| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 921 |
|
VIBHA MOHOTA
(PAN:AOJPM9658R)
|
|
|
TRADED DURING RESTRICTED PERIOD VIOLATING REGULATIONS 5(2)(II) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MOHOTA INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
24-FEB-2022
|
|
| 922 |
|
|
VICTOR PETER CHRISTOPHER
(PAN:AFAPC1693Q)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ITC LTD.
|
IMPOSED PENALTY RS.1,00,000
22-APR-2021
|
|
| 923 |
|
|
VIDHI ATUL HEMANI
(PAN:ACIPH0949K)
|
|
|
DID NOT MAKE DISCLOSURES OF RELEASE OF PLEDGE AND INVOCATION OF PLEDGE OF SHARES TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(1) AND 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4) AND 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF OMNITECH INFOSOLUTIONS LTD.
|
IMPOSED PENALTY RS.4,00,000
17-OCT-2022
|
SAT: SAT VIDE ITS ORDER DATED 19/12/2022 DISMISSED THE APPEAL. NO COSTS
SEBI VIDE ITS NOTICE DATED 12/04/2023 DIRECTED TO PAY RS.4,29,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 924 |
|
|
VIDYADHAR D.VARDAM
(PAN:AEWPV1391M)
|
|
|
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF AVENUE SUPERMARTS LTD.
|
IMPOSED PENALTY RS.2,00,000
31-JUL-2020
|
|
| 925 |
|
|
VIJAY KHETAN
(PAN:AAACW2472M)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSES 3.2 AND 2.0 OF SCHEDULE II AND REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
ALLEGED FAILURE IN IMPLEMENTING CODE OF CONDUCT FOR PROHIBITION OF INSIDER TRADING VIOLATING CLAUSE 1.2 OF CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,06,000 VIDE CONSENT ORDER)
02-MAR-2023
|
|
| 926 |
|
|
VIJAY KUMAR KANCHARLA
(PAN:ATNPK0320K)
|
|
|
|
BRIGHTCOM GROUP LTD.
PAN:AAACL5827B
|
|
DID NOT ADHERE TO PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS AS REQUIRED UNDER IND AS 36 VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT MAKE DISCLOSURES W.R.T. EVENTS AND CIRCUMSTANCES THAT LED TO RECOGNITION OF IMPAIRMENT LOSS IN PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS AS REQUIRED UNDER IND AS 36 VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT CARRY OUT ANNUAL IMPAIRMENT TESTING IN PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS AS REQUIRED IND AS 36 VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT RECOGNIZE IMPAIRMENT LOSS W.R.T. ITS INVESTMENTS IN SUBSIDIARY DESPITE INDICATION OF IMPAIRMENT IN PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS AS REQUIRED IND AS 36 VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT ADHERE TO PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS AS REQUIRED IND AS 26 AND IND AS 38 VIOLATING REGULATIONS 4(1)(A) TO 4(1)(E), 4(1)(G) TO 4(1)(J), 4(2)(E)(I), 33(1)(C) AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES REGARDING FACT OF INITIATION OF FORENSIC AUDIT VIOLATING REGULATIONS 30(1), 30(2) AND 30(6) READ WITH CLAUSE 17 SCHEDULE III PARA A OF PART A OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
SUBMITTED INCORRECT AND MISLEADING SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(C), (H) AND 31(1)(B) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR NO.CIR/CFD/CMD/13/2015 DATED 30/11/2015 IN MATTER OF BRIGHTCOM GROUP LTD.
ISSUED FALSE AND MISLEADING PRESS RELEASE REGARDING APPOINTMENT OF INTERNAL AUDITOR VIOLATING REGULATIONS 4(1)(C) AND (H) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT REVIEW QUARTERLY CONSOLIDATED RESULTS BY STATUTORY AUDITORS VIOLATING REGULATION 33(3)(H) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT ENSURE THAT THE CONSTITUTION OF AUDIT COMMITTEE ACCORDANCE WITH REGULATORY REQUIREMENTS VIOLATING REGULATION 18(1)(B) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT APPOINT AT LEAST ONE INDEPENDENT DIRECTOR FROM ITS BOARD AS DIRECTOR ON BOARD OF DIRECTORS OF THREE UNLISTED MATERIAL SUBSIDIARIES VIOLATING REGULATION 24(1) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT PUBLISH STANDALONE FINANCIAL STATEMENTS OF ITS SUBSIDIARIES ON ITS WEBSITE VIOLATING REGULATION 4(1)(D),(G), (H), (I), (J) AND 46(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES IN RESPECT OF IMPACT OF INTRODUCTION OF GENERAL DATA PROTECTION REGULATION (GDPR) ON FUNCTIONING OF COMPANY VIOLATING REGULATION 30 READ WITH CLAUSE 7 OF PARA B OF PART A OF SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT MAKE DISCLOSURE TO STOCK EXCHANGES IN RESPECT OF INTRODUCTION OF GENERAL DATA PROTECTION REGULATION (GDPR) AS THREATS, OUTLOOK, RISKS OR CONCERNS IN MANAGEMENT DISCUSSION AND ANALYSIS VIOLATING REGULATION 34(2)(3) AND SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT EXERCISE DUE DILIGENCE AS MEMBER OF AUDIT COMMITTEE VIOLATING REGULATION 18(3) READ WITH PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT ADHERE TO PREPARATION AND PRESENTATION OF FINANCIAL STATEMENTS AS REQUIRED IND AS 26 VIOLATING CLAUSES 49(I)(C)(1)(A) AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BRIGHTCOM GROUP LTD.
