| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 961 |
|
VIVEK GARG
(PAN:AAJPG3272D)
|
|
|
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
|
|
| 962 |
|
|
VIVEK KUMAR VARSHNEY
(PAN:AWTPV7908B)
|
|
|
|
CONTINENTAL SEEDS & CHEMICALS LTD.
PAN:AAACC2341R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT MAKE DISCLOSURE OF SALE OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
|
IMPOSED PENALTY RS.15,00,000
29-NOV-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND ALSO STAYED THE DIRECTION IN PARAGRAPH 129.4 SUBJECT TO DEPOSIT OF RS.50 LAC DISGORGEMENT AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 GRANTED APPELLANTS TWO MORE WEEKS TO DEPOSIT AMOUNT AS DIRECTED ON 06/01/2025
|
| 963 |
|
|
VIVEK KUMAR VARSHNEY
(PAN:AWTPV7908B)
|
|
|
|
CONTINENTAL SEEDS & CHEMICALS LTD.
PAN:AAACC2341R
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT PERSONALLY APPEAR AND/OR PROVIDE NECESSARY INFORMATION/DOCUMENTS IN RESPONSE TO SUMMONS IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
DID NOT MAKE DISCLOSURE OF SALE OF SHARES TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CONTINENTAL SEEDS & CHEMICALS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-NOV-2024 TO 28-NOV-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-NOV-2024 TO 28-NOV-2025
DIRECTED TO DISGORGE RS.2,24,17,400 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
29-NOV-2024
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2025 GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 50% OF PENALTY AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND ALSO STAYED THE DIRECTION IN PARAGRAPH 129.4 SUBJECT TO DEPOSIT OF RS.50 LAC DISGORGEMENT AMOUNT WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 15/01/2025 GRANTED APPELLANTS TWO MORE WEEKS TO DEPOSIT AMOUNT AS DIRECTED ON 06/01/2025
|
| 964 |
|
|
Y.S.MANJUNATH
(PAN:ACAPM2604C)
|
|
|
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
27-JUL-2022
|
|
| 965 |
|
|
YASH ANIL JAJOO
(PAN:BECPJ4821F)
|
|
|
ENGAGED INDIRECTLY IN INSIDER TRADING ACTIVITIES WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) AND 12A(E) OF SEBI ACT. 1992 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ZEE ENTERTAINMENT ENTERPRISES LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-AUG-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 THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 12-AUG-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
12-AUG-2021
|
SEBI VIDE ITS ORDER DATED 18/02/2022 A) LIFT THE RESTRICTIONS IMPOSED ON THE ENTITIES VIDE ITS INTERIM ORDER DATED 12/08/2021 B) FUNDS DEPOSITED BY THE ENTITIES IN INTEREST BEARING ESCROW ACCOUNT WILL REMAIN IN THE SAID ACCOUNT WITH LIEN IN FAVOUR OF SEBI UNTIL FURTHER ORDERS
SEBI VIDE ITS ORDER DATED 31/03/2023 REVOKED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 12/08/2021 READ WITH CONFIRMATORY ORDER DATED 27/09/2021 AND 18/02/2022
|
| 966 |
|
|
YASHISH DAHIYA
(PAN:ABPPD8875Q)
|
|
|
|
PB FINTECH LTD.
|
|
ALLEGED FAILURE TO IDENTIFY ACQUISITION OF 26% SHARES OF YKNP MARKETING MANAGEMENT BY PB FINTECH LTD. THROUGH ITS SUBSIDIARY PB FINTECH FZ-LLCAS UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 9A(2)(B) AND CLAUSE 4(1) OF SCHEDULE B OF SEBI (PIT) REGULATIONS, 2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,42,500 VIDE CONSENT ORDER)
04-MAR-2025
|
|
| 967 |
|
|
YATENDRA KUMAR
(PAN:AFPPK9395C)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
|
DIRECTED TO DISGORGE RS.14,23,074
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
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 19-JUN-2023 TO 18-DEC-2023
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED BY APPELLANT WITHIN THREE WEEKS THEREAFTER. STAYED DEBARMENT ORDER ISSUED BY WTM
SAT: SAT VIDE ITS ORDER DATED 21/12/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 968 |
|
|
YATENDRA KUMAR
(PAN:AFPPK9395C)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-JUN-2023 TO 18-JUN-2024
19-JUN-2023
|
SAT: SAT VIDE ITS ORDER DATED 10/10/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED BY APPELLANT WITHIN THREE WEEKS THEREAFTER. STAYED DEBARMENT ORDER ISSUED BY WTM
SAT: SAT VIDE ITS ORDER DATED 21/12/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 969 |
|
|
YATENDRA KUMAR
(PAN:AFPPK9395C)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 3(I) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
DID NOT OBTAIN PRE-CLEARANCE FOR HIS TRADES VIOLATING CLAUSE 3.3 OF SCHEDULE I OF PART A OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
ENTERED INTO OPPOSITE TRANSACTION WITHIN SIX MONTHS FROM PRIOR TRANSACTION VIOLATING CLAUSE 4.2 OF SCHEDULE I OF PART SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12(2) OF SEBISEBI (PIT) REGULATIONS, 2015 IN MATTER OF WOCKHARDT LTD.
|
IMPOSED PENALTY RS.12,00,000
31-JUL-2023
|
SAT: SAT VIDE ITS ORDER DATED 01/03/2024 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 09/05/2024 CONDONED THE DELAY IN FILING OF APPEAL
|
| 970 |
|
|
YEPURI SRINIVASA RAO
(PAN:AAEPY9390B)
|
|
|
|
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.
ISSUED UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS VIOLATING REGULATION 17(8) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
DID NOT DISCHARGE DUTY AS CHIEF FINANCIAL OFFICER AND/OR CHIEF EXECUTIVE OFFICER VIOLATING REGULATIONS 4(2)(F)(I)(2) 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 PRESENT TRUE AND FAIR FINANCIAL STATEMENTS VIOLATING CLAUSE 49(IX) OF ESRTWHILE 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-2026
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-2026
IMPOSED PENALTY RS.2,00,00,000
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 ONE YEAR 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 ONE YEAR FROM DATE OF THIS ORDER C) IMPOSED PENALTY OF RS.2 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
|
| 971 |
|
|
YOGESH SHAH
|
|
|
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 REGULATIONS 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF GLOBAL SECURITIES LTD.
|
IMPOSED PENALTY RS.2,00,000
08-JAN-2021
|
|
| 972 |
|
|
YOGINDER PAL CHUGH
(PAN:AAAPP6306L)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APTECH LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.66,93,750, DISGORGEMENT AMOUNT RS.10,74,743, INTEREST RS.5,92,551 VIDE CONSENT ORDER)
14-JUL-2021
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 49 of 49
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