| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A C AGARWAL COMMODITIES PVT.LTD.
(PAN:AAJCA3827B)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,24,796 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 2 |
|
|
A.H.HOLDINGS PVT.LTD.
|
|
|
|
HARISH KUMAR
|
|
INDULGED IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SHARES OF ELECTROLUX KELVINATOR LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-AUG-2008
|
|
| 3 |
|
|
ABANS COMMODITIES (I) PVT.LTD.
(PAN:AAICA0476H)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,68,337 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 4 |
|
|
ABL BIOTECHNOLOGIES LTD.
(CIN:L52599TN1992PLC022340
PAN:AAACA5463G)
|
|
|
|
G.SUBRAMANIAN
PAN:AARPS0953K
|
|
|
RAVEENDRAN SAPPANY
PAN:AAGPR8625Q
|
|
|
ROSEMARY ISAAC
PAN:AAEPR5705R
|
|
INDULGED IN APPROVAL OF BOARD RESOLUTION VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABL BIOTECHNOLOGIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECTED TO FURNISH CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANTS ALONGWITH NECESSARY DOCUMENTARY EVIDENCES TO SEBI
31-MAY-2019
|
|
| 5 |
|
|
ADITI A.DALAL,M/S
|
|
|
|
ADITI A.DALAL
|
|
AIDED TROPICAL SECURITIES & INVESTMENTS PVT.LTD. IN THE SYNCHRONIZED/STRUCTURED DEALS IN SCRIP OF PRUDENTIAL PHARMACEUTICALS LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
11-NOV-2010
|
|
| 6 |
|
|
ADVANCE HOVERCRAFT & COMPOSITES (INDIA) LTD.
|
|
|
|
PRASHANT KUMAR
|
|
DEMATERIALISED AND SOLD CERTAIN SHARES OF SHONKH TECHNOLOGIES INTERNATIONAL LTD. DURING LOCK-IN PERIOD
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-NOV-2015
|
|
| 7 |
|
|
AJAY NATAVARLAL COMMODITIES PVT.LTD.
(PAN:AAFCA6607F)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,02,258 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 8 |
|
|
ALKARNI HOLDINGS LTD.
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT READ WITH REGULATIONS 3(C) TO 3(D) & 4(2)(A), 4(2)(C), 4(2)(F) AND 4(2)(K) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 9 |
|
|
ALLIANCE INTERMEDIATERIES & NETWORK PVT.LTD.
(PAN:AAECA6031C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH REVERSAL OF TRADE TRANSACTIONS, SYNCHRONIZED, SELF TRADE AND OFF MARKET TRANSACTIONS IN SCRIP OF CRAZY INFOTECH LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
10-FEB-2015
|
|
| 10 |
|
|
AMIT SAHITA FINANCE PVT.LTD.
(PAN:AABCA2735J)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF AADHAAR VENTURES INDIA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-JUL-2020
|
|
| 11 |
|
|
AMS FINANCE & SECURITIES LTD.
(PAN:AAACA6746Q)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR AND STRUCTURED TRANSACTIONS IN SCRIP OF SOUNDCRAFT INDUSTRIES LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
15-SEP-2014
|
|
| 12 |
|
|
ANKIT MAHENDRA JAIN (HUF)
(PAN:AAKHA9197C)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| 13 |
|
|
ANZ INVESTMENT
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KARISHMA FLORICULTURE LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
19-JUL-2011
|
|
| 14 |
|
|
ASIATIC ENGINEERS PVT.LTD.
|
|
|
|
HARISH KUMAR
|
|
INDULGED IN CREATING FALSE AND MISLEADING APPEARANCE OF TRADING IN SHARES OF ELECTROLUX KELVINATOR LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
20-AUG-2008
|
|
| 15 |
|
|
ASK HOLDINGS PVT.LTD.
|
|
|
CREATED ARTIFICIAL MARKETS IN SCRIP OF AKL SOFT & INFOSYS LTD.
TRANSACTED IN SCRIP OF AKL SOFT & INFOSYS LTD. WITHOUT TRANSFERRING BENEFICIAL OWNERSHIP WITH THE INTENTION TO INFLATE PRICES
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
16-SEP-2005
|
|
| 16 |
|
|
ASTRAZENECA PHARMACEUTICALS AB SWEDEN
(PAN:AAGCA8106J)
|
|
|
MADE OFFER FOR SALE OF SHARES TO SUBSEQUENTLY GET THE SHARES OF ASTRAZENECA PHARMA INDIA LTD.DELISTED
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
DIRECT THAT FRESH DELISTING PROPOSAL INITIATED BY PROMOTER COMPANY ANYTIME IN FUTURE, SAME SHALL BE INITIATED ONLY AFTER OBSERVING EXTANT PROVISIONS OF SEBI ACT AND REGULATIONS FRAMED THEREUNDER AND IN LETTER AND SPIRIT
DIRECTED BSE AND NSE TO CLOSELY MONITOR ENTIRE DELISTING PROCESS OF ASTRAZENECA PHARMA INDIA LTD.
05-JUN-2020
|
|
| 17 |
|
|
B N RATHI COMTRADE PVT.LTD.
(PAN:AADCB5190J)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 18 |
|
|
BAHUBALI COMMODITY SERVICES PVT.LTD.
(PAN:AADCB0655Q)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 19 |
|
|
BALAJI COMMODITY FUTURES PVT.LTD.
(PAN:AADCB1062H)
|
|
|
ALLEGED ALLOWING SHORT SALES ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
ALLEGED PARTICIPATING IN AND/OR FACILITATING CLIENTS IN ENTERING INTO PAIRED CONTRACTS ON NATIONAL SPOT EXCHANGE LTD. PLATFORM
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.6,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM TRADING IN PROPRIETARY CAPACITY AND FROM TAKING UP NEW CLIENTS IN COMMODITY SEGMENT FROM PASSING OF SETTLEMENT ORDER) FROM 09-SEP-2026 TO 08-MAR-2027
09-SEP-2026
|
|
| 20 |
|
|
BALKISHAN INNANI (HUF)
(PAN:AADHB8997E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF KELVIN FINCAP LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
31-AUG-2020
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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