| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANIL MARCO RAO
(PAN:AAAPR0288H)
|
|
|
|
INDUSIND BANK LTD.
PAN:AAACI1314G
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDUSLND BANK LTD.
|
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.3,94,117
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS IN THEIR NAMES TO CREDIT OR DEPOSIT IMPOUNDING AMOUNT WITH A LIEN MARK IN FAVOUR OF SEBI AND AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAY-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSES OF TRANSFER OF FUNDS TO FIXED DEPOSIT ACCOUNT(S)
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NEITHER PERMIT ANY TRANSFER NOR REDEMPTION OF SECURITIES INCLUDING MUTUAL FUNDS UNITS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
28-MAY-2025
|
|
| 2 |
|
|
ANMOL SINGH JAGGI
(PAN:AGNPJ4504B)
|
|
|
|
GENSOL ENGINEERING LTD.
CIN:L74210GJ2012PLC129176
PAN:AAECG9092M
|
|
MISUTILISED AND DIVERTED FUNDS BY SUBMITTING FORGED CONDUCT LETTERS PURPORTEDLY ISSUED BY ITS LENDERS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GENSOL ENGINEERING LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS UNDER REGULATIONS 4 AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF GENSOL ENGINEERING LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-APR-2025 UNTIL FURTHER ORDERS
DIRECTED SEBI TO APPOINT FORENSIC AUDITOR TO EXAMINE BOOKS OF ACCOUNTS
RESTRAINED FROM HOLDING ANY POSITION AS A DIRECTOR OR A KEY MANAGERIAL PERSONNEL IN GENSOL ENGINEERING LTD. FROM 15-APR-2025 UNTIL FURTHER ORDERS
15-APR-2025
|
|
| 3 |
|
|
ARUN KHURANA
(PAN:ABBPK3785A)
|
|
|
|
INDUSIND BANK LTD.
PAN:AAACI1314G
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDUSLND BANK LTD.
|
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.14,39,36,026
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS IN THEIR NAMES TO CREDIT OR DEPOSIT IMPOUNDING AMOUNT WITH A LIEN MARK IN FAVOUR OF SEBI AND AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAY-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSES OF TRANSFER OF FUNDS TO FIXED DEPOSIT ACCOUNT(S)
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NEITHER PERMIT ANY TRANSFER NOR REDEMPTION OF SECURITIES INCLUDING MUTUAL FUNDS UNITS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
28-MAY-2025
|
|
| 4 |
|
|
DENISH MAHESHBHAI PATEL
(PAN:AJZPP8683J)
|
|
|
|
PATEL WEALTH ADVISORS PVT.LTD.
PAN:AAICP1902B
(Member : NSE/BSE/MCX)
|
|
MANIPULATED ORDER BOOK ON BOTH BUY AND SELL SIDES ACROSS VARIOUS SCRIPS DURING THE EXAMINATION PERIOD
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.3,22,62,367 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-APR-2025 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-APR-2025 UNTIL FURTHER ORDERS
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS EITHER IN ANY NOTICEE’S NAME SO AS TO CREDIT OR DEPOSIT UNLAWFUL GAIN RS.3,22,62,367.05 WITH LIEN MARK IN FAVOUR OF SEBI AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSES OF TRANSFER OF FUNDS TO FIXED DEPOSIT ACCOUNT(S)
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
28-APR-2025
|
|
| 5 |
|
|
DINESH DALMIA
(PAN:ACPPD9838G)
|
|
|
|
DSQ SOFTWARE LTD.
