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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: VIOLATED SEBI (SUBSTANTIAL ACQUISITION OF SHARES AND TAKEOVERS) REGULATIONS, 2009

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person PARAG M.SANGHAVI

(PAN:ATYPS3041A)  
Click here to view complete history of this specific entity/person KSS LTD.

PAN:AAACG5103D
  		DELEY IN MAKING DISCLOSURE OF PLEDGE & INVOCATION OF PLEDGED SHARES TO COMPANY VIOLATING REGULATION 8(1) AND 8A (3) OF SAST AMENDMENT REGULATIONS, 2009 IN MATTER OF KSS LTD.   IMPOSED PENALTY RS.50,000

11-MAY-2018 		 
2
History of entity/person SANJAY BIPIN LAI

(PAN:AAEPL6967H)  
  DID NOT MAKE DISCLOSURE OF SHARES PLEDGED AND INVOCATION OF SHARES TO STOCK EXCHANGES VIOLATING REGULATION 8A(4) OF SEBI SAST (AMENDMENT) REGULATIONS, 2009 IN MATTER OF KSS LTD.

DID NOT MAKE DISCLOSURE OF NON-IMPLEMENTATION OF CORPORATE ANNOUNCEMENT TO STOCK EXCHANGES VIOLATING CLAUSE 2.1 OF SCHEDULE II OF REGULATION 12(2) OF SEBI (PIT) REGULATIONS, 1992 IN MATTER OF KSS LTD.

DID NOT MAKE DISCLOSURE OF NON-IMPLEMENTATION OF CORPORATE ANNOUNCEMENT TO STOCK EXCHANGES VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956 IN MATTER OF KSS LTD.   		IMPOSED PENALTY RS.3,00,000

31-DEC-2019 		SEBI VIDE ITS NOTICE DATED 28/05/2021 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL AND/OR MUTUAL FUNDS TO 1.ATTACH ALL THE ACCOUNTS (INCLUDING MUTUAL FUNDS) BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED

SEBI VIDE ITS NOTICE DATED 10/03/2022 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 28/05/2021  
3
History of entity/person SANJAY BIPIN LAI

(PAN:AAEPL6967H)  
Click here to view complete history of this specific entity/person KSS LTD.

PAN:AAACG5103D
  		WRONG AND DELAYED DISCLOSURE OF PLEDGED SHARES OF MANTRA TRADING CO.PVT.LTD. TO NSE VIOLATING REGULATION 8A(4) OF SAST (AMENDMENT) REGULATIONS, 2009 IN MATTER OF KSS LTD.

DID NOT MAKE DISCLOSURE OF PLEDGED SHARES OF PROMOTERS TO BSE IN MATTER OF KSS LTD.

DID NOT MAKE DISCLOSURE OF INVOCATION OF SHARES OF THE PROMOTERS TO NSE & BSE DESPITE RECEIVING THE SAME FROM THE PROMOTERS IN MATTER OF KSS LTD.

DID NOT MAKE DISCLOSURE OF NON-IMPLEMENTATION OF CORPORATE ANNOUNCEMENTS TO STOCK EXCHANGES VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 IN MATTER OF KSS LTD.

DID NOT MAKE DISCLOSURE OF INVOCATION OF PLEDGED SHARES TO STOCK EXCHANGES VIOLATING CLAUSE 2.1 OF SCHEDULE II OF REGULATION 12(2) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 IN MATTER OF KSS LTD.   		IMPOSED PENALTY RS.10,00,000

11-MAY-2018 		SEBI VIDE ITS NOTICE DATED 30/01/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED

SAT: SAT VIDE ITS ORDER DATED 17/09/2019 SET ASIDED IMPUGNED ORDER DATED 11/05/2018 AND REMITTED MATTER TO AO TO PASS FRESH ORDER AFTER HEARING THE APPELLANT  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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