| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.BALASUBRAMANIAN
|
|
|
|
BIRLA SUN LIFE ASSET MANAGEMENT CO.LTD.
|
|
|
BIRLA SUN LIFE MUTUAL FUND
|
|
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
|
|
| 2 |
|
|
ABHAYKUMAR PARASMAL BORA
(PAN:ADHPB4825G)
|
|
|
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
|
|
| 3 |
|
|
ADITI A.DALAL
|
|
|
|
ADITI A.DALAL,M/S
|
|
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 |
|
|
ADITYA VENKETESH
(PAN:AGHPV8923A)
|
|
|
|
URJA GLOBAL LTD.
PAN:AAACC0367M
|
|
ISSUED FALSE AND MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF URJA GLOBAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
13-MAY-2022
|
|
| 5 |
|
|
AJAY G.PIRAMAL
(PAN:AAEPP7726Q)
|
|
|
|
PIRAMAL ENTERPRISES LTD.
PAN:AAACN4538P
|
|
DID NOT CLOSE TRADING WINDOW DURING THE TIME OF PRICE SENSITIVE INFORMATION WAS UNPUBLISHED VIOLATING CLAUSES 3.2-1 AND 3.2-3(F) OF MODEL CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING FOR LISTED COMPANIES IN SCHEDULE I PART A READ WITH REGULATION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
|
| 6 |
|
|
ALKA SUNIL KHANDELWAL
(PAN:AJCPK7932N)
|
|
|
ENTERED INTO OPPOSITE TRANSACTION WITHIN SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSE 10 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ALOK INDUSTRIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
23-SEP-2021
|
|
| 7 |
|
|
ALPESH SHESHMAL SHAH
(PAN:AEAPS0393A)
|
|
|
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 |
|
|
AMAR PANGHAL
(PAN:AAWPP3993Q)
|
|
|
VIOLATED SECTIONS 12A(A) TO (C) OF THE SEBI ACT READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)(K) AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF K SERA SERA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 9 |
|
|
AMAR PREMCHAND WALMIKI
(PAN:AAUPW9971A)
|
|
|
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
|
|
| 10 |
|
|
AMIT JAIN
|
|
|
|
OM VIJAY NIVESH PVT.LTD.
|
|
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
|
|
| 11 |
|
|
AMRIK SINGH
|
|
|
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
|
|
| 12 |
|
|
ANAND KALU RAPU MARATHE
(PAN:AKWPM0699M)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, CIRCULAR, SYNCHRONIZED AND SELF TRADES IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-FEB-2015 TO 09-FEB-2017
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-FEB-2015 TO 09-FEB-2017
10-FEB-2015
|
|
| 13 |
|
|
ANANT P.SAXENA
(PAN:AAAPS0862L)
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(B) TO 3(D) & 4(2)(C), 4(2)(F), 4(2)K AND 4(2)(R) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUES OF IKF TECHNOLOGIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 14 |
|
|
ANIL HIRALAL SHAH (AKA. RAJU B.SHAH)
|
|
|
DID NOT FURNISH INFORMATION AND REFUSED TO ACCEPT SUMMONS ISSUED FOR FURNISHING OF INFORMATION IN MATTER OF AVINASH INFORMATION TECHNOLOGY LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
03-MAR-2010
|
|
| 15 |
|
|
ANKIT AGARWAL
(PAN:AGJPA1748G)
|
|
|
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 17/11/2020 STAYED IMPUGNED ORDER IN SO FAR 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
|
| 16 |
|
|
ANKIT RAJENDRA SANCHANIYA
(PAN:BLNPS3316L)
|
|
|
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
|
|
| 17 |
|
|
ANUP PRABHAKAR DESHMUKH
(PAN:ANZPD8205A)
|
|
|
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 08/06/2022 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 18 |
|
|
ARADHNA CHOUDHARY
(PAN:APTPC1456J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH OFF-MARKET TRANSACTIONS IN SCRIP OF RAM MINERALS & CHEMICALS LTD. (FORMERLY KNOWN AS IVCL CHEMICALS LTD.)
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
04-JUN-2019
|
|
| 19 |
|
|
ARCHANA ARUNKUMAR UPADHYAY
(PAN:AAAPU3454C)
|
|
|
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
|
|
| 20 |
|
|
ARUNKUMAR CHHAGANLAL UPADHYAY
(PAN:AAAPU0565E)
|
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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