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Regulatory Actions Covered By This Website

REGULATORY ACTIONS IN CHRONOLOGICAL ORDER

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.

ENTITY

S.
No.		 DATE OF ORDER ENTITY PERSON COMPETENT AUTHORITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 23-MAR-2026
History of entity/person NAGARJUNA FERTILIZERS & CHEMICALS LTD. 

(PAN:AADCK1533E)
  SEBI  DID NOT MAKE DISCLOSURE OF ARBITRATION AWARD PASSED IN FAVOUR OF PIPELINE INFRASTRUCTURE LTD. IN THE ANNUAL REPORT FOR THE F.Y.2023-24 IMPOSED PENALTY RS.1,00,000

23-MAR-2026 		 
2 20-MAR-2026
History of entity/person GALAXY MERCANTILES PVT.LTD. 

(PAN:AABCG2552M)
  SEBI  INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE IMPOSED PENALTY RS.5,00,000

20-MAR-2026 		 
3 20-MAR-2026
History of entity/person JP MORGAN CHASE BANK,N.A. 

(PAN:AAACT5545N)
  SEBI  ALLEGED GRANTING CATEGORY II FPI LICENSES TO FOUR UK-BASED FPIS THAT WERE NOT REGISTERED OR REGULATED BY FINANCIAL CONDUCT AUTHORITY (UK-FCA) VIOLATING REGULATION 7(1) READ WITH 5(B) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014

ALLEGED RE-CATEGORIZED AS CATEGORY I WITHOUT IDENTIFYING THAT THEY WERE NOT REGULATED BY UK-FINANCIAL CONDUCT AUTHORITY (UK-FCA) VIOLATING REGULATION 5(A) READ WITH 45(2)(B) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014

ALLEGED FAILURE TO REASSESS ELIGIBILITY OF FPI AND DELAY IN OBTAINING FRESH REGISTRATION VIOLATING REGULATION 31(1)(A) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 READ WITH CLAUSE 14(II) OF PART A OF MASTER CIRCULAR DATED 30/05/2024 AS AMENDED BY SEBI CIRCULAR NO.SEBI/HO/AFD/AFD-POD-2/P/CIR/2024 DATED 05/06/2024

ALLEGED PERMITTING FPI TO CONTINUE MAKING ADDITIONAL PURCHASES EVEN AFTER BEING INFORMED OF A TYPE I MATERIAL CHANGE VIOLATING REGULATION 31(1)(A) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 READ WITH CLAUSE 14(II) OF PART A OF MASTER CIRCULAR DATED 30/05/2024 AS AMENDED BY SEBI CIRCULAR NO.SEBI/HO/AFD/AFD-POD-2/P/CIR/2024 DATED 05/06/2024 		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.34,42,500 VIDE CONSENT ORDER)

20-MAR-2026 		 
4 20-MAR-2026
History of entity/person SIXTEENTH STREET ASIAN GEMS FUND 

(PAN:AAZCS3903L)
  SEBI  ALLEGED APPLICANT WAS CONTROLLED BY OVERSEAS CITIZEN OF INDIA VIOLATING REGULATION 4(C)(IV) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 AND CLAUSE 1(II)(C) UNDER PART A OF SEBI MASTER CIRCULAR

ALLEGED MAKING FRESH PURCHASES AND SALES OF SECURITIES FROM 01/01/2021 TO 07/08/2025 VIOLATING REGULATION 4(C)(IV) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 AND CLAUSE 1(II)(E) UNDER PARTA OF SEBI MASTER CIRCULAR

ALLEGED DELAY IN INFORMING DESIGNATED DEPOSITORY PARTICIPANT ABOUT RECEIVING OVERSEAS CITIZEN OF INDIA (OCI) CARD VIOLATING REGULATIONS 22(1)(B) AND22(1)(C) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 AND CLAUSE 14(I) UNDER PART A OF SEBI MASTER CIRCULAR AND PARA 3 OF SEBI CIRCULAR SEBI/HO/AFD/AFD-POD-2/P/CIR/2024/76 DATED 05/06/2024

