| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
KANIKA BANSAL
(PAN:BSHPB7937B)
|
|
|
|
RAMA STEEL TUBES LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF RAMA STEEL TUBES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-SEP-2021
|
|
| 102 |
|
|
KARTIK B.JAIN
(PAN:AEXPJ6838A)
|
|
|
|
B.G.JAIN INVESTMENT PVT.LTD.
PAN:AAACB8848A
|
|
|
G.P.SHAH INVESTMENT PVT.LTD.
PAN:AAACG7944A
|
|
|
NAKODA SYNTEX PVT.LTD.
PAN:AAACN7281K
|
|
|
P.B.JAIN INVESTMENT PVT.LTD.
PAN:AABCP2964N
|
|
|
VARJU INVESTMENT PVT.LTD.
PAN:AAACV7157L
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN STIPULATED TIME AS REQUIRED UNDER REGULATION 3(2) OF SEBI (SAST) REGULATIONS, 2011 IN MATTER OF NAKODA LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
08-JUL-2013
|
SAT: APPEAL DISMISSED WITH NO ORDER AS TO COSTS
|
| 103 |
|
|
KAVITA JAIN
|
|
|
|
DOMINANCE TRADE & INVESTMENTS LTD.
|
|
AIDED, ABETTED AND ASSISTED IN MANIPULATION IN SCRIP OF KRISHNA FILAMENTS LTD.
ACTED IN CONCERT IN VIOLATION OF TAKEOVER REGULATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-SEP-2004 TO 09-SEP-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TO 09-SEP-2009
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
10-SEP-2004
|
|
| 104 |
|
|
KETAN VINAYCHANDRA PAREKH
(DIN:00009468
PAN:AADPP1505A)
|
|
|
|
CLASSIC CREDIT LTD.
PAN:AABCC4018N
|
|
|
PANTHER FINCAP & MANAGEMENT SERVICES LTD.
PAN:AAACP3045P
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF DSQ INDUSTRIES LTD. AS REQUIRED UNDER SEBI TAKEOVER CODE, 1997
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
03-JAN-2005
|
|
| 105 |
|
|
KIRANBHAI D.SHETH
|
|
|
|
AHMEDABAD VICTORIA IRON WORKS CO.LTD.,THE
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT IN MATTER OF ACQUISITION OF 1.77 % SHARES TO REACH 89.66 % SHAREHOLDING OF AHMEDABAD VICTORIA IRON WORKS CO. LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
19-FEB-2003
|
|
| 106 |
|
|
KIRTI KANTILAL MEHTA
(PAN:AKSPM3939N)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(1) OF SEBI (SAST) REGULATIONS, 2011 IN MATTER OF INSTA FINANCE LTD. (FORMERLY SDFC FINANCE LTD.)
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-OCT-2019
|
|
| 107 |
|
|
KRATI BANSAL
(PAN:AIDPB1784B)
|
|
|
|
RAMA STEEL TUBES LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF RAMA STEEL TUBES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-SEP-2021
|
|
| 108 |
|
|
KRISHAN KHAITAN
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF SHARES OF KHAITAN ELECTRICALS LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
31-DEC-2012
|
|
| 109 |
|
|
KRISHAN LAL MANCHANDA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF BRAND REALTY SERVICES LTD. (KNOWN AS SAHIL FINANCIAL SERVICES LTD.)
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
21-JAN-2015
|
|
| 110 |
|
|
KRISHNA KUMAR AGARWAL
|
|
|
|
KRISHNA FILAMENTS LTD.
|
|
|
KRISHNA FILAMENTS LTD.
|
|
FUNDED PURCHASE OF SHARES WITH SOLE OBJECT OF FIXING PRICE FOR EXIT OF CCDS OF KRISHNA FILAMENTS LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-SEP-2009 TO 09-SEP-2011
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2009 TO 09-SEP-2011
05-JUN-2008
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER DATED 05/06/2008 SET ASIDE LEAVING PARTIES TO BEAR THIER OWN COSTS
|
| 111 |
|
|
KRISHNA KUMAR AGARWAL
|
|
|
|
KRISHNA FILAMENTS LTD.
|
|
AIDED, ABETTED AND ASSISTED IN MANIPULATION IN SCRIP OF KRISHNA FILAMENTS LTD.
ACTED IN CONCERT IN VIOLATION OF TAKEOVER REGULATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-SEP-2004 TO 09-SEP-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TO 09-SEP-2009
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
10-SEP-2004
|
SAT: APPEAL ALLOWED AND IMPUGNED ORDER SET ASIDE AND CASE REMANDED TO SEBI TO DECIDE MATTER EXPEDITIOUSLY PREFERABLY WITHIN 6 MONTHS
|
| 112 |
|
|
KRUPA SANJAY SONI
(PAN:BVSPS9740P)
|
|
|
|
J M SONI CONSULTANCY
PAN:AAGFJ2939P
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATIONS 10 AND 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF OREGON COMMERCIAL LTD. (NOW KNOWN AS SAIANAND COMMERCIAL LTD.)
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
30-NOV-2018
|
SAT: SAT VIDE ITS ORDER DATED 21/03/2022 DISMISSED THE APPEAL. NO COSTS
|
| 113 |
|
|
KUMKUM MODI
(PAN:AAAPM4518P)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF SBEC SUGAR LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-SEP-2018
|
SAT: SAT VIDE ITS ORDER DATED 01/08/2019 HAS ALLOWED THREE WEEKS TIME TO FILE REJOINDER AND INTERITM ORDER, IF ANY, EXTENDED TILL DATE OF HEARING
SAT: SAT VIDE ITS ORDER DATED 29/01/2020 PARTLY ALLOWED THE APPEAL
|
| 114 |
|
|
KUMUD BANSAL
(PAN:AAGPB0080K)
|
|
|
|
RAMA STEEL TUBES LTD.
