| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.D.KARAJGAONKAR
|
|
|
|
JAYASWALS NECO LTD.
|
|
DID NOT APPOINT COMMON SHARE REGISTRAR FOR HANDLING SHARE REGISTRY WORK OF DEMAT AND PHYSICAL SECURITIES
|
IMPOSED PENALTY RS.15,000
24-NOV-2004
|
|
| 2 |
|
|
ANINDYA SEN
|
|
|
|
R.S.SOFTWARE (INDIA) LTD.
|
|
DID NOT APPOINT COMMON SHARE REGISTRAR FOR HANDLING SHARE REGISTRY WORK OF DEMAT AND PHYSICAL SECURITIES
|
IMPOSED PENALTY RS.50,000
29-DEC-2004
|
|
| 3 |
|
|
BHANU BHAI SHARMA
|
|
|
|
R.S.SOFTWARE (INDIA) LTD.
|
|
DID NOT APPOINT COMMON SHARE REGISTRAR FOR HANDLING SHARE REGISTRY WORK OF DEMAT AND PHYSICAL SECURITIES
|
IMPOSED PENALTY RS.50,000
29-DEC-2004
|
|
| 4 |
|
|
BIMLESH KUMAR MISHRA
|
|
|
|
SOMANI CEMENT CO.LTD.
CIN:L26940GJ1983PLC006400
PAN:AACCS9762N
|
|
DID NOT APPOINT COMMON SHARE REGISTRAR FOR HANDLING SHARE REGISTRY WORK OF DEMAT AND PHYSICAL SECURITIES
INDULGED IN ISSUANCE OF MISLEADING CORPORATE ANNOUNCEMENTS IN MATTER OF SOMANI CEMENT CO. LTD.
OFFLOADED UNLISTED SHARES OF SOMANI CEMENT CO.LTD IN MARKET THROUGH CONNECTED PERSONS
VIOLATED REGULATION 10 OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 19.91% SHARES OF SOMANI CEMENT CO.LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SOMANI CEMENT CO. LTD.
INDULGED IN DEMATERIALISATION OF SHARES OF SOMANI CEMENT CO.LTD. IN EXCESS OF ITS PAID UP CAPITAL
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 17-DEC-2008 TO 16-DEC-2018
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 17-DEC-2008 TO 16-DEC-2018
17-DEC-2008
|
|
| 5 |
|
|
HITESH M.DHARAMSHI
(PAN:AHAPD4821B)
|
|
|
|
RASI ELECTRODES LTD.
PAN:AAACR4682G
|
|
DID NOT APPOINT COMMON SHARE REGISTRAR FOR HANDLING SHARE REGISTRY WORK OF DEMAT AND PHYSICAL SECURITIES IN TIME
|
IMPOSED PENALTY RS.25,000
10-JUL-2006
|
|
| 6 |
|
|
KAMLESH SHAH
|
|
|
|
CORE HEALTHCARE LTD.
|
|
DID NOT APPOINT COMMON SHARE REGISTRAR FOR HANDLING SHARE REGISTRY WORK OF DEMAT AND PHYSICAL SECURITIES
|
IMPOSED PENALTY RS.50,000
11-APR-2005
|
|
| 7 |
|
|
RAJESH MITTAL
|
|
|
|
UNIMIN INDIA LTD.
|
|
DID NOT APPOINT COMMON SHARE REGISTRAR FOR HANDLING SHARE REGISTRY WORK OF DEMAT AND PHYSICAL SECURITIES IN TIME
|
IMPOSED PENALTY RS.25,000
13-DEC-2006
|
|
| 8 |
|
|
SEEMA BATWALKAR
|
|
|
|
DSJ COMMUNICATIONS LTD.
PAN:AAACD1935A
CIN:L22120MH1989PLC054329
|
|
DID NOT APPOINT COMMON SHARE REGISTRAR FOR HANDLING SHARE REGISTRY WORK OF DEMAT AND PHYSICAL SECURITIES
|
IMPOSED PENALTY RS.10,000
07-APR-2005
|
COMPANY VIDE ITS LETTER DATED 26/11/2011 ADDRESSED TO NSE APPOINTED SHARES DYNAMIC (INDIA) PVT.LTD. AS REGISTRAR & TRANSFER AGENT OF THE COMPANY
|
| 9 |
|
|
SHAM A.MELYE
|
|
|
|
KAY PULP & PAPER MILLS LTD.
|
|
DID NOT APPOINT COMMON SHARE REGISTRAR FOR HANDLING SHARE REGISTRY WORK OF DEMAT AND PHYSICAL SECURITIES IN TIME
|
IMPOSED PENALTY RS.25,000
15-SEP-2006
|
|
| 10 |
|
|
SHARAD DUDANI
|
|
|
|
SHREYANS INDUSTRIES LTD.
|
|
DID NOT APPOINT COMMON SHARE REGISTRAR FOR HANDLING SHARE REGISTRY WORK OF DEMAT AND PHYSICAL SECURITIES
|
IMPOSED PENALTY RS.50,000
18-NOV-2004
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.50,000
|
| 11 |
|
|
V.M.PENDSE
|
|
|
|
UB ENGINEERING LTD.
|
|
DID NOT APPOINT COMMON SHARE REGISTRAR FOR HANDLING SHARE REGISTRY WORK OF DEMAT AND PHYSICAL SECURITIES
|
IMPOSED PENALTY RS.25,000
11-DEC-2006
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