ALLEGED MAKING INCORRECT STATEMENT IN ITS BENEFICIAL OWNER DECLARATION DATED 24/06/2022, THAT NO OVERSEAS CITIZEN OF INDIA EXERCISED CONTROL OVER THE APPLICANT VIOLATING REGULATION 23 OF FPI REGULATIONS, 2019 AND CLAUSES 2 AND 6 OF CODE OF CONDUCT AS SPECIFIED IN THIRD SCHEDULE OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.72,87,500 VIDE CONSENT ORDER)

20-MAR-2026 		 
5 18-MAR-2026
History of entity/person CAPITALVIA GLOBAL RESEARCH LTD. 

(PAN:AADCC5782H)
  SEBI  PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

PERSONS ASSOCIATED WITH INVESTMENT ADVISE (PAIA)/REPRESENTATIVES ENTERED INTO CONTRARY TRANSACTIONS IN THEIR OWN ACCOUNTS WITHIN FIFTEEN DAYS OF DATE OF ADVICE

DID NOT PROVIDE MECHANISM TO INVESTMENT ADVISERS TO INDEPENDENTLY TRACK AND/OR VERIFY INVOLVEMENT OF THEIR EMPLOYEES IN THE SECURITIES MARKET

CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE

CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS

DID NOT ENSURE SUITABILITY ADVICE PROVIDE TO CLIENTS

DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO CLIENTS 		SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 18-MAR-2026 TO 17-SEP-2026

18-MAR-2026 		 
6 18-MAR-2026
History of entity/person DMI CAPITAL PVT.LTD. 

(CIN:U67120DL2013PTC252176
PAN:AAECD6486C)
  SEBI  DID NOT MAKE DISCLOSURE OF TRACK RECORD ON ITS WEBSITE

DID NOT PUBLISH INVESTOR CHARTER AND INFORMATION ON INVESTOR COMPLAINTS ON WEBSITE

DID NOT INTIMATE CHANGE IN ADDRESS AND CONTACT DETAILS TO SEBI

DELAY IN INTIMATION OF CHANGE IN COMPLIANCE OFFICER

DID NOT INTIMATE APPOINTMENT OF COMPLIANCE OFFICER

DID NOT ADHERE TO SEBI MERCHANT BANKERS REGULATIONS, 1992 AND CIRCULAR ISSUED IN RELATION THERETO 		IMPOSED PENALTY RS.2,00,000

18-MAR-2026 		 
7 18-MAR-2026
History of entity/person RAHUL FISCAL & CREDIT CO.PVT.LTD. 

(PAN:AACCR4625F)
  SEBI  INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE IMPOSED PENALTY RS.5,00,000

18-MAR-2026 		 
8 17-MAR-2026
History of entity/person 5PAISA CAPITAL LTD. 

(PAN:AABCI7142M)

(Member : BSE/NSE)
  SEBI  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
9 17-MAR-2026
History of entity/person A C AGARWAL SHARE BROKERS PVT.LTD. 

(PAN:AAFCA6859H)

(Member : BSE/NSE)
  SEBI  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
10 17-MAR-2026
History of entity/person ACCURACAP PRIME OPPORTUNITIES FUND 

(PAN:AAGTA5589A)

(Along with : ACCURACAP TECHNOLOGIES LLP)
History of entity/person DIVYA SINGHAL

History of entity/person NARESH CHAND GUPTA

History of entity/person PRATEEK GUPTA

History of entity/person RAMAN NAGPAL
  		SEBI  ALLEGED FAILURE TO MAINTAIN MINIMUM CORPUS OF RS.20 CRORE IN MATTER OF ACCURACAP VECTRA FUND

