| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
ABHISHEK PRADEEPKUMAR BANSAL (HUF)
(PAN:AAOHA2433D)
|
|
|
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
|
|
| 162 |
|
|
ABHISHEK PUNGLIYA (HUF)
(PAN:AAKHA5953N)
|
|
|
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
|
|
| 163 |
|
|
ABHISHEK RANIWALA (HUF)
(PAN:AAJHA9680B)
|
|
|
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
|
|
| 164 |
|
|
ABHISHEK RATHI (HUF)
(PAN:AAKHA5341J)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,97,500 VIDE CONSENT ORDER)
14-JAN-2021
|
|
| 165 |
|
|
ABHISHEK SARAF & SONS (HUF)
(PAN:AAJHA6716J)
|
|
|
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
|
|
| 166 |
|
|
ABHISHEK SARAF (HUF)
(PAN:AAKHA7517A)
|
|
|
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
|
|
| 167 |
|
|
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
|
|
| 168 |
|
|
ABHISHEK SHETH (HUF)
(PAN:AALHA0795D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
21-MAR-2022
|
SEBI VIDE ITS NOTICE DATED 01/02/2023 DIRECTED TO PAY RS.5,61,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 16/02/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6231 OF 2023 DATED 01/02/2023
|
| 169 |
|
|
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
|
|
| 170 |
|
|
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
|
|
| 171 |
|
|
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
|
|
| 172 |
|
|
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
|
|
| 173 |
|
|
ABHISHEK VEDPRAKASH AGARWAL (HUF)
(PAN:AAKHA2281B)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
28-FEB-2022
|
SAT: SAT VIDE ITS ORDER DATED 13/06/2022 DISMISSED THE APPEAL. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 04/11/2022 CONDONED THE DELAY IN FILING OF APPEAL AND DISPOSED OF THE APPEAL DIRECTING APPELLANT TO FILE APPROPRIATE APPLICATION FOR SETTLEMENT BEFORE THE AUTHORITY WITHIN TWO WEEKS FROM DATE OF THIS ORDER
|
| 174 |
|
|
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
|
|
| 175 |
|
|
ABIJAH REAL ESTATE PVT.LTD.
(PAN:AAICA0617L)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH SELF-TRADES IN SCRIP OF AADHAAR VENTURES INDIA LTD.
|
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 30-JUL-2020 TO 29-JAN-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-JUL-2020
|
|
| 176 |
|
|
ABJAYONI TRADING PVT.LTD.
(PAN:AAJCA2177N)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHANTANU SHEOREY AQUAKULT LTD.
|
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 01-JUN-2021 TO 31-AUG-2021
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
01-JUN-2021
|
|
| 177 |
|
|
ABL BIOTECHNOLOGIES LTD.
(CIN:L52599TN1992PLC022340
PAN:AAACA5463G)
|
|
|
|
KOLLENMARETH OOMMAN ISAAC
DIN:01421392
PAN:AAAPI2428J
|
|
DELAY IN MAKING DISCLOSURE TO STOCK EXCHANGES OUTCOMES OF BOARD MEETINGS DATED 01/03/2018 AND 20/06/2018 REGARDING APPROVAL OF THE PROPOSAL FOR RAISING FINANCIAL RESOURCES BY WAY OF GDR AND ALLOTMENT OF GDRS VIOLATING CLAUSES 36(7) AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT MAKE DISCLOSURE OF ARRANGEMENT FOR SUBSCRIPTION OF GDRS AND SUBSEQUENT DELISTING OF GDRS ON LUXEMBOURG STOCK EXCHANGE VIOLATING CLAUSES 36(7) AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DEVISED MANIPULATIVE AND DECEPTIVE SCHEME TO ENSURE SUBSCRIPTION OF GDRS WITHOUT ANY CONSIDERATION IN THE MATTER OF ABL BIOTECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.50,00,000
23-APR-2018
|
|
| 178 |
|
|
ABN GLOBAL SECURITIES PVT.LTD.
(PAN:AADCA9887D)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
IMPOSED PENALTY RS.5,00,000
28-FEB-2022
|
|
| 179 |
|
|
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
|
|
| 180 |
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 594
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