| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
RUTU SHAH
(PAN:HIJPS7864A)
|
|
|
|
MANGALAM GLOBAL ENTERPRISE PVT.LTD.
|
|
ALLEGED FAILURE IN PERFORMING DUTY AS COMPLIANCE OFFICER VIOLATING REGULATIONS 6(2)(A), 6(2)(C) AND 27(2) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27 OF SEBI ACT, 1992 IN MATTER OF MANGALAM GLOBAL ENTERPRISE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,42,500 VIDE CONSENT ORDER)
30-MAR-2026
|
|
| 82 |
|
|
S.JAGADEESAN
(PAN:AAAPJ7386G)
|
|
|
|
BINNY LTD.
PAN:AAACB2529G
|
|
ALLEGED FAILURE TO ACT INDEPENDENTLY IN THE INTERESTS OF THE SHAREHOLDER AND ONLY ACTED AS PER THE DIRECTIONS OF THE MANAGEMENT IN MATTER OF BINNY LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,05,000 VIDE CONSENT ORDER)
13-FEB-2024
|
|
| 83 |
|
|
SAILESH T.DESAI
(PAN:ABCPD5074E)
|
|
|
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM AUDIT COMMITTEE FOR TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD. IN ANNUAL REPORTS VIOLATING REGULATION 34(3) READ WITH SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.37,41,000 VIDE CONSENT ORDER)
11-FEB-2021
|
|
| 84 |
|
|
SANDEEP GUPTA
(PAN:AADPG0923F)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(1)(C), 4(1)(D), 4(1)(I) AND 30(10) OF SEBI (LODR) REGULATIONS, 2011 IN MATTER OF ASIAN HOTELS (W) LTD.
ALLEGED VIOLATION OF REGULATIONS 30(7) AND 4(1)(D) OF SEB) (LODR) REGULATIONS, 2015 READ WITH SEBI CIRCULAR DATED 21/11/2019 IN MATTER OF ASIAN HOTELS (W) LTD.
ALLEGED VIOLATION OF REGULATIONS 30(2) READ WITH SCHEDULE III OF SEBI (LODR) REGULATIONS, 2015 AND REGULATION 4(2)(F) OF SEBI (LODR) REGULATIONS, 2015 AND SEBI CIRCULAR DATED 18/10/ 2019 IN MATTER OF ASIAN HOTELS (W) LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.29,25,000 VIDE CONSENT ORDER)
05-JUL-2023
|
|
| 85 |
|
|
SANDEEP PURI
(PAN:AHUPP2196B)
|
|
|
ALLEGED CERTIFY CONSOLIDATED FINANCIAL STATEMENTS VIOLATING CLAUSE 49(V) OF LISTING AGREEMENT IN MATTER OF FORTIS HEALTHCARE LTD.
ALLEGED CERTIFY MISLEADING FINANCIAL STATEMENTS VIOLATING CLAUSE 49(IX) OF LISTING AGREEMENT (POST AMENDMENT DATED 17/04/2014) READ WITH REGULATION 103 OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 21 OF SCRA, 1956 AND REGULATIONS 17(8) AND 33(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF FORTIS HEALTHCARE LTD.
ALLEGED FAILURE IN CARRYING OUT DUE DILIGENCE AND EXERCISE INDEPENDENT JUDGEMENT WITH RESPECT TO GRANT OF LOANS/INVESTMENTS TO 3 BORROWER COMPANIES VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992
ALLEGED INDULGENCE IN MISUSE AND DIVERSION OF PUBLIC SHAREHOLDERS FUNDS THROUGH 3 BORROWER COMPANIES FOR BENEFIT OF RHC HOLDING LTD. AND CONSEQUENTLY MR.MALVINDER MOHAN SINGH AND MR.SHIVINDER MOHAN SINGH VIOLATING REGULATIONS 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF FORTIS HEALTHCARE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.93,50,000 VIDE CONSENT ORDER)
31-JAN-2022
|
|
| 86 |
|
|
SARIKA MODI
(PAN:AJDPM8227B)
|
|
|
|
MANGALAM GLOBAL ENTERPRISE PVT.LTD.