ALLEGED FAILURE TO RESTORE CORPUS ABOVE RS.20 CRORE WITHIN THREE MONTHS FROM THE DATE OF SUCH BREACH IN MATTER OF ACCURACAP VECTRA FUND

ALLEGED FAILURE TO REDEEM THE UNITS AND WIND UP THE SCHEME DESPITE FAILURE TO RESTORE CORPUS WITHIN STIPULATED PERIOD IN MATTER OF ACCURACAP VECTRA FUND

ALLEGED EXCEEDING MAXIMUM PERMISSIBLE INVESTMENT LIMIT IN A SINGLE INVESTEE COMPANY IN MATTER OF ACCURACAP VECTRA FUND 		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

17-MAR-2026 		 
11 17-MAR-2026
History of entity/person ACCURACAP TECHNOLOGIES LLP 

(PAN:AAAFQ3030E)

(Along with : ACCURACAP PRIME OPPORTUNITIES FUND)
History of entity/person DIVYA SINGHAL

History of entity/person NARESH CHAND GUPTA

History of entity/person PRATEEK GUPTA

History of entity/person RAMAN NAGPAL
  		SEBI  ALLEGED FAILURE TO MAINTAIN MINIMUM CORPUS OF RS.20 CRORE IN MATTER OF ACCURACAP VECTRA FUND

ALLEGED FAILURE TO RESTORE CORPUS ABOVE RS.20 CRORE WITHIN THREE MONTHS FROM THE DATE OF SUCH BREACH IN MATTER OF ACCURACAP VECTRA FUND

ALLEGED FAILURE TO REDEEM THE UNITS AND WIND UP THE SCHEME DESPITE FAILURE TO RESTORE CORPUS WITHIN STIPULATED PERIOD IN MATTER OF ACCURACAP VECTRA FUND

ALLEGED EXCEEDING MAXIMUM PERMISSIBLE INVESTMENT LIMIT IN A SINGLE INVESTEE COMPANY IN MATTER OF ACCURACAP VECTRA FUND 		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

17-MAR-2026 		 
12 17-MAR-2026
History of entity/person ACUMEN CAPITAL MARKET (INDIA) LTD. 

(PAN:AABCP6649J)

(Member : BSE/NSE)
  SEBI  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
13 17-MAR-2026
History of entity/person ADITYA BIRLA MONEY LTD. 

(PAN:AAACA7472K)

(Member : BSE/NSE)
  SEBI  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
14 17-MAR-2026
History of entity/person ADROIT FINANCIAL SERVICES PVT.LTD. 

(PAN:AABCA1156D)

(Member : BSE/NSE)
  SEBI  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
15 17-MAR-2026
History of entity/person ALICE BLUE FINANCIAL SERVICES PVT.LTD. 

(PAN:AAPCA2445K)

(Member : BSE/NSE)
  SEBI  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
16 17-MAR-2026
History of entity/person ANAND RATHI SHARE & STOCK BROKERS LTD. 

(Old Name : NAVRATAN CAPITAL & SECURITIES PVT.LTD.)

(PAN:AAACN3405F)

(Member : BSE/NSE)
  SEBI  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
17 17-MAR-2026
History of entity/person ANGEL ONE LTD. 

(Old Name : ANGEL BROKING PVT.LTD.)

(PAN:AAACM6094R)

(Member : BSE/NSE)
  SEBI  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
18 17-MAR-2026
History of entity/person ARHAM SHARE PVT.LTD. 

(Old Name : ARHAM SHARE CONSULTANTS PVT.LTD.)

(PAN:AAICA6860F)

(Member : BSE/NSE)
  SEBI  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
19 17-MAR-2026
History of entity/person ARIHANT CAPITAL MARKETS LTD. 

(PAN:AABCA6832G)

(Member : BSE/NSE)
  SEBI  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
20 17-MAR-2026
History of entity/person ASHIKA STOCK BROKING LTD. 

(PAN:AACCA7156Q)

(Member : BSE/NSE)
  SEBI  ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992 REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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