA6900N)
|
|
|
ALLEGED FAILURE IN MAKING WRONG STATEMENTS THAT ‘CONIFER CAPITAL MANAGEMENT LLC’ NOT CONTROLLED BY BENEFICIAL OWNER VIOLATING CLAUSE 6 OF CODE OF CONDUCT
AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 122 |
|
|
ACACIA CONSERVATION FUND LP
(PAN:ABCFA8290P)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 123 |
|
|
ACACIA II PARTNERS, LP
(PAN:AALFA7270M)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 124 |
|
|
ACACIA INSTITUTIONAL PARTNERS, LP
(PAN:AALFA7287Q)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 125 |
|
|
ACACIA PARTNERS, LP
(PAN:AALFA7272K)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 126 |
|
|
ACACIA PROPERTIES & INVESTMENT PVT.LTD.
(Along with : VIDEOCON INDUSTRIES 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
|
|
| 127 |
|
|
ACCAUTO MARKETING LTD.
(PAN:AACCA1325R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 128 |
|
|
ACCEPT SUPPLIERS PVT.LTD.
(PAN:AAKCA3499E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 129 |
|
|
ACCESSLINE INVESTMENT PVT.LTD.
(PAN:AAACK3314J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 130 |
|
|
ACCRETION SECURITIES PVT.LTD.
(PAN:AAKCA6582A)
|
|
|
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
|
|
| 131 |
|
|
ACCURACAP PRIME OPPORTUNITIES FUND
(PAN:AAGTA5589A)
(Along with : ACCURACAP TECHNOLOGIES LLP)
|
|
|
|
DIVYA SINGHAL
PAN:CYXPS5759M
|
|
|
NARESH CHAND GUPTA
PAN:AFAPG6539D
|
|
|
PRATEEK GUPTA
PAN:BGZPG8303C
|
|
|
RAMAN NAGPAL
PAN:ABSPN1820E
|
|
ALLEGED FAILURE TO MAINTAIN MINIMUM CORPUS OF RS.20 CRORE IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO RESTORE CORPUS ABOVE RS.20 CRORE WITHIN THREE MONTHS FROM THE DATE OF SUCH BREACH IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO REDEEM THE UNITS AND WIND UP THE SCHEME DESPITE FAILURE TO RESTORE CORPUS WITHIN STIPULATED PERIOD IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED EXCEEDING MAXIMUM PERMISSIBLE INVESTMENT LIMIT IN A SINGLE INVESTEE COMPANY IN MATTER OF ACCURACAP VECTRA FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 132 |
|
|
ACCURACAP TECHNOLOGIES LLP
(PAN:AAAFQ3030E)
(Along with : ACCURACAP PRIME OPPORTUNITIES FUND)
|
|
|
|
DIVYA SINGHAL
PAN:CYXPS5759M
|
|
|
NARESH CHAND GUPTA
PAN:AFAPG6539D
|
|
|
PRATEEK GUPTA
PAN:BGZPG8303C
|
|
|
RAMAN NAGPAL
PAN:ABSPN1820E
|
|
ALLEGED FAILURE TO MAINTAIN MINIMUM CORPUS OF RS.20 CRORE IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO RESTORE CORPUS ABOVE RS.20 CRORE WITHIN THREE MONTHS FROM THE DATE OF SUCH BREACH IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO REDEEM THE UNITS AND WIND UP THE SCHEME DESPITE FAILURE TO RESTORE CORPUS WITHIN STIPULATED PERIOD IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED EXCEEDING MAXIMUM PERMISSIBLE INVESTMENT LIMIT IN A SINGLE INVESTEE COMPANY IN MATTER OF ACCURACAP VECTRA FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 133 |
|
|
ACE LIGHT INVESTMENTS
(PAN:AAQFA5870N)
|
|
|
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
|
|
| 134 |
|
|
ACG ASSOCIATED CAPSULES PVT.LTD.
(PAN:AAACA4769K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF RAJ OIL MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF RAJ OIL MILLS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,51,164 VIDE CONSENT ORDER)
25-MAY-2017
|
|
| 135 |
|
|
ACHAL AGARWAL (HUF)
(PAN:AADHA6921M)
|
|
|
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
|
|
| 136 |
|
|
ACHIEVERS COMMERCIAL PVT.LTD.
(PAN:AAGCA6464R)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,36,398 VIDE CONSENT ORDER)
09-SEP-2026
|
|
| 137 |
|
|
ACHIN BANSAL (HUF)
(PAN:AANHA5014M)
|
|
|
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
|
|
| 138 |
|
|
ACHINTYA COMMODITIES PVT.LTD.
(PAN:AAJCA1602L)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.24,02,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 139 |
|
|
ACHINTYA SECURITIES
(PAN:AAPFA0167M)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.33,32,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 140 |
|
|
ACHINTYA SECURITIES PVT.LTD.
(PAN:AAFCM2199G)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,62,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 7 of 432
|
