| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AMAM LTD.
|
|
|
INVESTED IN ITS OWN NAME INSTEAD OF IN THE NAMES OF ITS CLIENTS REGISTERED WITH SEBI AS SUB-ACCOUNTS VIOLATING REGULATIONS 7A AND 10(A) OF SEBI (FII) REGULATIONS, 1995
|
IMPOSED PENALTY RS.25,00,000
29-AUG-2011
|
|
| 2 |
|
|
CARDINAL CAPITAL PARTNERS
|
|
|
DID NOT FULFIL BROAD BASED CRITERIA VIOLATING REGULATIONS 7A AND 13A OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995
DID NOT INTIMATE BOARD ABOUT BROAD BASED FUND CRITERIA VIOLATING REGULATION 10(C) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) CORRESPONDING TO REGULATION 23(1) (C) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995
DID NOT FULFIL BROAD BASED FUND CRITERIA AS PER SEBI CIRCULAR CIR/IMD/FIIC/1/2010 DATED 15/04/2010
|
IMPOSED PENALTY RS.3,00,000
19-SEP-2018
|
|
| 3 |
|
|
CITIGROUP GLOBAL MARKETS MAURITIUS PVT.LTD.
|
|
|
FILED FALSE AND MISLEADING UNDERTAKING TO SEBI REGARDING ISSUANCE OF OFFSHORE DERIVATIVE INSTRUMENTS TO OVERSEAS CORPORATE BODIES
|
IMPOSED PENALTY RS.1,00,00,000
11-AUG-2006
|
|
| 4 |
|
|
CREDIT SUISSE FIRST BOSTON (MAURITIUS) LTD.
|
|
|
INDULGED IN SHORT SELLING OF SECURITIES IN VIOLATION OF REGULATION 15(3)(A) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995
|
IMPOSED PENALTY RS.10,00,000
05-DEC-2005
|
|
| 5 |
|
|
EUROPEAN AMERICAN BANK AG
|
|
|
DID NOT FULFIL BROAD BASED CRITERIA VIOLATING REGULATIONS 7A AND 13A OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995
DID NOT INTIMATE BOARD ABOUT BROAD BASED FUND CRITERIA VIOLATING REGULATION 10(C) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) CORRESPONDING TO REGULATION 23(1) (C) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995
DID NOT FULFIL BROAD BASED FUND CRITERIA AS PER SEBI CIRCULAR CIR/IMD/FIIC/1/2010 DATED 15/04/2010
|
IMPOSED PENALTY RS.2,00,000
21-AUG-2018
|
|
| 6 |
|
|
GOLDMAN SACHS INVESTMENTS (MAURITIUS) LTD.
|
|
|
FILED FALSE AND MISLEADING UNDERTAKING TO SEBI REGARDING ISSUANCE OF OFFSHORE DERIVATIVE INSTRUMENTS TO OVERSEAS CORPORATE BODIES
|
IMPOSED PENALTY RS.1,00,00,000
08-SEP-2006
|
SAT: APPEAL ALLOWED, IMPUGNED ORDER SET ASIDE AND APPLICANT WILL HAVE ITS COST OF RS.1,00,000
|
| 7 |
|
|
HANSBERGER GLOBAL INVESTORS,INC.
|
|
|
DELAYED REPORTING OF CHANGE OF NAME OF SUB ACCOUNTS TO SEBI VIOLATING REGULATION 13(1) (E) OF SEBI (FII) REGULATIONS, 1995
|
IMPOSED PENALTY RS.2,00,000
21-MAY-2012
|
|
| 8 |
|
|
HSBC INVESTMENT SERVICES (NETHERLANDS) N.V.
|
|
|
DID NOT INFORM ABOUT LOCATION WHERE PARTICIPATORY NOTES WERE DESIGNED
DID NOT INFORM THE POINT AT WHICH ITS BROKER HSBC SECURITIES CAME TO KNOW ISSUANCE OF PARTICIPATORY NOTES
DID NOT SUBMIT NAMES, ADDRESS, TELEPHONE NO.,CLIENT REGISTRATION FORM
|
IMPOSED PENALTY RS.10,00,000
22-DEC-2006
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.10,00,000 WITH NO ORDER AS TO COSTS
|
| 9 |
|
|
INDIA FOCUS CARDINAL FUND
|
|
|
DID NOT SATISFY THE CRITERIA OF BROAD BASED FUND VIOLATING REGULATION 6(1) (D) OF FII REGULATIONS, 1995
DID NOT ADHERE TO SEBI CIRCULAR CIR/IMD/1/2010 DATED 15/04/2010
|
IMPOSED PENALTY RS.5,00,000
31-JUL-2018
|
|
| 10 |
|
|
JYSKE INVEST FUND MANAGEMENT A/S
|
|
|
DID NOT INFORM SEBI IN STIPULATED TIME ABOUT NAME CHANGE FROM JYSKE INVEST ADMINISTRATION A/S TO JYSKE INVEST FUND MANAGEMENT A/S
|
IMPOSED PENALTY RS.2,00,000
21-MAY-2009
|
|
| 11 |
|
|
TCW GALILEO FUNDS,INC.
|
|
|
DELAYED REPORTING OF CHANGE OF NAME OF FOREIGN INSTITUTIONAL INVESTORS FROM TCW GALILEO FUNDS INC.TO TCW FUNDS INC.UNDER REGULATION 10 (C) OF SEBI (FII) REGULATIONS, 1995
|
IMPOSED PENALTY RS.5,00,000
31-MAR-2009
|
|
| 12 |
|
|
UNITED SECURITIES LLC
|
|
|
MADE INVESTMENTS THROUGH FII PROPRIETARY ACCOUNT VIOLATING REGULATION 10 (F) READ WITH REGULATION 12(1) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS 1995
|
IMPOSED PENALTY RS.25,000
27-NOV-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
