| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 7441 |
|
WHITEMOON TRADING CO.PVT.LTD.
(CIN:U51909MH2002PTC138235)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) SEBI TAKEOVER CODE, 1997
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1),13(3) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
15-JUN-2009
|
|
| 7442 |
|
|
WHITESPACE ALPHA TRUST
(PAN:AAATW5453D)
|
|
|
|
PRAVEEN DWARAKANATH
PAN:ANKPD7583J
|
|
|
RAMASWAMY SHIVARAMAN
PAN:BZOPS3579J
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-FEB-2024
|
|
| 7443 |
|
|
WHITESPACE FUND LLP
(PAN:AADFW1831G)
|
|
|
|
PRAVEEN DWARAKANATH
PAN:ANKPD7583J
|
|
|
RAMASWAMY SHIVARAMAN
PAN:BZOPS3579J
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-FEB-2024
|
|
| 7444 |
|
|
WILFUL FINANCE & INVESTMENT CO.PVT.LTD.
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET THROUGH SYNCHRONIZED TRANSACTIONS IN SCRIP OF GHCL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000 VIDE CONSENT ORDER)
12-JAN-2010
|
|
| 7445 |
|
|
WILFUL FINANCE & INVESTMENT CO.PVT.LTD.
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF GHCL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-JUL-2011
|
|
| 7446 |
|
|
WILLIAMSON MAGOR & CO.LTD.
(CIN:L01132WB1949PLC017715
PAN:AAACW2369P)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MCNALLY BHARAT ENGINEERING CO.LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF MCNALLY BHARAT ENGINEERING CO.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,42,500 VIDE CONSENT ORDER)
22-JAN-2016
|
|
| 7447 |
|
|
WILMINGTON TRUST COLLECTIVE INVESTMENT TRUST - LAZARD/WILMINGTON ACW EX-US EQUITY ADVANTAGE FUND
(PAN:AAATW5548H)
|
|
|
ALLEGED DELAY IN INTIMATING CHANGE IN REGULATORY STATUS, CATEGORY AND SUB-CATEGORY OF FOREIGN PORTFOLIO INVESTORS TO SEBI OR DESIGNATED DEPOSITORY PARTICIPANT
ALLEGED INDULGENCE IN MAKING FRESH PURCHASES BEFORE COMPLETION OF ADDITIONAL KNOW YOUR CLIENTS (KYC) REQUIREMENTS WITHOUT HOLDING A VALID REGISTRATION CERTIFICATE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.64,35,000 VIDE CONSENT ORDER)
21-NOV-2024
|
|
| 7448 |
|
|
WIN POWER INFRA PVT.LTD.
(PAN:AAACW4060D)
|
|
|
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
|
|
| 7449 |
|
|
WIND FINANCIAL SERVICES PVT.LTD.
(PAN:AABCW2098J)
|
|
|
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
|
|
| 7450 |
|
|
WINDSOR DEALERS PVT.LTD.
(PAN:AAACU9530A)
|
|
|
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
|
|
| 7451 |
|
|
WINMORE LEASING & HOLDINGS LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) FOR YEAR 1997 AND 8(3) FOR YEARS 1998 TO 1999 OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
27-JUL-2009
|
|
| 7452 |
|
|
WINSOME DISTRIBUTORS PVT.LTD.
(PAN:AABCW1546R)
|
|
|
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
|
|
| 7453 |
|
|
WINSOME HOLDINGS & INVESTMENTS LTD.
(Along with : SIRUGUPPA SUGARS & CHEMICALS LTD.)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AND SEBI AS REQUIRED UNDER REGULATIONS 3(3),3(4) AND 3(5) OF SEBI TAKEOVER CODE, 1997
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-MAY-2008
|
|
| 7454 |
|
|
WINSOME INTERNATIONAL LTD.
(Along with : PUNRASAR STOCK BROKING PVT.LTD.)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 6(2),6(4) FOR YEAR 1997,7(3) FOR YEAR 2004 AND 8(3) FOR YEARS 1998 TO 2006 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 20% SHARES OF WINSOME INTERNATIONAL LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
10-DEC-2008
|
|
| 7455 |
|
|
WIRES & FABRIKS (S.A.) 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.1,80,000 VIDE CONSENT ORDER)
22-APR-2010
|
|
| 7456 |
|
|
WISDOM FINVEST & CONSULTANCY PVT.LTD.
(PAN:AAACW2413N)
|
|
|
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
|
|
| 7457 |
|
|
WISE INVESTMENTS PVT.LTD.
(PAN:AAACW3141R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,000 VIDE CONSENT ORDER)
19-AUG-2024
|
|
| 7458 |
|
|
WIZARD TRADERS PVT.LTD.
(PAN:AAACW2797B)
|
|
|
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
|
|
| 7459 |
|
|
WLR RECOVERY III (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULGENCE IN SUPPRESSING INFORMATION THERBY MISLED REGULATOR AND PUBLIC IN VIOLATION OF REGULATION 45(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULENCE IN SEGREGATION AND TRANSFER OF SHARES & VOTING RIGHTS UNDER SALE & PURCHASE AGREEMENT PRIOR TO COMPLETION OF OPEN OFFER FORMALITIES IN VIOLATION OF REGULATION 22(16) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,10,23,185 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-SEP-2013
|
|
| 7460 |
|
|
WLR RECOVERY IV/ESC (INDIA) LTD.
|
|
|
ALLEGED FAILURE IN MAKING PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULGENCE IN SUPPRESSING INFORMATION THERBY MISLED REGULATOR AND PUBLIC IN VIOLATION OF REGULATION 45(5) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
ALLEGED INDULENCE IN SEGREGATION AND TRANSFER OF SHARES & VOTING RIGHTS UNDER SALE & PURCHASE AGREEMENT PRIOR TO COMPLETION OF OPEN OFFER FORMALITIES IN VIOLATION OF REGULATION 22(16) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SPICEJET INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,10,23,185 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
26-SEP-2013
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 373 of 377
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