| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AMIT BHAVSAR
|
|
|
AIDED AND ABETTED JYOTIN SHAH, COMPANY PROMOTERS AND DIRECTORS FOR DISPOSING OFF PARTLY PAID AND UNLISTED SHARES OF OASIS MEDIA MATRIX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 2 |
|
|
ANIL D.MODI
(PAN:AGWPM7244E)
|
|
|
AIDED AND ABETTED JYOTIN SHAH, COMPANY PROMOTERS AND DIRECTORS FOR DISPOSING OFF PARTLY PAID AND UNLISTED SHARES OF OASIS MEDIA MATRIX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 3 |
|
|
ANITABEN NALINKUMAR SHAH
|
|
|
AIDED AND ABETTED JYOTIN SHAH, COMPANY PROMOTERS AND DIRECTORS FOR DISPOSING OFF PARTLY PAID AND UNLISTED SHARES OF OASIS MEDIA MATRIX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 4 |
|
|
ASHIF CHIPPA
|
|
|
AIDED AND ABETTED JYOTIN SHAH, COMPANY PROMOTERS AND DIRECTORS FOR DISPOSING OFF PARTLY PAID AND UNLISTED SHARES OF OASIS MEDIA MATRIX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 5 |
|
|
ASHISH P.SHAH
|
|
|
CREATED ARTIFICIAL VOLUMES IN SCRIP OF SHALIBHADRA INFOSEC LTD. AND ASSISTED PROMOTERS OF THE COMPANY IN OFFLOADING ITS UNLISTED SHARES IN THE SECONDARY MARKET
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 6 |
|
|
ASHIT HARIBHAI VORA
|
|
|
OFFLOADED UNLISTED SHARES OF SHALIBHADRA INFOSEC LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-FEB-2008 TO 17-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-FEB-2008 TO 17-FEB-2009
03-MAR-2008
|
|
| 7 |
|
|
ASHWIN C.SHAH
|
|
|
AIDED AND ABETTED JYOTIN SHAH, COMPANY PROMOTERS AND DIRECTORS FOR DISPOSING OFF PARTLY PAID AND UNLISTED SHARES OF OASIS MEDIA MATRIX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 8 |
|
|
BANKESH BALDEVBHAI BHAVSAR
|
|
|
AIDED AND ABETTED JYOTIN SHAH, COMPANY PROMOTERS AND DIRECTORS FOR DISPOSING OFF PARTLY PAID AND UNLISTED SHARES OF OASIS MEDIA MATRIX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 9 |
|
|
BHAVARBHAI JOSHI
|
|
|
|
COVERAGE & CONSULTANTS LTD.
|
|
INTRODUCED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN THE MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-OCT-2007 TO 21-OCT-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-OCT-2007 TO 21-OCT-2014
22-OCT-2007
|
|
| 10 |
|
|
BIMLESH KUMAR MISHRA
|
|
|
|
SOMANI CEMENT CO.LTD.
CIN:L26940GJ1983PLC006400
PAN:AACCS9762N
|
|
DID NOT APPOINT COMMON SHARE REGISTRAR FOR HANDLING SHARE REGISTRY WORK OF DEMAT AND PHYSICAL SECURITIES
INDULGED IN ISSUANCE OF MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF SOMANI CEMENT CO. LTD.
OFFLOADED UNLISTED SHARES OF SOMANI CEMENT CO.LTD IN MARKET THROUGH CONNECTED PERSONS
VIOLATED REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 19.91% SHARES OF SOMANI CEMENT CO.LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SOMANI CEMENT CO. LTD.
INDULGED IN DEMATERIALISATION OF SHARES OF SOMANI CEMENT CO.LTD. IN EXCESS OF ITS PAID UP CAPITAL
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-2008 TO 16-DEC-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-2008 TO 16-DEC-2018
17-DEC-2008
|
|
| 11 |
|
|
CHANDERKANT MEHTA
|
|
|
|
OASIS MEDIA MATRIX LTD.
CIN:L27100GJ1995PLC027638
|
|
REISSUED 21457000 SHARES WITHOUT RECEIVING FULL CONSIDERATION AND OFFLOADED UNLISTED SHARES OF OASIS MEDIA MATRIX LTD. IN MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2010
14-FEB-2008
|
|
| 12 |
|
|
DINESH DALMIA
(PAN:ACPPD9838G)
|
|
|
|
DSQ BIOTECH LTD.
|
|
|
DSQ HOLDINGS LTD.
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
INDULGED IN OFF-LOADING OF UNLISTED SHARES OF DSQ BIOTECH LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2009 TO 12-JAN-2019
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-JAN-2009 TO 12-JAN-2019
13-JAN-2009
|
|
| 13 |
|
|
DINESH DALMIA
(PAN:ACPPD9838G)
|
|
|
|
DSQ SOFTWARE LTD.
