| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ADI COOPER
(PAN:AAFPC0271N)
|
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (COMMEX) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF COMMEX TECHNOLOGY LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2019 TO 27-FEB-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2019 TO 27-FEB-2021
DIRECTED TO DISINVEST 27,633 SHARES OF SARLA PERFORMANCE FIBRES LTD. THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
28-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2019 ALLOWED THE APPEAL AND SET ASIDED DEBARMENT ORDER PASSED BY WTM
|
| 2 |
|
|
KISHORE HEGDE
(PAN:AAFPH2481K)
|
|
|
INDULGED IN FACILITATING SUBSCRIPTION OF GDRS BY VINTAGE FZE, UAE THROUGH FINANCE OBTAINED FROM EURAM BANK, AUSTRIA FOR SUBSCRIPTION OF GDR AND ISSUER COMPANY (COMMEX) PLEDGED GDR WITH EURAM BANK VIOLATING SECTIONS 12A(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF COMMEX TECHNOLOGY LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2019 TO 27-FEB-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2019 TO 27-FEB-2021
DIRECTED TO DISINVEST 27,633 SHARES OF SARLA PERFORMANCE FIBRES LTD. THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
28-FEB-2019
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2019 DISMISSED THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 19/03/2021 DISMISSED THE APPEAL
|
| 3 |
|
|
KRISHNAKUMAR JHUNJHUNWALA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARLA PERFORMANCE FIBRES LTD.
|
DIRECTED TO DISINVEST 27,633 SHARES OF SARLA PERFORMANCE FIBRES LTD. THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
05-SEP-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| 4 |
|
|
MADHUSUDAN JHUNJHUNWALA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARLA PERFORMANCE FIBRES LTD.
|
DIRECTED TO DISINVEST 27,633 SHARES OF SARLA PERFORMANCE FIBRES LTD. THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
05-SEP-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| 5 |
|
|
SARLADEVI M.JHUNJHUNWALA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARLA PERFORMANCE FIBRES LTD.
|
DIRECTED TO DISINVEST 27,633 SHARES OF SARLA PERFORMANCE FIBRES LTD. THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
05-SEP-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| 6 |
|
|
VRINDA K.JHUNJHUNWALA
|
|
|
DID NOT MAKE PUBLIC ANNOUNCEMENT AS REQUIRED UNDER REGULATION 11(2) READ WITH 14(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF SARLA PERFORMANCE FIBRES LTD.
|
DIRECTED TO DISINVEST 27,633 SHARES OF SARLA PERFORMANCE FIBRES LTD. THROUGH SALE TO PARTIES NOT CONNECTED / RELATED TO THEM IN SMALL LOTS IN TRENCHES ON BSE AND NSE ENSURING THAT SUCH SALE DOES NOT DISTURB MARKET EQUILIBRIUM
DIRECTED TO TRANSFER ENTIRE PROCEEDS OF SALE OF SHARE TO INVESTOR PROTECTION AND EDUCATION FUND ESTABLISHED UNDER SEBI (INVESTOR PROTECTION AND EDUCATION FUND) REGULATIONS, 2009
05-SEP-2014
|
SAT: APPEAL ALLOWED TO BE WITHDRAWN. NO COSTS
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
