| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
JYOTSENABEN M.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
|
|
| 22 |
|
|
K.GOPALAKRISHNAN
|
|
|
|
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
|
|
| 23 |
|
|
KAMLESH SHAH
(DIN:03289234)
|
|
|
|
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
|
|
| 24 |
|
|
KISHORE THAKKAR
|
|
|
SOLD UNLISTED SHARES THROUGH MARKET AND OFF-MARKET TRADES
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.54,00,000
30-SEP-2005
|
SAT: APPEAL DISMISSED
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 25 |
|
|
M.G.ANANT KUMAR
|
|
|
|
DSQ BIOTECH 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
|
|
| 26 |
|
|
MADHU H.GANERIWALA
|
|
|
OFFLOADED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN MARKET WITH ACTIVE CONNIVANCE OF COMPANY MANAGEMENT
INTRODUCED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN THE MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-NOV-2007 TO 06-NOV-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-NOV-2007 TO 06-NOV-2010
07-NOV-2007
|
|
| 27 |
|
|
MAHENDRA AMRUTLAL SHAH
|
|
|
|
RANSI SOFTWARES INDIA LTD.
|
|
MADE FALSE REPRESENTATION IN NEWSPAPERS TO MISLEAD/INDUCE INVESTORS
INDULGED IN DEMATERIALIZING AND TRADING IN UNLISTED SHARES
DID NOT ADHERE TO SUMMONS ISSUED FOR FURNISHING OF INFORMATION
DID NOT ADHERE TO SUMMONS ISSUED BY SEBI
|
IMPOSED PENALTY RS.54,00,000
30-SEP-2005
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 28 |
|
|
MAHESH M.SHAH
|
|
|
|
SHALIBHADRA INFOSEC LTD.
|
|
OFFLOADED UNLISTED SHARES OF SHALIBHADRA INFOSEC LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAR-2008 TO 02-MAR-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAR-2008 TO 02-MAR-2009
03-MAR-2008
|
|
| 29 |
|
|
MALTI BIPINCHANDRA 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
|
|
| 30 |
|
|
MANOJ HARISH GANERIWALA
|
|
|
OFFLOADED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN MARKET WITH ACTIVE CONNIVANCE OF COMPANY MANAGEMENT
INTRODUCED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN THE MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-NOV-2007 TO 06-NOV-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-NOV-2007 TO 06-NOV-2010
07-NOV-2007
|
|
| 31 |
|
|
MAULIK PRAFULCHANDRA PATWA
|
|
|
|
SHALIBHADRA INFOSEC LTD.
|
|
ASSISTED PROMOTERS OF SHALIBHADRA INFOSEC LTD. IN ACQUIRING AND OFF-LOADING MORE THAN ONE CRORE UNLISTED SHARES OF THE COMPANY
|
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
|
|
| 32 |
|
|
MONA FALGUN 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
|
|
| 33 |
|
|
MUKESH BACHUBHAI VADECHA
|
|
|
|
SHALIBHADRA INFOSEC LTD.
|
|
INDULGED IN ACQUISITION AND OFFLOADING OF UNLISTED SHARES OF SHALIBHADRA INFOSEC LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-FEB-2008 TO 17-FEB-2010
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-FEB-2008 TO 17-FEB-2010
03-MAR-2008
|
|
| 34 |
|
|
MURALI NAIR
|
|
|
|
DESIGN AUTO SYSTEMS LTD.
CIN:U03410MP1987PLC003941
|
|
OFFLOADED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN MARKET WITH ACTIVE CONNIVANCE OF COMPANY MANAGEMENT
INTRODUCED UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD. IN THE MARKET
VIOLATED SEBI PREFERENTIAL ISSUE DIRECTIVES/INSTRUCTIONS/GUIDELINES IN MATTER OF DESIGN AUTO SYSTEMS LTD.
INDULGED IN CREATING ARTIFICIAL PRICE RISE IN UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-DEC-2007 TO 26-DEC-2013
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-DEC-2007 TO 26-DEC-2013
27-DEC-2007
|
|
| 35 |
|
|
NAGESHBHAI RAMESHBHAI 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
|
|
| 36 |
|
|
NARENDRA CHOUHAN
|
|
|
|
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
|
|
| 37 |
|
|
P.S.BALASUBRAMANIUM
|
|
|
|
DSQ BIOTECH 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
|
|
| 38 |
|
|
PANKAJ C.PATEL
|
|
|
CREATED ARTIFICIAL DEMAND IN SCRIP OF SHALIBHADRA INFOSEC LTD. BY TRADING HUGE VOLUMES OF UNLISTED SHARES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 03-MAR-2008 TO 02-MAR-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 03-MAR-2008 TO 02-MAR-2009
03-MAR-2008
|
|
| 39 |
|
|
PARULBEN NAGESHBHAI 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
|
|
| 40 |
|
|
PRASHANT S.RAJGARHIA
|
|
|
|
DESIGN AUTO SYSTEMS LTD.
CIN:U03410MP1987PLC003941
|
|
VIOLATED REGULATIONS 3 AND 4 OF PFUTP, REGULATIONS, 1995
VIOLATED REGULATIONS 4(A) AND (C) OF PFUTP REGULATIONS, 1995
INDULGED IN CREATING ARTIFICIAL PRICE RISE IN UNLISTED SHARES OF DESIGN AUTO SYSTEMS LTD.
VIOLATED SEBI TAKEOVER REGULATIONS IN MATTER OF DESIGN AUTO LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-MAR-2007 TO 05-MAR-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-MAR-2007 TO 05-MAR-2014
06-MAR-2007
SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUL-2008~
|
SAT: APPLICANT AGREED TO PAY RS.10,00,000 TOWARDS SETTLEMENT CHARGES AS PER CONSENT ORDER DATED 30/07/2008
SAT: DIRECTED APPLICANT TO PROCURE REMAINING QUANTITY OF SHARES ON OR BEFORE 31/08/2009 AND MAKE THEM AVAILABLE TO COMPANY FOR CANCELLATION, FAILING WHICH CONSENT APPLICATION FILED BEFORE SEBI SHALL BE DEEMED TO HAVE BEEN REJECTED. APPEAL STANDS DISPOSE OFF ACCORDINGLY
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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