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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.

PERSONS: RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ANAND RATHI  
  UNDER SECTIONS 11 AND 11B OF THE SEBI ACT, 1992   RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 12-MAR-2001 TO 11-MAR-2003

12-MAR-2001 		SAT: PART OF ORDER I.E.SUSPENDING REGISTRATION TO TWO APPLICANT COMPANIES SET ASIDE  
2
History of entity/person B.K.PAL  
Click here to view complete history of this specific entity/person DSQ SOFTWARE LTD.

PAN:AAACS5071J
  		DID NOT EXERCISE DUE SKILL AND DILIGENCE   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-SEP-2004 TO 08-SEP-2009

RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 09-SEP-2004 TO 08-SEP-2009

09-SEP-2004 		SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF PROHIBITION TO DATE OF SAT ORDER  
3
History of entity/person D.A.GADGIL  
Click here to view complete history of this specific entity/person SHRIRAM ASSET MANAGEMENT CO.LTD.
  		PURCHASED 1,20,600 SHARES OF VIDEOCON AT A PRICE MUCH HIGHER THAN THE MARKET PRICE THAT WAS NOT IN THE BEST INTEREST OF INVESTORS AND WERE MADE FOR EXTRANEOUS CONSIDERATIONS   RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 02-FEB-2000 TO 01-FEB-2003

02-FEB-2000 		SAT: PART OF IMPUGNED ORDER SET ASIDE AND APPEAL ALLOWED, BY WAY OF REMAND  
4
History of entity/person D.A.GADGIL  
Click here to view complete history of this specific entity/person SHRIRAM ASSET MANAGEMENT CO.LTD.
  		DID NOT ENSURE INVESTMENT OF FUNDS WAS CARRIED OUT AS A PRUDENT BUSINESSMAN AND IN THE BEST INTEREST OF THE UNITHOLDERS

DID NOT ENSURE INVESTMENT OF FUNDS DID NOT GIVE ANY UNDUE OR UNFAIR ADVANTAGE TO ENTITIES HAVING ASSOCIATION WITH SPONSORS AND MANAGED PORTFOLIO OF SCHEMES OF SHRIRAM MUTUAL FUND IN THE INTEREST OF ASSOCIATES OF SPONSORS AND NOT IN THE INTEREST OF ORDINARY UNITHOLDERS

DID NOT EXERCISE DUE DILIGENCE

PURCHASED SHARES FOR EXTRANEOUS CONSIDERATION OF BAILING OUT BROKERS FACING PAYMENT PROBLEMS FOR THEIR TRADING IN THE SHARES OF VIDEOCON INTERNATIONAL LTD. AND IN PURSUANCE OF CLANDESTINE BUYBACK ARRANGEMENT WITH VIDEOCON GROUP

CREATED FALSE DOCUMENTARY EVIDENCE WITH A VIEW TO MISLEAD THE INVESTIGATIONS BY PREPARING ANTE-DATED CORRESPONDENCE BETWEEN SHRIRAM MUTUAL FUND AND THE BROKER TO GIVE AN IMPRESSION THAT THE SHARES WERE PURCHASED ON A DATE DIFFERENT FROM THE ACTUAL DATE OF TRANSACTION   		RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 24-OCT-2002 TO 23-OCT-2003

24-OCT-2002 		SAT: APPEAL ALLOWED BY WAY OF REMAND  
5
History of entity/person J.C.PAREKH  
  OPENED TRADING SYSTEM BEYOND TRADING HOURS FOR SELECTED BROKERS

INFLUENCED EXCHANGE ADMINISTRATION AND GOT MARGINS REDUCED   		RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 23-MAR-1999 TO 22-MAR-2002

23-MAR-1999 		 
6
History of entity/person K.M.VENKATESHWARAN  
Click here to view complete history of this specific entity/person DSQ SOFTWARE LTD.

PAN:AAACS5071J
  		DID NOT EXERCISE DUE SKILL AND DILIGENCE   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-SEP-2004 TO 08-SEP-2009

RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 09-SEP-2004 TO 08-SEP-2009

09-SEP-2004 		SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF PROHIBITION TO DATE OF SAT ORDER  
7
History of entity/person MOHAMMED GHULAM GHOUSE  
Click here to view complete history of this specific entity/person DSQ SOFTWARE LTD.

PAN:AAACS5071J
  		DID NOT EXERCISE DUE SKILL AND DILIGENCE   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-SEP-2004 TO 08-SEP-2009

RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 09-SEP-2004 TO 08-SEP-2009

09-SEP-2004 		SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF PROHIBITION TO DATE OF SAT ORDER  
8
History of entity/person R.C.MATHUR  
  GUILTY OF GRAVE PROFESSIONAL MISCONDUCT

DID NOT MAINTAIN HIGH STANDARDS OF INTEGRITY AND FAIRNESS IN CONDUCT OF BUSINESS   		RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 21-JUN-1999 TO 20-JUN-2002

21-JUN-1999 		 
9
History of entity/person R.K.AGARWAL  
Click here to view complete history of this specific entity/person UTTAR PRADESH STOCK EXCHANGE ASSOCIATION LTD.
  		BOARD MEETINGS NOT CONDUCTED AS PER RULES AND BYE-LAWS OF THE EXCHANGE

LARGE SCALE VIOLATIONS IN SURVEILLANCE   		RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 03-NOV-2000 TO 02-NOV-2002

DIRECTED TO RELINQUISH OFFICE OF PRESIDENT OF THE EXCHANGE

03-NOV-2000 		SAT: APPEAL DISMISSED  
10
History of entity/person S.K.CHADHA  
  INDULGED IN MALPRACTICES IN ACCEPTANCE OF APPLICATIONS & ALLOTMENT AND DELAY IN TRANSFER OF SHARES IN PUBLIC ISSUE OF ASHOKA REFINERY LTD.   RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 12-JAN-2009 TO 11-JUL-2009

RESTRAINED TO ACT AS AN INTERMEDIARY IN ANY CAPACITY FROM 12-JAN-2009 TO 11-JUL-2009

12-JAN-2009 		 
11
History of entity/person V.M.SUNDARAM  
Click here to view complete history of this specific entity/person DSQ SOFTWARE LTD.

PAN:AAACS5071J
  		DID NOT EXERCISE DUE SKILL AND DILIGENCE   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-SEP-2004 TO 08-SEP-2009

RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 09-SEP-2004 TO 08-SEP-2009

09-SEP-2004 		SAT: IMPUGNED ORDER MODIFIED BY REDUCING PERIOD OF PROHIBITION TO DATE OF SAT ORDER  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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