| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
SMRUTI SHREYANS SHAH
(PAN:ACKPS9275P)
|
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,40,452, DISGORGEMENT AMOUNT RS.12,00,645 VIDE CONSENT ORDER)
01-NOV-2012
|
EX-PARTE AD-INTERIM ORDER DATED 12/01/2006 REVOKED AS APPLICANT DEPOSITED RS.8,40,452.00 TOWARDS SETTLEMENT CHARGES AND RS.12,00,645.00 TOWARDS DISGORGEMENT, AS PER TERMS SETTLED VIDE CONSENT ORDER DATED 01/11/2012
|
| 102 |
|
|
SONAL N.DADIA
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,40,000 VIDE CONSENT ORDER)
05-JUN-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.240000 AGAINST NOTIONAL UNDUE GAIN AND RS.100000 AGAINST SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 05/06/2008
|
| 103 |
|
|
SURESH BHIKHA VASAVA
|
|
|
FACILITATED IN MANIPULATING IPO OF INFRASTRUCTURE DEVELOPMENT FINANCE CO.LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-JAN-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 12-JAN-2006 TILL FURTHER ORDERS
12-JAN-2006
|
|
| 104 |
|
|
UMANG R.SHAH
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.45,469, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.2,27,345 VIDE CONSENT ORDER)
20-APR-2009
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.2,27,345, TOWARDS DISGORGEMENT AND RS.45,469 TOWARDS SETTLEMENT CHARGES, AS PER CONSENT ORDER DATED 20/04/2009
|
| 105 |
|
|
VEENABEN Y.THAKKAR
|
|
|
FACILITATED IN MANIPULATING IPO OF YES BANK LTD. BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS AND LATER ON SELL THEM IN MARKET AT HIGHER PRICE FOR UNJUST ENRICHMENT
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-DEC-2005 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 15-DEC-2005 TILL FURTHER ORDERS
15-DEC-2005
|
|
| 106 |
|
|
VEENABEN Y.THAKKAR
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
27-APR-2006
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.70,758, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.3,52,242 VIDE CONSENT ORDER)
05-NOV-2008
|
ORDER DATED 27/04/2006 DISPOSED OFF, AS APPLICANT AGREED TO PAY RS.70,758 AGAINST SETTLEMENT CHARGES AND RS.3,52,242 AGAINST AMOUNT DISGORGED AS PER CONSENT ORDER DATED 05/11/2008
|
| 107 |
|
|
VINITA A.CHOUDHARY
|
|
|
FACILITATED IN MANIPULATING IPOS OF VARIOUS COMPANIES BY PROVIDING FUNDS TO PURCHASE SHARES MEANT FOR RETAIL APPLICANTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-APR-2006 TILL FURTHER ORDERS
DIRECTED NOT TO BUY, SELL OF DEAL DIRECTLY OR INDIRECTLY IN ANY INITIAL PUBLIC OFFERING FROM 27-APR-2006 TILL FURTHER ORDERS
IMPOSED PENALTY RS.7,00,000
27-APR-2006
DIRECTED TO DISGORGE RS.2,42,576
07-MAY-2009
|
AD INTERIM EX-PARTE ORDER DATED 27/04/2006 DISPOSED OFF AND DIRECTED TO BE RESTRAINED FROM BUYING, SELLING OR DEALING IN SECURITIES MARKET IN ANY MANNER WHATSOEVER OR ACCESSING SECURITIES MARKET, DIRECTLY OR INDIRECTLY FOR A PERIOD OF 1 YEAR FROM DATE OF ORDER I.E. 07/05/2009 AND DISGORGE UNLAWFUL GAIN OF RS.242550.00 ALONGWITH INTEREST @10% FROM DATE OF LISTING OF IPO OF FCS SOFTWARE SOLUTIONS LTD.
PENALTY IMPOSED RS.7,00,000 VIDE ORDER DATED 30/09/2009
VIDE ORDER DATED 10/03/2010 PERIOD OF DEBARMENT FROM MARKET STAND TERMINATED. DIRECTED TO DISGORGE THE AMOUNT OF PROFIT ALONGWITH INTEREST @ 6% P.A. BY 31/05/2010. AMOUNT OF PENALTY REDUCED TO RS.500000 IN ALL FROM 2650000. NO COSTS
|
| 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 6
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