|
|
ALLEGED INDULGENCE IN PUBLISHING OF MISSTATED FINANCIAL STATEMENTS, PASSING OF FICTITIOUS BOOK ENTRIES AND DIVERSION OF FUNDS FROM THE COMPANY FOR BENEFIT OF PROMOTER GROUP COMPANIES VIOLATING REGULATIONS 4(2)(E) (1), 4(2)(F)(I)(1),(2), 4(2)(F)(II)(2),(5),(6),(7),(8) AND 4(2)(F)(III)(1),(2),(3),(6),(8),(12),(14), 25(5) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27(1) OF SEBI ACT, 1992 IN MATTER OF MANGALAM GLOBAL ENTERPRISE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,42,500 VIDE CONSENT ORDER)
30-MAR-2026
|
|
| 87 |
|
|
SHALIL S.SHROFF
(PAN:AABPS6589H)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE TO STOCK EXCHANGES REGARDING DEFAULT IN PAYMENT BY PURCHASERS TO THE ERSTWHILE SHAREHOLDERS VIOLATING REGULATIONS 30(4)(I), 30(5) AND 30(9) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PUNJAB CHEMICALS & CROP PROTECTION LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,45,000 VIDE CONSENT ORDER)
25-MAR-2021
|
|
| 88 |
|
|
SHIVANAND SHETTIGAR
(PAN:AAIPS3741G)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF MATERIAL INFORMATION TO STOCK EXCHANGES VIOLATING REGULATION 6(2)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF YES BANK LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,45,000 VIDE CONSENT ORDER)
04-SEP-2019
|
|
| 89 |
|
|
SHUBHANG MITTAL
(PAN:ACSPM9459K)
|
|
|
|
MANGALAM GLOBAL ENTERPRISE PVT.LTD.
|
|
ALLEGED INDULGENCE IN PUBLISHING OF MISSTATED FINANCIAL STATEMENTS, PASSING OF FICTITIOUS BOOK ENTRIES AND DIVERSION OF FUNDS FROM THE COMPANY FOR BENEFIT OF PROMOTER GROUP COMPANIES VIOLATING REGULATIONS 4(2)(E) (1), 4(2)(F)(I)(1),(2), 4(2)(F)(II)(2),(5),(6),(7),(8) AND 4(2)(F)(III)(1),(2),(3),(6),(8),(12),(14), 25(5) OF SEBI (LODR) REGULATIONS, 2015 READ WITH SECTION 27(1) OF SEBI ACT, 1992 IN MATTER OF MANGALAM GLOBAL ENTERPRISE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,42,500 VIDE CONSENT ORDER)
30-MAR-2026
|
|
| 90 |
|
|
SUBASH MOHAN BHAT
(PAN:AAAPB6132G)
|
|
|
|
SOBHA LTD.
PAN:AABCS7723E
|
|
ALLEGED FAILURE IN DISCHARGING HIS DUTY AS CFO AND INDULGED IN ACCOUNTING IRREGULARITIES IN THE BOOKS OF ACCOUNTS VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2) (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF SOBHA LTD.
ALLEGED PUBLISH UNTRUE AND MISLEADING FINANCIAL RESULTS VIOLATING REGULATION 33 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SOBHA LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,92,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
22-AUG-2022
|
|
| 91 |
|
|
SUBHASH BAHL
(PAN:AEDPB6810Q)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(1A) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1), 13(3) AND 13(4) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
ALLEGED DELAY IN COMPLIANCE OF CLAUSE 35 OF LISTING AGREEMENT READ WITH REGULATIONS 31(1) AND 103(1) OF SEBI (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 IN MATTER OF NETWORK 18 MEDIA & INVESTMENT LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.31,60,374 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-AUG-2018
|
|
| 92 |
|
|
SUDARSHAN SEN
(PAN:AALPS2024B)
|
|
|
|
PNB HOUSING FINANCE LTD.