PAN:AAACS5071J
|
|
COMMITTED IRREGULARITIES IN ALLOTMENT OF 1.70 CRORE SHARES OF DSQ SOFTWARE LTD IN THE YEAR 2000-01 AND OF THE SAID SHARES, INTRODUCED OF 1.30 CRORE SHARES INTO THE MARKET WITHOUT LISTING
SUBMITTED WRONG INFORMATION TO SEBI
PROVIDED WRONG/INCOMPLETE INFORMATION TO EXCHANGES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-SEP-2004 TO 08-SEP-2014
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-SEP-2004 TO 08-SEP-2014
DIRECTED TO DEPOSIT A SUM OF RS.630 CRORE IN SEPARATE ESCROW ACCOUNT
DIRECTED TO BUY 1.30 CRORE SHARES OF DSQ SOFTWARE LTD. AND RETAIN IT IN SEPARATE DEMAT ACCOUNT
DIRECTED AMOUNTS DEPOSITED IN ESCROW ACCOUNT AND SHARES RETAINED IN DEMAT ACCOUNT BE NOT WITHDRAWN WITHOUT PRIOR PERMISSION OF SEBI
09-SEP-2004
|
SAT: DIRECTED SEBI TO APPOINT AN APPROPRIATE AUTHORITY TO IDENTIFY THOSE SHAREHOLDERS HOLDING UNLISTED SHARES AND TO ARRANGE FOR REFUND OF PURCHASE PRICE AFTER THEY SURRENDER UNLISTED SHARES
SAT: MODIFIED PERIOD OF DEBARMENT FROM 27/01/2001 TO 26/01/2011 AND DIRECTED DINESH DALMIA TO PURCHASE REMAINING UNLISTED SHARES AND TO RETAIN SAME IN A SEPERATE DEPOSITORY ACCOUNT AND TO FUND THIS ENTIRE OPERATION
|
| 6 |
|
|
K.JAYALAKSHMI KUMARI
(PAN:BTRPK2501B)
|
|
|
ALLEGED FAILURE TO ENSURE THAT PUBLISHED FINANCIAL STATEMENTS WERE IN ACCORDANCE WITH APPLICABLE ACCOUNTING STANDARDS VIOLATING REGULATION 18(3) READ WITH PART C OF SCHEDULE II OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,35,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH BRIGHTCOM GROUP LTD. AND ITS AFFILIATES IN ANY CAPACITY INCLUDING EMPLOYMENT, CONSULTANCY OR ANY OTHER PROFESSIONAL OR BUSINESS RELATIONSHIP) FROM 11-JUN-2025 TO 10-JUN-2027
11-JUN-2025
|
|
| 7 |
|
|
KAUSHAL VASANTRAI PATEL
(PAN:AFQPP9120H)
|
|
|
|
PATEL WEALTH ADVISORS PVT.LTD.
PAN:AAICP1902B
(Member : NSE/BSE/MCX)
|
|
MANIPULATED ORDER BOOK ON BOTH BUY AND SELL SIDES ACROSS VARIOUS SCRIPS DURING THE EXAMINATION PERIOD
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.3,22,62,367 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-APR-2025 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-APR-2025 UNTIL FURTHER ORDERS
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS EITHER IN ANY NOTICEE’S NAME SO AS TO CREDIT OR DEPOSIT UNLAWFUL GAIN RS.3,22,62,367.05 WITH LIEN MARK IN FAVOUR OF SEBI AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSES OF TRANSFER OF FUNDS TO FIXED DEPOSIT ACCOUNT(S)
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
28-APR-2025
|
|
| 8 |
|
|
MINISH MAHESHBHAI PATEL
(PAN:AFQPP9233D)
|
|
|
|
PATEL WEALTH ADVISORS PVT.LTD.
PAN:AAICP1902B
(Member : NSE/BSE/MCX)
|
|
MANIPULATED ORDER BOOK ON BOTH BUY AND SELL SIDES ACROSS VARIOUS SCRIPS DURING THE EXAMINATION PERIOD
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.3,22,62,367 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-APR-2025 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-APR-2025 UNTIL FURTHER ORDERS
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS EITHER IN ANY NOTICEE’S NAME SO AS TO CREDIT OR DEPOSIT UNLAWFUL GAIN RS.3,22,62,367.05 WITH LIEN MARK IN FAVOUR OF SEBI AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSES OF TRANSFER OF FUNDS TO FIXED DEPOSIT ACCOUNT(S)
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
28-APR-2025
|
|
| 9 |
|
|
MITUL UMEDLAL VORA
(PAN:ACNPV6291K)
|
|
|
|
PATEL WEALTH ADVISORS PVT.LTD.
PAN:AAICP1902B
(Member : NSE/BSE/MCX)
|
|
MANIPULATED ORDER BOOK ON BOTH BUY AND SELL SIDES ACROSS VARIOUS SCRIPS DURING THE EXAMINATION PERIOD
|
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.3,22,62,367 ALONG WITH OTHER ENTITIES/PERSONS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-APR-2025 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-APR-2025 UNTIL FURTHER ORDERS
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS EITHER IN ANY NOTICEE’S NAME SO AS TO CREDIT OR DEPOSIT UNLAWFUL GAIN RS.3,22,62,367.05 WITH LIEN MARK IN FAVOUR OF SEBI AND THE AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSES OF TRANSFER OF FUNDS TO FIXED DEPOSIT ACCOUNT(S)
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
28-APR-2025
|
|
| 10 |
|
|
PUNEET SINGH JAGGI
(PAN:AHRPJ5583B)
|
|
|
|
GENSOL ENGINEERING LTD.
