SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE � PRESS RELEASES/ CHAIRMAN�S AND MEMBER�S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PERSONS: VIOLATED SEBI (PFUTP) REGULATIONS, 2003

S.No.

PERSON

ENTITY

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

AKASH PATNI

(PAN:AIMPP5138N)

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VIKASH METAL & POWER LTD.

CIN:L27109WB1996PLC080353
PAN:AAACV8850A

INDULGED IN ISSUANCE OF GDRS FRAUDULENTLY AND EXECUTED PLEDGE AGREEMENT ON BEHALF OF VIKASH VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VIKASH METAL & POWER LTD.

RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 29-SEP-2021 TO 28-SEP-2025

RESTRAINED AND FURTHER PROHIBITED FROM HOLDING AND OCCUPYING ANY MANAGERIAL POST OR BEING ASSOCIATED DIRECTLY OR INDIRECTLY WITH ANY LISTED PUBLIC COMPANY AND/OR ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 29-SEP-2021 TO 28-SEP-2025

29-SEP-2021

SAT: SAT VIDE ITS ORDER DATED 01/02/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 29/09/2021 SO FAR IT RELATED TO APPELLANTS.MATTER REMITTED TO WTM TO PASS A FRESH ORDER IN ACCORDANCE WITH LAW AND APPELLANTS TO APPEAR BEFORE WTM ON 18/02/2022

SAT: SAT VIDE ITS ORDER DATED 06/02/2023 DISMISSED THE APPEALS

AKASH PATNI

(PAN:AIMPP5138N)

VIKASH METAL & POWER LTD.

CIN:L27109WB1996PLC080353
PAN:AAACV8850A

INDULGED IN APPROVAL OF BOARD RESOLUTION SUBMITTED TO EURAM BANK VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF VIKASH METAL & POWER LTD.

IMPOSED PENALTY RS.20,00,000

30-SEP-2022

SAT: SAT VIDE ITS ORDER DATED 06/02/2023 DISMISSED THE APPEALS

SEBI VIDE ITS NOTICE DATED 30/05/2023 DIRECTED TO PAY RS.21,81,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

AKASH RAJKUMAR SARAF

(PAN:AAFPS8849C)

DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES DEFAULT IN REDMPTION OF FCCBS VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) (C) AND (D) OF PFUTP REGULATIONS, 2003 IN MATTER OF ZENITH INFOTECH LTD.

IMPOSED PENALTY RS.70,00,000

28-JUL-2020

SAT: SAT VIDE ITS ORDER DATED 24/09/2020 GRANTED FOUR WEEKS TIME TO RESPONDENT TO FILE AFFIDAVIT IN REPLY AND TWO WEEKS THEREAFTER FOR FILING AFFIDAVIT IN REJOINDER, IF ANY AND PLACED THE APPEAL FOR FINAL DISPOSAL ON 27/11/2020. IN THE MEANTIME, THE EFFECT AND OPERATION OF IMPUGNED ORDER DIRECTED TO BE STAYED UPON DEPOSIT OF RS 70 LACS WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER

SAT: SAT VIDE ITS ORDER DATED 29/04/2021 ADJOURNED THE MATTER TO 23/06/2021

AKASH SINGHANIA

(PAN:ALSPS2169P)

ALLEGED INDULGENCE IN FRONT RUNNING OF VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF DEUTSCHE MUTUAL FUND

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.93,50,817, DISGORGEMENT AMOUNT RS.1,42,21,775, INTEREST RS.27,49,771 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

22-DEC-2021

AKBAL NARAYAN SINGH

(PAN:ABFPS9453D)

INDULGED IN FUNDING ACTIVITIES CARRIED OUT BY COMPANY IN CONNIVANCE WITH ITS PROMOTER ENTITIES FOR CONVERSION OF WARRANTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.