SUBMITTED INCORRECT AND MISLEADING SHAREHOLDING PATTERN TO STOCK EXCHANGES VIOLATING CLAUSE 35 OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT MAINTAIN STRUCTURED DIGITAL DATABASE (SDD) CONTAINING NAMES OF SUCH PERSONS OR ENTITIES WITH WHOM UPSI WAS SHARES VIOLATING REGULATION 3(5) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
|
DIRECTED NOT TO SELL/DISPOSE OF/DILUTE SHAREHOLDING IN COMPANY, HELD DIRECTLY OR INDIRECTLY THROUGH FAMILY MEMBERS OR THROUGH COMPANIES IN WHICH THEY OR THEIR FAMILY MEMBERS DIRECTORS
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 06-FEB-2025 TO 05-FEB-2030
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 06-FEB-2025 TO 05-FEB-2030
IMPOSED PENALTY RS.15,00,00,000
13-APR-2023
|
SEBI VIDE ITS ORDER DATED 06/02/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER, FOR FIVE YEARS FROM DATE OF THIS ORDER B) RESTRAINED FROM BEING ASSOCIATED WITH SECURITIES MARKET, IN ANY MANNER WHATSOEVER, INCLUDING AS A DIRECTOR OR KEY MANAGERIAL PERSONNEL IN A LISTED COMPANY OR AN INTERMEDIARY REGISTERED WITH SEBI OR A PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC IN THE SECURITIES MARKET FOR FIVE YEARS FROM DATE OF THIS ORDER C) IMPOSED PENALTY OF RS.15 CRORE U/S 15A(B), 15A(C), 15HA, 15HB OF SEBI ACT. AND U/S 23H OF SCRA TO BE PAID WITHIN FORTY-FIVE (45) DAYS FROM DATE OF RECEIPT OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 17/02/2025 DISMISSED THE APPEAL AS WITHDRAWN
|
| 927 |
|
|
VIJAY KUMAR KANCHARLA
(PAN:ATNPK0320K)
|
|
|
|
BRIGHTCOM GROUP LTD.
PAN:AAACL5827B
|
|
|
VIJAY KUMAR KANCHARLA (HUF)
PAN:AAGHV3639E
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
TRADED DURING CLOSURE OF TRADING WINDOW VIOLATING CLAUSE 4 OF SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
|
IMPOSED PENALTY RS.6,00,000
13-JUN-2023
|
|
| 928 |
|
|
VIJAY KUMAR KANCHARLA
(PAN:ATNPK0320K)
|
|
|
|
BRIGHTCOM GROUP LTD.
PAN:AAACL5827B
|
|
|
VIJAY KUMAR KANCHARLA (HUF)
PAN:AAGHV3639E
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
TRADED DURING CLOSURE OF TRADING WINDOW VIOLATING CLAUSE 4(1) OF SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
|
IMPOSED PENALTY RS.4,00,000 ALONG WITH OTHER ENTITIES/PERSONS
28-JUN-2023
|
|
| 929 |
|
|
VIJAYKUMAR OMPRAKASH JAIN
(PAN:AALPJ8055H)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) READ WITH REGULATION 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF RELIGARE ENTERPRISES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,31,250 VIDE CONSENT ORDER)
10-JUN-2022
|
|
| 930 |
|
|
VIJENDRA BISHT
(PAN:BAGPB4169Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TITAN CO.LTD.
|
IMPOSED PENALTY RS.1,00,000
19-AUG-2022
|
|
| 931 |
|
|
VIJU BABULAL JAIN
(PAN:AUXPJ7590H)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SIDDARTH BUSINESS LTD. (CURRENTLY KNOWN AS SHIVAMSHREE BUSINESS LTD.)