CIN:L74210GJ2012PLC129176
PAN:AAECG9092M
|
|
MISUTILISED AND DIVERTED FUNDS BY SUBMITTING FORGED CONDUCT LETTERS PURPORTEDLY ISSUED BY ITS LENDERS VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(D), 4(1), 4(2)(F), 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF GENSOL ENGINEERING LTD.
DID NOT MAKE DISCLOSURE OF RELATED PARTY TRANSACTIONS UNDER REGULATIONS 4 AND 48 OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF GENSOL ENGINEERING LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-APR-2025 UNTIL FURTHER ORDERS
DIRECTED SEBI TO APPOINT FORENSIC AUDITOR TO EXAMINE BOOKS OF ACCOUNTS
RESTRAINED FROM HOLDING ANY POSITION AS A DIRECTOR OR A KEY MANAGERIAL PERSONNEL IN GENSOL ENGINEERING LTD. FROM 15-APR-2025 UNTIL FURTHER ORDERS
15-APR-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/05/2025 GRANTED APPELLANT TWO WEEKS TO FILE REPLY AND SEBI TO HEAR THE APPELLANT WITHIN FOUR WEEKS THEREFROM. UPON COMPLETION OF HEARING SEBI TO PASS APPROPRIATE ORDER WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 11 |
|
|
ROHAN JATHANNA
(PAN:AAFPJ1378P)
|
|
|
|
INDUSIND BANK LTD.
PAN:AAACI1314G
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDUSLND BANK LTD.
|
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.6,87,446
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS IN THEIR NAMES TO CREDIT OR DEPOSIT IMPOUNDING AMOUNT WITH A LIEN MARK IN FAVOUR OF SEBI AND AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAY-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSES OF TRANSFER OF FUNDS TO FIXED DEPOSIT ACCOUNT(S)
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NEITHER PERMIT ANY TRANSFER NOR REDEMPTION OF SECURITIES INCLUDING MUTUAL FUNDS UNITS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
28-MAY-2025
|
|
| 12 |
|
|
SUMANT KATHPALIA
(PAN:AINPK0032B)
|
|
|
|
INDUSIND BANK LTD.
PAN:AAACI1314G
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDUSLND BANK LTD.
|
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.5,20,76,274
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS IN THEIR NAMES TO CREDIT OR DEPOSIT IMPOUNDING AMOUNT WITH A LIEN MARK IN FAVOUR OF SEBI AND AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAY-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSES OF TRANSFER OF FUNDS TO FIXED DEPOSIT ACCOUNT(S)
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NEITHER PERMIT ANY TRANSFER NOR REDEMPTION OF SECURITIES INCLUDING MUTUAL FUNDS UNITS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
28-MAY-2025
|
|
| 13 |
|
|
SUSHANT SOURAV
(PAN:ANLPS6798R)
|
|
|
|
INDUSIND BANK LTD.
PAN:AAACI1314G
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INDUSLND BANK LTD.
|
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO IMPOUND UNLAWFUL GAIN RS.7,14,190
DIRECTED TO OPEN FIXED DEPOSIT ACCOUNTS IN THEIR NAMES TO CREDIT OR DEPOSIT IMPOUNDING AMOUNT WITH A LIEN MARK IN FAVOUR OF SEBI AND AMOUNT KEPT THEREIN NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-MAY-2025 UNTIL FURTHER ORDERS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSES OF TRANSFER OF FUNDS TO FIXED DEPOSIT ACCOUNT(S)
DIRECTED DEPOSITORIES THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NEITHER PERMIT ANY TRANSFER NOR REDEMPTION OF SECURITIES INCLUDING MUTUAL FUNDS UNITS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
28-MAY-2025
|
|
| 14 |
|
|
V.SRI LAKSHMI
(PAN:AERPV5483P)
|
|
|
ALLEGED FAILURE TO ENSURE THAT CORRECT DISCLOSURE OF QUARTERLY SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES VIOLATING CLAUSE 47 OF ERSTWHILE LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF BRIGHTCOM GROUP LTD.
ALLEGED INDULGENCE IS ISSUANCE OF FALSE AND MISLEADING PRESS RELEASE WITH RESPECT TO APPOINTMENT OF INTERNAL AUDITOR VIOLATING REGULATION 6(2) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF BRIGHTCOM GROUP LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,35,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BE ASSOCIATED WITH BRIGHTCOM GROUP LTD. AND ITS AFFILIATES IN ANY CAPACITY INCLUDING EMPLOYMENT, CONSULTANCY OR ANY OTHER PROFESSIONAL OR BUSINESS RELATIONSHIP) FROM 11-JUN-2025 TO 10-JUN-2026
11-JUN-2025
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