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF RAMA STEEL TUBES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
17-SEP-2021
|
|
| 115 |
|
|
LALCHAND BANKATLALJI MALOO
(PAN:ACGPM0657D)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF MURLI INDUSTRIES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
31-JUL-2015
|
SAT: SAT VIDE ITS ORDER DATED 31/08/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER BY SETTING ASIDE THE ATTACHMENT ORDER ALSO. REMITTED MATTER TO AO TO DECIDE AFRESH AFTER GRANTING OPPORTUNITY OF HEARING TO THE APPELLANTS
|
| 116 |
|
|
LALITA AGARWAL
(PAN:ACLPA2107R)
|
|
|
|
UNNAO TRADING PVT.LTD.
PAN:AAACU3544Q
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GREMACH INFRASTRUCTURE EQUIPMENTS & PROJECTS LTD. (PRESENTLY KNOWN AS SANCIA GLOBAL INFRAPROJECTS LTD.)
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 06-FEB-2019 UNTIL DISCHARGE LIABILITY BY MAKING PUBLIC ANNOUNCEMENT
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 06-FEB-2019 UNTIL DISCHARGE LIABILITY BY MAKING PUBLIC ANNOUNCEMENT
06-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 22/10/2021 ALLOWED THE APPEAL. MATTER REMITTED TO WTM TO REDECIDE THE MATTER AND CALCULATE THE PERCENTAGE OF CREEPING ACQUISITION MADE BY THE APPELLANTS IN FINANCIAL YEAR 2009-2010 WITHOUT TAKING INTO CONSIDERATION SALE OF THE SHARES MADE BY THEM IN THAT FINANCIAL YEAR
|
| 117 |
|
|
LALITCHANDRA SHAH
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 10 READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF KOFFEE BREAK PICTURES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
09-MAR-2016
|
SAT: SAT VIDE ITS ORDER DATED 04/06/2019 AFFIRMED THE ORDER EXCEPT THE PART WHICH RELATED TO FIXATION OF PRICE OF RS.33.50 PER SHARE AND DIRECTED SEBI TO APPOINT A MERCHANT BANKER TO FIX THE PRICE PER SHARE
SAT: SAT VIDE ITS ORDER DATED 10/10/2019 DIRECTED APPELLANT TO COMPLY WITH ORDER DATED 04/06/2019 AND CO-OPERATE WITH SEBI AND INDEPENDENT VALUER WITH RESPECT TO INFORMATION AND/OR DOCUMENTS SOUGHT BY INDEPENDENT VALUER AND PAY PRFESSIONAL FEES OF RS.2,00,000 TO INDEPENDET VALUER
|
| 118 |
|
|
LAXMAN SINGH SATYAPAL
(PAN:AIDPS0821N)
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 3(2) OF SAST REGULATIONS, 2011 IN MATTER OF FOCUS INDUSTRAIAL RESOURCES LTD.
|
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
DIRECTED ACQUIRER TO PAY INTEREST FOR LOSS CAUSED TO SHAREHOLDERS
19-MAR-2020
|
SAT: SAT VIDE ITS ORDER DATED 01/07/2021 CONDONED THE DELAY OF 267 DAYS IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 10/08/2021 APPELLANTS FILE THE REJOINDER WITHIN THREE WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 24/09/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 02/02/2022 GRANTED PERMISSION TO FILE AMENDMENT APPLICATION SEEKING TO AMEND RELIEF CLAUSE WITHIN TWO WEEKS FROM DATE OF THIS ORDER. SINCE APPELLANTS HAD ALREADY DEPOSITED RS.28 LAC,NO FURTHER RECOVERY TO BE MADE AGAINST THEM DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 21/02/2022 ALLOWED THE APPLICATION
|
| 119 |
|
|
LUNKARAN KAYAL
|
|
|
|
COMPETENT TRADING PVT.LTD.
|
|
|
DOMINANCE TRADE & INVESTMENTS LTD.
|
|
|
GAINFUL EXPORTS PVT.LTD.
|
|
|
LYRIC INVESTMENT & TRADING PVT.LTD.
|
|
|
MARVELLOUS TRADING PVT.LTD.
|
|
|
PRECISE EXPORTS LTD.
|
|
|
RESPONSIVE PLASTICS PVT.LTD.
|
|
AIDED, ABETTED AND ASSISTED IN MANIPULATION IN SCRIP OF KRISHNA FILAMENTS LTD.
ACTED IN CONCERT IN VIOLATION OF TAKEOVER REGULATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-SEP-2004 TO 09-SEP-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TO 09-SEP-2009
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
10-SEP-2004
|
|
| 120 |
|
|
M.B.JOSHI
|
|
|
AIDED, ABETTED AND ASSISTED IN MANIPULATION IN SCRIP OF KRISHNA FILAMENTS LTD.
ACTED IN CONCERT IN VIOLATION OF TAKEOVER REGULATION
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 10-SEP-2004 TO 09-SEP-2009
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 10-SEP-2004 TO 09-SEP-2009
DIRECTED ACQUIRER TO MAKE PUBLIC OFFER
10-SEP-2004
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 6 of 15
|