PAN:AAACP3682N
|
|
ALLEGED FAILURE IN OBTAINING REGISTERED VALUER’S REPORT IN ACCORDANCE WITH ARTICLE 19(2) OF ARTICLES OF ASSOCIATION (AOA) OF COMPANY VIOLATING REGULATIONS 4(2)(F)(III)(3), (6) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
ALLEGED FAILURE TO TAKE INTO ACCOUNT THE INTERESTS OF ALL STAKEHOLDER BY NOT ACCOUNTING FOR CONTROL PREMIUM IN PRICING OF THE PREFERENTIAL ISSUE VIOLATING REGULATIONS 4(2)(F)(III)(3), (6) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
ALLEGED FAILURE IN MAKING ADEQUATE AND TIMELY DISCLOSURE OF MATERIAL INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D), 4(1)(H), 4(2)(B), 4(2)(E)(I), 4(2)(E)(II) AND 30(12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,50,000, INTEREST RS.44,26,533 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-JUL-2022
|
|
| 93 |
|
|
SUDHIR V.VALIA
(PAN:AABPV2199J)
|
|
|
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM AUDIT COMMITTEE FOR TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD. IN ANNUAL REPORTS VIOLATING REGULATION 34(3) READ WITH SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.37,41,000 VIDE CONSENT ORDER)
11-FEB-2021
|
|
| 94 |
|
|
SUDIPTA BHATTACHARYA
(PAN:ABAPB4098C)
(Along with : GAUTAMBHAI SHANTILAL ADANI,
RAJESHBHAI SHANTILAL ADANI,
MALAY RAMESH MAHADEVIA,
RAJEEVA RANJAN SINHA)
|
|
|
|
ADANI PORTS & SPECIAL ECONOMIC ZONE LTD.
CIN:L63090GJ1998PLC034182
|
|
ALLEGED FAILURE IN ADHERING TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING RULE 19A OF SECURITIES CONTRACTS (REGULATIONS) RULES, 1957 AND CLAUSES 35 AND 40A OF LISTING AGREEMENT IN MATTER OF ADANI GROUP COMPANIES
ALLEGED FAILURE IN ADHERING TO MINIMUM PUBLIC SHAREHOLDING REQUIREMENT VIOLATING REGULATIONS 31 AND 38 OF SEBI (LODR) REGULATIONS, 2015 AND SECTION 24(1) OF SCRA, 1956 IN MATTER OF ADANI GROUP COMPANIES
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.37,05,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-SEP-2026
|
|
| 95 |
|
|
SUNIL AJMERA
(PAN:AACPA0366P)
|
|
|
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM AUDIT COMMITTEE FOR TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN TAKING PRIOR APPROVAL FROM SHAREHOLDERS FOR RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 23(4) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF RELATED PARTY TRANSACTIONS WITH ADITYA MEDISALES LTD. IN ANNUAL REPORTS VIOLATING REGULATION 34(3) READ WITH SCHEDULE V OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF RELATED PARTY DISCLOSURE WITH ADITYA MEDISALES LTD.VIOLATING REGULATION 6(2)(A) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SUN PHARMACEUTICAL INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.18,70,500 VIDE CONSENT ORDER)
11-FEB-2021
|
|
| 96 |
|
|
SUNIL KAUL
(PAN:AABPK1037E)
|
|
|
|
PNB HOUSING FINANCE LTD.
