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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 03-JUL-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

COMPANIES: VIOLATED SEBI (SHARE BASED EMPLOYEE BENEFITS AND SWEAT EQUITY) REGULATIONS, 2021

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ONE 97 COMMUNICATIONS LTD.

(PAN:AAACO4007A)  
Click here to view complete history of this specific entity/person AJAY SHEKHAR SHARMA

PAN:BBJPS0729P
  		ALLEGED VIOLATION OF REGULATION REGULATION 2(1)(I)(III) OF SEBI (SBEB) REGULATIONS, 2021 IN MATTER OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.

ALLEGED VIOLATION OF REGULATIONS 245(1) AND 245(2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 IN MATTER OF GRANTING OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.

ALLEGED VIOLATION OF REGULATIONS 4(1) AND 4(2) OF SEBI (LODR) REGULATIONS, 2015   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,11,15,000 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,10,00,000 ESOPS GRANTED/VESTED AND NON-EXERCISED)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,22,862 ESOPS GRANTED/VESTED UPON BUT NOT EXERCISED)

08-MAY-2025 		 
2
History of entity/person ONE 97 COMMUNICATIONS LTD.

(PAN:AAACO4007A)  
Click here to view complete history of this specific entity/person VIJAY SHEKHAR SHARMA

PAN:AOAPS4075F
  		ALLEGED VIOLATION OF REGULATION REGULATION 2(1)(I)(III) OF SEBI (SBEB) REGULATIONS, 2021 IN MATTER OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.

ALLEGED VIOLATION OF REGULATIONS 245(1) AND 245(2) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 IN MATTER OF GRANTING OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.

ALLEGED VIOLATION OF REGULATION 2(1)(OO) OF SEBI (ISSUE OF CAPITAL AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2018 IN MATTER OF GRANTING OF EMPLOYEES STOCK OPTIONS (ESOPS) OF ONE97 COMMUNICATIONS LTD.   		REACHED SETTLEMENT ( CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED TO CANCEL 2,10,00,000 ESOPS GRANTED/VESTED AND NON-EXERCISED)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE PROHIBITED FROM ACCEPTING ANY FRESH ESOPS FROM ANY LISTED COMPANY) FROM 08-MAY-2025 TO 07-MAY-2028

08-MAY-2025 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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