EXECUTED CONTRA TRADE WITHIN PERIOD OF SIX MONTHS VIOLATING CLAUSE 3(E) OF CODE OF CONDUCT READ WITH CLAUSE 10 OF SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SIDDARTH BUSINESS LTD. (CURRENTLY KNOWN AS SHIVAMSHREE BUSINESS LTD.)
|
IMPOSED PENALTY RS.5,00,000
24-JAN-2020
|
SEBI VIDE ITS NOTICE DATED 24/12/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1. ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 932 |
|
|
VIJYANAND SANKAR
(PAN:BBVPS2910L)
|
|
|
DID NOT MONITOR TRADES VIOLATING REGULATION 5(3) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MATRIMONY.COM LTD.
|
IMPOSED PENALTY RS.1,00,000
30-AUG-2022
|
|
| 933 |
|
|
VIKAS GARG
(PAN:AAAPG8241P)
|
|
|
NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF VIKAS ECOTECH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VIKAS ECOTECH LTD.
|
IMPOSED PENALTY RS.2,00,000
27-JUL-2023
|
|
| 934 |
|
|
VIKAS PARTANI
(PAN:ADPPV3347K)
|
|
|
|
KASHISH MULTI TRADE PVT.LTD.
PAN:AACCK7596A
|
|
|
KASTURI OVERSEAS PVT.LTD.
PAN:AAACK9158J
|
|
|
TELANGANA STATE INDUSTRIAL DEVELOPMENT CORP.LTD.
PAN:AAFCT1949P
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MATRA KAUSHAL ENTERPRISE LTD.
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2023
|
SEBI VIDE ITS NOTICE DATED 05/07/2023 DIRECTED TO PAY RS.1,06,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/07/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 935 |
|
|
VIKRAM L.DESAI
(PAN:AGOPD3239J)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(1) AND 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDIABULLS VENTURES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,31,250 VIDE CONSENT ORDER)
06-OCT-2021
|
|
| 936 |
|
|
VIKRAMADITYA CHANDRA
(PAN:AACPC0870C)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 AND REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF NEW DELHI TELEVISION LTD.
|
DIRECTED TO DISGORGE RS.6,67,385
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-NOV-2020 TO 26-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-NOV-2020 TO 26-NOV-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
27-NOV-2020
|
SAT: SAT VIDE ITS ORDER DATED 24/12/2020 DIRECTED TO RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. IN THE MEANWHILE, EFFECT AND OPERATION OF IMPUGNED ORDER REMAIN STAYED UPON DEPOSIT OF RS.3.50 LACS WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 22/09/2023 RESERVED THE ORDER. WRITTEN SUBMISSION, IF ANY, TO BE FILED WITHIN A WEEK FROM DATE OF THIS ORDER
|
| 937 |
|
|
VILLAYANUR VARADARAJAN VENKATASUBRAMANIYAM
(PAN:AAKPV6612K)
|
|
|
|
INFOSYS LTD.
PAN:AAACI4798L
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFOSYS LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAY-2021 UNTIL FURTHER ORDERS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
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 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 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 31-MAY-2021 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
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
31-MAY-2021
|
SEBI VIDE ITS ORDER DATED 15/09/2021 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 31/05/2021 SUBJECT TO MODIFICATIONS AFTER TAKING INTO ACCOUNT THE SPECIFIC FACTS AND CIRCUMSTANCES - A) RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES OF INFOSYS, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER UNTIL FURTHER ORDER B) DIRECTIONS ISSUED VIDE PARA 71.9 AND 71.10 OF THE INTERIM ORDER STANDS MODIFIED TO THE EXTENT OF ALLOWING CREDIT AND DEBIT OF SECURITIES IN THE ACCOUNTS
SAT: SAT VIDE ITS ORDER DATED 22/12/2021 CONDONED THE DELAY IN FILING OF APPEAL
|
| 938 |
|
|
VIMAL BUDHESHBHAI SHAH
(PAN:BNXPS1922C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF KUSHAL LTD.
|
IMPOSED PENALTY RS.1,00,000
25-AUG-2021
|
|
| 939 |
|
|
VIMALA DEVI KALANTRI
(PAN:AAHPK8935D)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I), 3(II) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAINT GOBAIN SEKURIT INDIA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,09,000, DISGORGEMENT AMOUNT RS.2,14,338, INTEREST RS.2,29,019 VIDE CONSENT ORDER)
23-JUL-2020
|
|
| 940 |
|
|
VIMALA DEVI KALANTRI
(PAN:AAHPK8935D)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(I) AND 4 OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF PANTALOON RETAIL (INDIA) LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,57,500, DISGORGEMENT AMOUNT RS.4,01,300, INTEREST RS.3,80,103 VIDE CONSENT ORDER)
23-JUL-2020
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 47 of 49
|