PAN:AAACP3682N
|
|
ALLEGED FAILURE IN OBTAINING REGISTERED VALUER’S REPORT IN ACCORDANCE WITH ARTICLE 19(2) OF ARTICLES OF ASSOCIATION (AOA) OF COMPANY VIOLATING REGULATIONS 4(2)(F)(III)(3), (6) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
ALLEGED FAILURE TO TAKE INTO ACCOUNT THE INTERESTS OF ALL STAKEHOLDER BY NOT ACCOUNTING FOR CONTROL PREMIUM IN PRICING OF THE PREFERENTIAL ISSUE VIOLATING REGULATIONS 4(2)(F)(III)(3), (6) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
ALLEGED FAILURE IN MAKING ADEQUATE AND TIMELY DISCLOSURE OF MATERIAL INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D), 4(1)(H), 4(2)(B), 4(2)(E)(I), 4(2)(E)(II) AND 30(12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,50,000, INTEREST RS.44,26,533 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-JUL-2022
|
|
| 97 |
|
|
SUNIL SETHY
(PAN:ABTPS5430L)
|
|
|
|
ZUARI AGRO CHEMICALS LTD.
CIN:L65910GA2009PLC006177
PAN:AAACZ3924H
|
|
ALLEGED INDULGENCE IN PUBLISHING MISREPRESENTED/ MISSTATED FINANCIAL STATEMENT IN MATTER OF ZUARI AGRO CHEMICALS LTD.
ALLEGED INDULGENCE IN FURNISHING UNTRUE CERTIFICATES WITH RESPECT TO FINANCIAL STATEMENTS IN MATTER OF ZUARI AGRO CHEMICALS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.73,12,500 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 05-MAR-2026 TO 04-JUL-2026
05-MAR-2026
|
|
| 98 |
|
|
T.MANISRIRAM
(PAN:AANPS3888D)
|
|
|
|
BINNY LTD.
PAN:AAACB2529G
|
|
ALLEGED FAILURE TO ACT INDEPENDENTLY IN THE INTERESTS OF THE SHAREHOLDER AND ONLY ACTED AS PER THE DIRECTIONS OF THE MANAGEMENT IN MATTER OF BINNY LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,05,000 VIDE CONSENT ORDER)
13-FEB-2024
|
|
| 99 |
|
|
T.RADHAKRISHNAN
(PAN:AAAPR3503M)
|
|
|
|
BINNY LTD.
PAN:AAACB2529G
|
|
ALLEGED FAILURE TO ACT INDEPENDENTLY IN THE INTERESTS OF THE SHAREHOLDER AND ONLY ACTED AS PER THE DIRECTIONS OF THE MANAGEMENT IN MATTER OF BINNY LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,42,500 VIDE CONSENT ORDER)
13-FEB-2024
|
|
| 100 |
|
|
TEJENDRA MOHAN BHASIN
(PAN:AADPB4947Q)
|
|
|
|
PNB HOUSING FINANCE LTD.
PAN:AAACP3682N
|
|
ALLEGED FAILURE IN OBTAINING REGISTERED VALUER’S REPORT IN ACCORDANCE WITH ARTICLE 19(2) OF ARTICLES OF ASSOCIATION (AOA) OF COMPANY VIOLATING REGULATIONS 4(2)(F)(III)(3), (6) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
ALLEGED FAILURE TO TAKE INTO ACCOUNT THE INTERESTS OF ALL STAKEHOLDER BY NOT ACCOUNTING FOR CONTROL PREMIUM IN PRICING OF THE PREFERENTIAL ISSUE VIOLATING REGULATIONS 4(2)(F)(III)(3), (6) AND (7) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
ALLEGED FAILURE IN MAKING ADEQUATE AND TIMELY DISCLOSURE OF MATERIAL INFORMATION TO STOCK EXCHANGES VIOLATING REGULATIONS 4(1)(D), 4(1)(H), 4(2)(B), 4(2)(E)(I), 4(2)(E)(II) AND 30(12) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF PNB HOUSING FINANCE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,50,000, INTEREST RS.44,26,533 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-JUL-2022
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 6
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