| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
3D PLM SOFTWARE SOLUTIONS LTD.
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(6) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,296 VIDE CONSENT ORDER)
16-MAY-2018
|
|
| 2 |
|
|
A TO Z CONSULTANTS PVT.LTD.
(PAN:AAACA4696F)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLOBE CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 3 |
|
|
A TO Z HOLDINGS PVT.LTD.
(PAN:AAECA0001A)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 29(2) OF SAST REGULATIONS, 2011 IN MATTER OF SBEC SUGAR LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SBEC SUGAR LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,13,434, INTEREST RS.3,376 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-AUG-2018
|
COMPANY VIDE DEMAND DRAFT NO.116301 DATED 24/07/2018 FOR RS 5,16,810.00 DRAWN ON AXIS BANK LTD. HAS PAID SETTLEMENT CHARGES INCLUDING INTEREST
|
| 4 |
|
|
A TO Z SECURITIES LTD.
(PAN:AAACA3106C)
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF GLOBE CAPITAL MARKETS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 5 |
|
|
AADHAAR VENTURES INDIA LTD.
(CIN:L67120GJ1995PLC024449
PAN:AABCP4155F)
|
|
|
|
JILS RAICHAND MADAN
PAN:AGKPM3175A
|
|
|
SOMABHAI SUNDERBHAI MEENA
PAN:BFYPM1247K
|
|
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSES 2.0, 2.1, 3.2 AND 7.0(II) OF SCHEDULE II CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF AADHAAR VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.5,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/09/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7552 OF 2024 DATED 31/01/2024
|
| 6 |
|
|
AADHAAR VENTURES INDIA LTD.
(CIN:L67120GJ1995PLC024449
PAN:AABCP4155F)
|
|
|
|
SOMABHAI SUNDERBHAI MEENA
PAN:BFYPM1247K
|
|
DID NOT MAKE DISCLOSURE OF PRICE SENSITIVE INFORMATION TO STOCK EXCHANGES VIOLATING CLAUSES 2.0, 2.1, 3.2 AND 7.0(II) OF SCHEDULE II CODE OF CORPORATE DISCLOSURE PRACTICES FOR PREVENTION OF INSIDER TRADING READ WITH REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF AADHAAR VENTURES INDIA LTD.
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 31/01/2024 DIRECTED TO PAY RS.5,91,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/09/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7552 OF 2024 DATED 31/01/2024
|
| 7 |
|
|
AALOK DEEP FINANCE PVT.LTD.
(PAN:AABCA2550R)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(2A) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SOM DISTILLERIES & BREWERIES LTD.
|
IMPOSED PENALTY RS.2,00,000
27-SEP-2019
|
|
| 8 |
|
|
AASHISH DEVELOPER
(PAN:AAQFA3264Q)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 13(3) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF SAWACA BUSINESS MACHINES LTD.
|
IMPOSED PENALTY RS.1,00,000
27-APR-2022
|
SEBI VIDE ITS NOTICE DATED 27/07/2023 DIRECTED TO PAY RS.1,17,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 9 |
|
|
ABHIRATI TRADING PVT.LTD.
(PAN:AAICA2271N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF VAKRANGEE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF VAKRANGEE LTD.
|
IMPOSED PENALTY RS.9,50,000
21-FEB-2018
|
|
| 10 |
|
|
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
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
|
| 11 |
|
|
ACG ASSOCIATED CAPSULES PVT.LTD.
(PAN:AAACA4769K)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 29(1) AND 29(2) READ WITH 29(3) OF SAST REGULATIONS, 2011 IN MATTER OF RAJ OIL MILLS LTD.
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF RAJ OIL MILLS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,51,164 VIDE CONSENT ORDER)
25-MAY-2017
|
|
| 12 |
|
|
ACTION FINANCIAL SERVICES (INDIA) LTD.