ALLOTTED EQUITY SHARES UNDER PREFERENTIAL ALLOTMENT TO INDIVIDUAL WITHOUT RECEIPT OF PROPER CONSIDERATION FROM SOME OF THE ALLOTTEES AND ONE OF THEM DID NOT HAVE PAN VIOLATING CLAUSE 13.1C OF SEBI (DIP) GUIDELINES, 2000 READ WITH REGULATION 111 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.

FURNISHED WRONG/FALSE DECLARATION IN ANNUAL REPORT AND FALSELY DISCLOSE PROPER CONSIDERATION RECEIVED ON CONVERSION OF WARRANTS ISSUED BY COMPANY VIOLATING CLAUSE 13.1.2.3 (B) OF SEBI (DIP) GUIDELINES, 2000 READ WITH REGULATION 111 OF SEBI (ICDR) REGULATIONS, 2009 IN MATTER OF CAMSON BIO TECHNOLOGIES LTD.

IMPOSED PENALTY RS.5,00,000

30-MAY-2022

AKHTER AZIZ SIDDIQI

(PAN:AIDPS0636F)

INDULGED IN MANIPULATION OF BOOKS OF ACCOUNTS AND PUBLISHED FALSE AND MISLEADING FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(E), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FEDDERS ELECTRIC & ENGINEERING LTD.

RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 22-DEC-2023 TO 21-DEC-2025

RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR OR KEY MANAGERIAL PERSONNEL IN ANY LISTED COMPANY OR ANY INTERMEDIARY REGISTERED WITH SEBI AND FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY OR PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC OR ANY INTERMEDIARY REGISTERED WITH SEBI FROM 22-DEC-2023 TO 21-DEC-2025

IMPOSED PENALTY RS.1,25,00,000

22-DEC-2023

SAT: SAT VIDE ITS ORDER DATED 08/04/2024 DIRECTED RESPONDENT NOT TO TAKE ANY COERCIVE STEPS TILL THE NEXT DATE OF LISTING

SAT: SAT: SAT VIDE ITS ORDER DATED 18/04/2024 DIRECTED SEBI TO FILE REPLY WITHIN THREE WEEKS AND APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS. DIRECTED APPELLANT TO DEPOSIT 50% PENALTY AMOUNT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF APPEAL

AKSHAY RAJENDRABHAI OSWAL

(PAN:ABJPO0630N)

PARTICIPATED IN FRAUDULENT DEVICE, SCHEME OR ARTIFICIAL AT VARIOUS STAGES VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D), 4(1) AND 4(2)(A) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RIDDHI SIDDHI GLUCO BIOLS LTD.

FRAUDULENTLY TRADED TO MAKE DELISTING OFFER SUCCESSFUL VIOLATING REGULATIONS 4(5)(A) TO 4(5)(C) OF SEBI (DELISTING OF EQUITY SHARES) REGULATIONS, 2009 IN MATTER RIDDHI SIDDHI GLUCO BIOLS LTD.

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-AUG-2021 TO 10-AUG-2023

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-AUG-2021 TO 10-AUG-2023

RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-AUG-2021 TO 10-AUG-2023

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

11-AUG-2021

SAT: SAT VIDE ITS ORDER DATED 28/10/2021 DIRECTED APPELLANT TO FILE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER. EFFECT AND OPERATION OF THE IMPUGNED ORDER STAYED DURING PENDENCY OF THE APPEAL

SAT: SAT VIDE ITS ORDER DATED 07/04/2022 GRANTED APPELLANT THREE WEEKS & NO MORE TIME TO FILE REJOINDER

AKSHITA RAJENDRA SHAH

(PAN:FQTPS9446E)

ALKA JAIN

(PAN:ASJPJ4155A)

INDULGED IN FRONT RUNNING OF TRADE ACTIVITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2)(Q) READ WITH REGULATION 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SAPPHIRE INTREX LTD.

ALKA JAIN

(PAN:ASJPJ4155A)

IMPOSED PENALTY RS.5,00,000

30-JUL-2024

ALKA SAHNI

(PAN:ABLPS8090C)

LS INDUSTRIES LTD.

