| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
AANYA JAIN BENEFIT TRUST
(PAN:AAETA1682N)
|
|
|
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
|
|
| 42 |
|
|
AANYA SOLAR & WIND POWER PVT.LTD.
(PAN:AAICA5103H)
|
|
|
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
|
|
| 43 |
|
|
AAR KAY STEEL PRODUCTS LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,92,750 VIDE CONSENT ORDER)
31-OCT-2014
|
|
| 44 |
|
|
AARDEE MULTITRADE PVT.LTD.
(PAN:AAGCA2607J)
(Along with : RCD MULTITRADE PVT.LTD.)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (CONSENT ORDER)
19-AUG-2024
|
|
| 45 |
|
|
AARKAY TIE-UP PVT.LTD.
(PAN:AAECA0430F)
|
|
|
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
|
|
| 46 |
|
|
AAROHI FINSTOCK PVT.LTD.
(PAN:AAACA5893L)
|
|
|
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
|
|
| 47 |
|
|
AARTI SPONGE & POWER LTD.
(PAN:AAECA7235N)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,67,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 48 |
|
|
AARYA GLOBAL SHARES & SECURITIES LTD.
(PAN:AABCP3445J)
|
|
|
ALLEGED VIOLATION OF REGULATION 95(1) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2009
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,01,742 VIDE CONSENT ORDER)
21-MAY-2018
|
|
| 49 |
|
|
AASHIRWAD DEALERS PVT.LTD.
(PAN:AAFCA6158B)
|
|
|
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
|
|
| 50 |
|
|
AASHIRWAD REALTORS PVT.LTD.
(PAN:AAGCA8128C)
|
|
|
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
|
|
| 51 |
|
|
AAWAS CONSTRUCTION PVT.LTD.
(PAN:AACCA2123R)
|
|
|
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
|
|
| 52 |
|
|
AAYJAY CONSULTANTS & INVESTMENT PVT.LTD.
(PAN:AACCA0949F)
|
|
|
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
|
|
| 53 |
|
|
AAYUSH RUNGTA & OTHERS (HUF)
(PAN:AAKHA2797Q)
|
|
|
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
|
|
| 54 |
|
|
ABANS ALTERNATIVE FUND MANAGERS LLP
(Along with : ABANS INVESTMENT TRUST)
|
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 25% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,70,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-JAN-2026
|
|
| 55 |
|
|
ABANS COMMODITIES (I) PVT.LTD.
(PAN:AAICA0476H)
|
|
|
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.10,68,337 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 56 |
|
|
ABANS ENTERPRISES LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,75,000 VIDE CONSENT ORDER)
12-APR-2017
|
|
| 57 |
|
|
ABANS INVESTMENT TRUST
(Along with : ABANS ALTERNATIVE FUND MANAGERS LLP)
|
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 25% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,70,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-JAN-2026
|
|
| 58 |
|
|
ABANS REALTY & INFRASTRUCTURE PVT.LTD.
(PAN:AAKCA1843Q)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,07,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 59 |
|
|
ABB INDIA LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 8(3) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,69,750 VIDE CONSENT ORDER)
21-NOV-2013
|
|
| 60 |
|
|
ABB NORDEN HOLDING AB
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,250 VIDE CONSENT ORDER)
31-JAN-2014
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 382
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