| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
ABHISHEK SHARMA (HUF)
(PAN:AAMHA8375E)
|
|
|
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
|
|
| 102 |
|
|
ABHISHEK SINGH THAKKAR (HUF)
(PAN:AAHHA8352C)
|
|
|
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
|
|
| 103 |
|
|
ABHISHEK SONI (HUF)
(PAN:AAKHA6243B)
|
|
|
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
|
|
| 104 |
|
|
ABHISHEK STOCK BROKING SERVICES PVT.LTD.
(PAN:AACCA2446H)
|
|
|
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
|
|
| 105 |
|
|
ABHISHEK VEDPRAKASH AGARWAL (HUF)
(PAN:AAKHA2281B)
|
|
|
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
|
|
| 106 |
|
|
ABHIYANT RANIWALA (HUF)
(PAN:AANHA6514L)
|
|
|
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
|
|
| 107 |
|
|
ABM INTERNATIONAL LTD.
(PAN:AAACD4075H)
|
|
|
ALLEGED DELAY 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.2,00,000 VIDE CONSENT ORDER)
11-JUL-2014
|
|
| 108 |
|
|
ABS INDUSTRIES LTD.
|
|
|
|
RAKESH AGARWAL
|
|
INSIDER TRADING PRIOR TO ANNOUNCEMENT OF TAKEOVER OF ABS INDUSTRIES LTD. BY BAYER INDUSTRIES
|
DIRECTED TO DEPOSIT MONEY WITH INVESTOR PROTECTION FUND TO COMPENSATE INVESTORS
LAUNCHED CRIMINAL PROSECUTION
19-JUN-2001
REACHED SETTLEMENT ( LEGAL EXPENSES RS.5,10,000 VIDE CONSENT ORDER)
23-JAN-2008
|
SAT: PART OF ORDER SET ASIDE AND APPEAL ALLOWED
APPLICANT AGREED TO PAY A SUM OF RS.48,00,000.00 AS PER CONSENT ORDER DATED 23/01/2008 UNDER CIVIL APPEAL NO.2 OF 2004 IN SUPREME COURT (RS.34,00,000 ALREADY PAID TOWARDS INVESTOR PROTECTION FUND AND RS.4,00,000 TOWARDS AO PENALTY SHALL BE FORFEITED), RS.4,00,000 TOWARDS COMPOUNDING CHARGES AND RS.6,00,000 TOWARDS LEGAL EXPENSES (RS.90,000 CRIMINAL COMPLAINT AND RS.5,10,000 TOWARDS CIVIL MATTERS).MATTER ACCORDINGLY DISPOSED OFF
|
| 109 |
|
|
ABT FINANCE LTD.
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(1) AND 3(2) OF SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATIONS, 2014 IN MATTER OF SAKTHI FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-SEP-2016
|
|
| 110 |
|
|
ABT INDUSTRIES LTD.
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(1) AND 3(2) OF SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATIONS, 2014 IN MATTER OF SAKTHI FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-SEP-2016
|
|
| 111 |
|
|
ABT LTD.
|
|
|
ALLEGED VIOLATION OF REGULATIONS 3(1) AND 3(2) OF SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATIONS, 2014 IN MATTER OF SAKTHI FINANCE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-SEP-2016
|
|
| 112 |
|
|
ABUPMENT TRADELINK PVT.LTD.
(PAN:AALCA2193C)
|
|
|
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
|
|
| 113 |
|
|
ACACIA BANYAN PARTNERS
(PAN:AAGCA6900N)
|
|
|
ALLEGED FAILURE IN MAKING WRONG STATEMENTS THAT ‘CONIFER CAPITAL MANAGEMENT LLC’ NOT CONTROLLED BY BENEFICIAL OWNER VIOLATING CLAUSE 6 OF CODE OF CONDUCT
AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 114 |
|
|
ACACIA CONSERVATION FUND LP
(PAN:ABCFA8290P)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 115 |
|
|
ACACIA II PARTNERS, LP
(PAN:AALFA7270M)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 116 |
|
|
ACACIA INSTITUTIONAL PARTNERS, LP
(PAN:AALFA7287Q)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 117 |
|
|
ACACIA PARTNERS, LP
(PAN:AALFA7272K)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 118 |
|
|
ACCAUTO MARKETING LTD.
(PAN:AACCA1325R)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 119 |
|
|
ACCEPT SUPPLIERS PVT.LTD.
(PAN:AAKCA3499E)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 120 |
|
|
ACCESSLINE INVESTMENT PVT.LTD.
(PAN:AAACK3314J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 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 6 of 376
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