CIN:L51505HP1993PLC031724
PAN:AAACL1987E

DESIGNED MANIPULATIVE SCHEME TO DEFRAUD INVESTORS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(A), 4(2)(B) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF LS INDUSTRIES LTD.

DIRECTED TO CO-OPERATE WITH SEBI IN INVESTIGATION BY FURNISHING ALL RELEVANT INFORMATION

RESTRAINED FROM BUYING, SELLING OR DEALING IN SHARES OF LS INDUSTRIES LTD. EITHER DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER FROM 11-FEB-2025 UNTIL FURTHER ORDERS

11-FEB-2025

SEBI VIDE ITS ORDER DATED 30/05/2025 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 11/02/2025 AND DIRECTED TO COOPERATE WITH SEBI IN INVESTIGATION IN RIGHT EARNEST

ALKABEN PRADIPKUMAR SHAH

(PAN:DHCPS5135L)

MADE FALSE AND MISLEADING STATEMENTS TO STOCK EXCHANGES REGARDING ANNOUNCEMENTS OF ORDER/ CONTRACTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F) 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BHARAT GLOBAL DEVELOPERS LTD.

MISREPRESENTED / MISSTATED FINANCIAL STATEMENTS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1), 4(2)(F) 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BHARAT GLOBAL DEVELOPERS LTD.

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED NOT TO DEAL IN SHARES OF BHARAT GLOBAL DEVELOPERS LTD. IN ANY MANNER WHATSOEVER FROM 23-DEC-2024 UNTIL FURTHER ORDERS

DIRECTED TO CO-OPERATE WITH SEBI�S INVESTIGATION BY FURNISHING ALL RELEVANT INFORMATION REGARDING THE COMPANY�S COMMERCIAL TRANSACTION, ITRS , MINUTES OF MEETINGS OF COMPANY�S BOARD OF DIRECTORS, EMPLOYEES, EPFO, GST REGISTRATION AND PAYMENTS, COMMUNICATIONS WITH TATA AGRO & CONSUMER PRODUCTS, RELIANCE INDUSTRIES LTD., UPL AGRO PVT.LTD., MC CAIN INDIA AGRO PVT.LTD. REGARDING THE BUSINESS CONTRACTS DISCLOSED TO INVESTORS

23-DEC-2024

SAT: SAT VIDE ITS ORDER DATED 06/02/2025 DISMISSED THE APPEAL AS INFRUCTUOUS

SEBI VIDE ITS ORDER DATED 26/03/2025 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 23/12/2024

ALKESH NARWARE

(PAN:BQCPN5590D)

MISUSED ONLINE TRADING KITS OF INVESTORS

PROMISED GUARANTEE RETURNS FROM ALGO/SOFTWARE-BASED TRADING AND EXECUTION OF FRAUDULENT AND MANIPULATIVE TRADES IN ILLIQUID �OUT OF MONEY� (OTM) STOCK OPTIONS

DIRECTED TO DISGORGE RS.4,83,11,996 ALONG WITH OTHER ENTITIES/PERSONS

RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 20-JUN-2025 TO 19-JUN-2028

IMPOSED PENALTY RS.25,00,000

RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM

DIRECTED BANKS AND DEPOSITORIES TO ENSURE THAT PAY-OUTS AND REDEMPTION/SALE PROCEEDS DEBIT FROM BANK ACCOUNTS ARE ONLY FOR THE PURPOSE OF COMPLIANCE OF THIS ORDER FROM 20-JUN-2025 TO 19-JUN-2028

20-JUN-2025

ALOK KUMAR SINGH

(PAN:ACQPS1889K)

DID NOT MAKE DISCLOSURE OF INTER-SE CONNECTION AMONGST THEM WHILE TRADING ON MENTHA OIL FUTURES ON EXCHANGE VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT. AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 READ WITH SEBI CIRCULAR NO.CDMRD.DMP/CIR/2016/96 DATED 27/09/2016 AND SEBI/HO/DCDMRD/DMP/CIR/P/2017/84 DATED 25/07/2017

