| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
HEMANT GHAI
(PAN:AHMPG0327K)
|
|
|
INDULGED IN MISUTILISING POSITION AS A HOST/CO-HOST OF THE SHOW OTHER SHOW/CHANNELS/MEDIA GIVING RECOMMENDATIONS/CONTRIBUTING TO ANY ACTIVITIES RELATED TO SECURITIES MARKET VIOLATING SECTIONS 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ “STOCK 20-20” SHOW
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2025 TO 18-MAR-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2025 TO 18-MAR-2030
DIRECTED TO CEASE & DESIST FROM UNDERTAKING, DIRECTLY OR INDIRECTLY ANY ACTIVITY RELATED TO GIVING INVESTMENT ADVICE, SELL OR BUY RECOMMENDATIONS, PUBLISHING OF RESEARCH REPORTS ETC. RELATED TO SECURITIES MARKET
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 19-MAR-2025 TO 18-MAR-2030
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
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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 BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO DISGORGE RS.3,21,11,604 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
13-JAN-2021
|
SEBI VIDE ITS ORDER DATED 02/09/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 13/01/2021
SEBI VIDE ITS ORDER DATED 03/02/2022 DIRECTED TO A) IMPOUND RS.3,90,67,921.00 BEING UNLAWFUL GAINS ALONG WITH INTEREST, IMPOUNDED JOINTLY AND SEVERALLY B) IMPOUNDED THE AMOUNT TILL DISPOSAL OF SCN BEING ISSUED AND SUBJECT TO DIRECTIONS ISSUED IN FINAL ORDER WHILE DISPOSING OF SUCH SCN. AMOUNT TO BE KEPT IN ESCROW ACCOUNT, A LIEN TO BE MARKED IN ESCROW ACCOUNT/S IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED D) REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT TILL FURTHER DIRECTION NOT TRANSFER/REDEEMED, JOINTLY OR SEVERALLY E) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
|
| 2 |
|
|
JAYA HEMANT GHAI
(PAN:ADWPT5210G)
|
|
|
INDULGED IN MISUTILISING POSITION AS A HOST/CO-HOST OF THE SHOW OTHER SHOW/CHANNELS/MEDIA GIVING RECOMMENDATIONS/CONTRIBUTING TO ANY ACTIVITIES RELATED TO SECURITIES MARKET VIOLATING SECTIONS 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ “STOCK 20-20” SHOW
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2025 TO 18-MAR-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2025 TO 18-MAR-2030
DIRECTED TO CEASE & DESIST FROM UNDERTAKING, DIRECTLY OR INDIRECTLY ANY ACTIVITY RELATED TO GIVING INVESTMENT ADVICE, SELL OR BUY RECOMMENDATIONS, PUBLISHING OF RESEARCH REPORTS ETC. RELATED TO SECURITIES MARKET
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 19-MAR-2025 TO 18-MAR-2030
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
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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 BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED TO DISGORGE RS.3,21,11,604 ALONG WITH OTHER ENTITIES/PERSONS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
13-JAN-2021
|
SEBI VIDE ITS ORDER DATED 02/09/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 13/01/2021
SEBI VIDE ITS ORDER DATED 03/02/2022 DIRECTED TO A) IMPOUND RS.3,90,67,921.00 BEING UNLAWFUL GAINS ALONG WITH INTEREST, IMPOUNDED JOINTLY AND SEVERALLY B) IMPOUNDED THE AMOUNT TILL DISPOSAL OF SCN BEING ISSUED AND SUBJECT TO DIRECTIONS ISSUED IN FINAL ORDER WHILE DISPOSING OF SUCH SCN. AMOUNT TO BE KEPT IN ESCROW ACCOUNT, A LIEN TO BE MARKED IN ESCROW ACCOUNT/S IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED D) REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT TILL FURTHER DIRECTION NOT TRANSFER/REDEEMED, JOINTLY OR SEVERALLY E) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
|
| 3 |
|
|
SHYAM MOHINI GHAI
(PAN:AHSPG1017G)
|
|
|
INDULGED IN MISUTILISING POSITION AS A HOST/CO-HOST OF THE SHOW OTHER SHOW/CHANNELS/MEDIA GIVING RECOMMENDATIONS/CONTRIBUTING TO ANY ACTIVITIES RELATED TO SECURITIES MARKET VIOLATING SECTIONS 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ “STOCK 20-20” SHOW
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 19-MAR-2025 TO 18-MAR-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 19-MAR-2025 TO 18-MAR-2030
DIRECTED TO CEASE & DESIST FROM UNDERTAKING, DIRECTLY OR INDIRECTLY ANY ACTIVITY RELATED TO GIVING INVESTMENT ADVICE, SELL OR BUY RECOMMENDATIONS, PUBLISHING OF RESEARCH REPORTS ETC. RELATED TO SECURITIES MARKET
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED TO FREEZE BANK ACCOUNTS
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 19-MAR-2025 TO 18-MAR-2030
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
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
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 BANKS AND DEPOSITORIES NOT TO DEBIT AND/OR CREDIT, WITHOUT PERMISSION OF SEBI IN RESPECT OF BANK/DEMAT ACCOUNTS, HELD JOINTLY AND SEVERALLY
DIRECTED BANKS AND DEPOSITORIES TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
13-JAN-2021
|
SEBI VIDE ITS ORDER DATED 02/09/2021 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 13/01/2021
SEBI VIDE ITS ORDER DATED 03/02/2022 DIRECTED TO A) IMPOUND RS.3,90,67,921.00 BEING UNLAWFUL GAINS ALONG WITH INTEREST, IMPOUNDED JOINTLY AND SEVERALLY B) IMPOUNDED THE AMOUNT TILL DISPOSAL OF SCN BEING ISSUED AND SUBJECT TO DIRECTIONS ISSUED IN FINAL ORDER WHILE DISPOSING OF SUCH SCN. AMOUNT TO BE KEPT IN ESCROW ACCOUNT, A LIEN TO BE MARKED IN ESCROW ACCOUNT/S IN FAVOUR OF SEBI AND MONIES KEPT THEREIN SHALL NOT BE RELEASED WITHOUT PERMISSION OF SEBI C) BANK AND DEPOSITORIES NOT TO MAKE DEBITS WITHOUT PERMISSION OF SEBI, IN RESPECT OF BANK ACCOUNTS AND DEMAT ACCOUNTS, AND ENSURE THAT ALL DIRECTIONS ARE STRICTLY ENFORCED D) REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT TILL FURTHER DIRECTION NOT TRANSFER/REDEEMED, JOINTLY OR SEVERALLY E) NOT TO DISPOSE OFF OR ALIENATE ANY OF THEIR ASSETS/PROPERTIES/ SECURITIES
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