PAN:AAACS5071J
|
|
COMMITTED IRREGULARITIES IN ALLOTMENT OF 1.70 CRORE SHARES OF DSQ SOFTWARE LTD IN THE YEAR 2000-01 AND OF THE SAID SHARES, INTRODUCED OF 1.30 CRORE SHARES INTO THE MARKET WITHOUT LISTING
SUBMITTED WRONG INFORMATION TO SEBI
PROVIDED WRONG/INCOMPLETE INFORMATION TO EXCHANGES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-SEP-2004 TO 08-SEP-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-SEP-2004 TO 08-SEP-2014
DIRECTED TO DEPOSIT A SUM OF RS.630 CRORE IN SEPARATE ESCROW ACCOUNT
DIRECTED TO BUY 1.30 CRORE SHARES OF DSQ SOFTWARE LTD. AND RETAIN IT IN SEPARATE DEMAT ACCOUNT
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
09-SEP-2004
|
SAT: DIRECTED SEBI TO APPOINT AN APPROPRIATE AUTHORITY TO IDENTIFY THOSE SHAREHOLDERS HOLDING UNLISTED SHARES AND TO ARRANGE FOR REFUND OF PURCHASE PRICE AFTER THEY SURRENDER UNLISTED SHARES
SAT: MODIFIED PERIOD OF DEBARMENT FROM 27/01/2001 TO 26/01/2011 AND DIRECTED DINESH DALMIA TO PURCHASE REMAINING UNLISTED SHARES AND TO RETAIN SAME IN A SEPERATE DEPOSITORY ACCOUNT AND TO FUND THIS ENTIRE OPERATION
|
| 14 |
|
|
DINESH DALMIA
(PAN:ACPPD9838G)
|
|
|
|
DSQ BIOTECH LTD.
|
|
|
DSQ HOLDINGS LTD.
|
|
INDULGED IN SYNCHRONIZED & STRUCTURED TRANSACTIONS IN SCRIP OF DSQ BIOTECH LTD.
INDULGED IN OFF-LOADING OF UNLISTED SHARES OF DSQ BIOTECH LTD.
|
DIRECTED TO MAKE OFFER FOR PURCHASES EQUIVALENT AMOUNT OF 80,30,000 SHARES OF DSQ BIOTECH LTD.WITHIN 45 DAYS FROM DATE OF THIS ORDER
DIRECTED TO DEPOSIT RS.122.19 CRORE IN ESCROW ACCOUNT FOR PURCHASE OF 80,30,000 SHARES OF DSQ BIOTECH LTD.
13-JAN-2009
|
|
| 15 |
|
|
FALGUN D.SHAH
|
|
|
AIDED AND ABETTED JYOTIN SHAH, COMPANY PROMOTERS AND DIRECTORS FOR DISPOSING OFF PARTLY PAID AND UNLISTED SHARES OF OASIS MEDIA MATRIX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 16 |
|
|
HARSHAD C.SHAH
|
|
|
AIDED AND ABETTED JYOTIN SHAH, COMPANY PROMOTERS AND DIRECTORS FOR DISPOSING OFF PARTLY PAID AND UNLISTED SHARES OF OASIS MEDIA MATRIX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 17 |
|
|
HEMANT J.UPADHYAY
|
|
|
AIDED AND ABETTED JYOTIN SHAH, COMPANY PROMOTERS AND DIRECTORS FOR DISPOSING OFF PARTLY PAID AND UNLISTED SHARES OF OASIS MEDIA MATRIX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 18 |
|
|
HIMANSHU JAYANTILAL SHAH
|
|
|
AIDED AND ABETTED JYOTIN SHAH, COMPANY PROMOTERS AND DIRECTORS FOR DISPOSING OFF PARTLY PAID AND UNLISTED SHARES OF OASIS MEDIA MATRIX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 19 |
|
|
HITESH P.SHAH
|
|
|
AIDED AND ABETTED JYOTIN SHAH, COMPANY PROMOTERS AND DIRECTORS FOR DISPOSING OFF PARTLY PAID AND UNLISTED SHARES OF OASIS MEDIA MATRIX LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2009
14-FEB-2008
|
|
| 20 |
|
|
JATIN MANUBHAI SHAH
|
|
|
|
OASIS MEDIA MATRIX LTD.
CIN:L27100GJ1995PLC027638
|
|
REISSUED 21457000 SHARES WITHOUT RECEIVING FULL CONSIDERATION AND OFFLOADED UNLISTED SHARES OF OASIS MEDIA MATRIX LTD. IN MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 14-FEB-2008 TO 13-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 14-FEB-2008 TO 13-FEB-2010
14-FEB-2008
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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