IMPOSED PENALTY RS.6,00,000

31-MAR-2023

ALOK KUMAR SINGH

(PAN:ACQPS1889K)

AIDED AND ABETTED SCHEME AND ARTIFICE UTILIZED BY NEFM GROUP FOR TRADING IN MENTHA OIL CONTRACTS THROUGH A NUMBER OF ENTITIES WHO TRADED IN MENTHA OIL FUTURES AS CLIENT OF RCS VIOLATING REGULATION 2(1)(C) OF SEBI (PFUTP) REGULATIONS, 2003

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2019 TILL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2019 TILL FURTHER ORDERS

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

28-FEB-2019

SEBI VIDE ITS ORDER DATED 06/12/2019 REVOKED ITS DIRECTIONS ISSUED VIDE ITS EX-PARTE INTERIM ORDER DATED 28/02/2019

ALOK SINGH

(PAN:ARUPS4303H)

ALLEGED FAILURE WHILE IN POSSESSION OF UNPUBLISHED MATERIAL INFORMATION ABOUT VALUATION OF DEFAULT SECURITIES AND WITHDREW ENTIRE INVESTMENT FROM FUND TO ADVANTAGE VIOLATING REGULATIONS 3(A), 4(1) AND 4(2)(Q) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF BANK OF INDIA INVESTMENT MANAGERS PVT.LTD. (PREVIOUSLY: BOI AXA INVESTMENT MANAGERS PVT.LTD.

REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,50,000 VIDE CONSENT ORDER)

28-DEC-2022

ALPA ALPESH FURIYA

(PAN:ADPPD4355B)

ALPESH VASANJI FURIYA (HUF)

PAN:AALHA9417Q

INDULGED IN MISAPPROPRIATION OF NON-PUBLIC INFORMATION FROM EMPLOYER AND TRADED VIOLATING REGULATIONS 3 AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ

ALPA ALPESH FURIYA

(PAN:ADPPD4355B)

ALPESH VASANJI FURIYA (HUF)

PAN:AALHA9417Q

INDULGED IN MISAPPROPRIATION OF NON-PUBLIC INFORMATION FROM EMPLOYER AND TRADED VIOLATING REGULATIONS 3 AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ

IMPOSED PENALTY RS.10,00,000

11-JUN-2024

SEBI VIDE ITS NOTICE DATED 07/02/2025 DIRECTED TO PAY RS.10,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

ALPA ALPESH FURIYA

(PAN:ADPPD4355B)

ALPESH VASANJI FURIYA (HUF)

PAN:AALHA9417Q

INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL NON-PUBLIC INFORMATION VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 04-OCT-2021 UNTIL FURTHER ORDERS

DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT

DIRECTED TO FREEZE BANK ACCOUNTS

DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY

DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 04-OCT-2021 UNTIL FURTHER ORDERS

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

04-OCT-2021

SAT: SAT VIDE ITS ORDER DATED 17/11/2022 DIRECTED TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER WITHIN THREE WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 05/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER

ALPANA R.KIRLOSKAR

(PAN:AARPK0165B)

TRADED WHILE IN POSSESSION OF NON-PUBLIC INFORMATION OF CAPITAL LOSS VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KIRLOSKAR BROTHERS LTD.

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 20-OCT-2020 TO 19-APR-2021

DIRECTED TO DISGORGE RS.3,02,23,450

20-OCT-2020

SAT: SAT VIDE ITS ORDER DATED 24/12/2020 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER PROVIDED APPELLANT WILL NOT SELL THEIR SHARES IN KIRLOSKAR INDUSTRIES LTD. TO THE VALUE OF RS.10 CRORES

SAT: SAT VIDE ITS ORDER DATED 12/10/2022 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDERS DATED 28/10/2020

The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.