(PAN:AAACA4423G)
|
|
|
DID NOT CLOSE TRADING WINDOW AS REQUIRED UNDER CLAUSE 3.2-5 OF MODEL CODE OF CONDUCT AS PRESCRIBED UNDER REGULATION 12(1) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ACTION FINANCIAL SERVICES (INDIA) LTD.
|
IMPOSED PENALTY RS.25,000
31-MAY-2011
|
|
| 13 |
|
|
ADAM COMSOF LTD.
|
|
|
|
VINOD R.HINGORANI
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION AFTER ISSUANCE OF FALSE CORPORATE ANNOUNCEMENTS IN SCRIP OF ADAM COMSOF LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF SALE OF 8,82,068 (6.59%) SHARES OF ADAM COMSOF LTD.
|
IMPOSED PENALTY RS.55,00,000
10-JUN-2010
|
|
| 14 |
|
|
ADB TRADE SERVICES PVT.LTD.
(PAN:AAFCA1109A)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(1) AND 13(3) READ WITH REGULATION 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF A.V.COTTEX LTD.
|
IMPOSED PENALTY RS.25,000
28-MAY-2012
|
|
| 15 |
|
|
ADEEP GUPTA (HUF)
(PAN:AAAHA6583N)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF PRAKASH WOOLLEN MILLS LTD.
|
IMPOSED PENALTY RS.1,00,000
30-JAN-2018
|
|
| 16 |
|
|
ADHUNIK FINANCE PVT.LTD.
(PAN:AACCA3263G)
|
|
|
|
SADHANA DILIP NABERA
|
|
DEALT IN SCRIP OF SUN INFOWAYS LTD.ON BASIS OF UNPUBLISHED PRICE SENSITIVE INFORMATION
|
IMPOSED PENALTY RS.5,00,000
06-NOV-2006
|
SAT: APPEAL ALLOWED.NO ORDER AS TO COSTS
|
| 17 |
|
|
ADILNATH FINANCE PVT.LTD.
(PAN:AACCA3328E)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 8A(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF TRICOM INDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF TRICOM INDIA LTD.
DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 31(2) READ WITH 31(3) OF SAST REGULATIONS, 2011 IN MATTER OF TRICOM INDIA LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF TRICOM INDIA LTD.
|
IMPOSED PENALTY RS.1,00,000
01-MAR-2018
|
|
| 18 |
|
|
ADLABS FILMS LTD.
|
|
|
ALLEGED OPENING OF TRADING WINDOW BEFORE EXPIRY OF 24 HOURS OF INFORMATION ABOUT BOARD MEETING BEING MADE PUBLIC UNDER REGULATION 12 (1) READ WITH CLAUSE 3.2-3 AND 3.2-4 OF CODE OF CONDUCT OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ADLABS FILMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
06-MAR-2009
|
|
| 19 |
|
|
ADLABS FILMS LTD.
|
|
|
|
MANMOHAN R.SHETTY
|
|
SOLD 10,00,000 EQUITY SHARES BEFORE EXPIRY OF 24 HOURS OF OUTCOME OF BOARD MEETING ON 23/04/2008 WAS MADE PUBLIC HENCE VIOLATED REGULATION 12(1) READ WITH CLAUSE 3.2-3 AND 3.2-5 OF CODE OF CONDUCT SPECIFIED UNDER PART A OF SCHEDULE I OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF ADLABS FILMS LTD.
|
IMPOSED PENALTY RS.1,00,00,000
09-JUN-2010
|
SAT: SAT VIDE ITS ORDER DATED 27/05/2011 MODIFIED SEBI’S ORDER DATED 09/06/2010 BY REDUCING PENALTY AMOUNT TO RS.25 LACS FROM RS.1 CRORE. NO ORDER AS TO COSTS
INCLUDED IN SEBI LIST DATED 30/09/2012, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 20 |
|
|
ADVENT COMPUTER SERVICES LTD.
|
|
|
|
V.N.SESHAGIRI RAO
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATIONS 13(4) AND 13(5) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF 2,27,907 SHARES OF ADVENT COMPUTER SERVICES LTD. SOLD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
08-SEP-2009
|
|
| 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 1 of 42
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