| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ALLIANCE BERNSTEIN L.P.
|
|
|
ALLEGED DELAY IN INTIMATING NAME CHANGE OF FOUR SUB-ACCOUNTS UNDER REGULATION 13 (1) (E) OF SEBI (FII) REGULATIONS, 1995
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)
20-MAR-2009
|
|
| 2 |
|
|
ALLIANZ VARIABLE INSURANCE PRODUCTS TRUST
|
|
|
ALLEGED DELAY IN INFORMING SEBI IN STIPULATED TIME ABOUT NAME CHANGE FROM US ALLIANZ VARIABLE INSURANCE PRODUCTS TRUST TO ALLIANZ VARIABLE INSURANCE PRODUCTS TRUST AS REQUIRED UNDER REGULATION 10 (C) OF SEBI(FII) REGULATIONS, 1995
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)^CO^24-MAY-2010
|
|
| 3 |
|
|
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
|
|
| 4 |
|
|
AMERICAN BEACON EMERGING MARKETS FUND
|
|
|
ALLEGED DELAY IN INFORMING SEBI ABOUT CHANGE OF ITS NAME AND OF ITS TWO SUB ACCOUNTS AS REQUIRED UNDER REGULATIONS 10(C) AND 13(1) OF SEBI (FII) REGULATIONS, 1995 IN MATTER OF AMERICAN BEACON EMERGING MARKETS FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)^CO^13-JAN-2010
|
|
| 5 |
|
|
BARCLAYS BANK PLC
|
|
|
DID NOT PROVIDE TRUE, FAIR AND COMPLETE DETAILS OF OFFSHORE DERIVATIVE INSTRUMENTS ACTIVITY UNDERTAKEN AND FURNISHED FALSE AND INCORRECT INFORMATION TO SEBI VIOLATING REGULATION 7A OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS 1995
|
DIRECTED NOT TO ISSUE/SUBSCRIBE OR OTHERWISE TRANSACT IN ANY FRESH/NEW OFFSHORE DERIVATIVE INSTRUMENT TILL SUCH TIME SATISFIES SEBI THAT IT HAS PUT ADEQUATE SYSTEMS, PROCESSES AND CONTROL
DIRECTED TO FURNISH A CERTIFICATE FROM AN AUDITOR OF INTERNATIONAL STANDING
09-DEC-2009
|
DIRECTION ISSUED VIDE ORDER EX-PARTE ORDER DATED 09/12/2009 REVOKED WITH IMMEDIATE EFFECT AND ADVISED THAT ALL OFFSHORE DERIVATIVE INSTRUMENTS SHOULD BE STRICTLY IN COMPLIANCE WITH THE REGULATIONS, VIDE ORDER DATED 30/08/2010
|
| 6 |
|
|
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
|
|
| 7 |
|
|
CITIGROUP GLOBAL MARKETS MAURITIUS PVT.LTD.
(PAN:AAFCS3274C)
|
|
|
ALLEGED FAILURE IN COMPLYING WITH REPORTING STANDARDS PRESCRIBED BY SEBI VIDE CIRCULAR NO.IMD/CUST/15/2004 DATED 02/04/2004 ISSUED UNDER REGULATION 20A OF FII REGULATIONS, 1995
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,00,000 VIDE CONSENT ORDER)
09-APR-2013
|
|
| 8 |
|
|
CITIGROUP GLOBAL MARKETS MAURITIUS PVT.LTD.
(PAN:AAFCS3274C)
|
|
|
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
|
|
| 9 |
|
|
COMMERZBANK (SOUTH EAST ASIA) LTD.
|
|
|
ALLEGED INDULGENCE IN INVESTMENTS ON BEHALF OF 17 CLIENTS WITHOUT OBTAINING REGISTRATION FOR THESE CLIENTS AS SUB-ACCOUNTS VIOLATING REGULATIONS 10(F) AND 12(1) OF SEBI (FII) REGULATIONS, 1995
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,26,00,000 VIDE CONSENT ORDER)
14-FEB-2011
|
|
| 10 |
|
|
CREDIT AGRICOLE ASSET MANAGEMENT
|
|
|
ALLEGED DELAY IN INFORMING SEBI ABOUT NAME CHANGE OF ITS SUB ACCOUNTS VIOLATING REGULATION 13(1) (E) OF SEBI (FII) REGULATIONS, 1995
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
11-SEP-2009
|
|
| 11 |
|
|
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
|
|
| 12 |
|
|
DWS GLOBAL/INTERNATIONAL FUND,INC.
|
|
|
ALLEGED DELAY IN INFORMING SEBI ABOUT CHANGE OF ITS NAME AND OF ITS SUB ACCOUNT AS REQUIRED UNDER REGULATIONS 10(C) AND 13(1) OF SEBI (FII) REGULATIONS, 1995 IN MATTER OF DWS GLOBAL/INTERNATIONAL FUND INC. AND DWS VARIABLE SERIES I
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-JUN-2010
|
|
| 13 |
|
|
DWS SECURITIES TRUST
|
|
|
ALLEGED DELAY IN INFORMING SEBI ABOUT CHANGE OF ITS NAME AND OF ITS SUB ACCOUNT AS REQUIRED UNDER REGULATIONS 10(C) AND 13(1) OF SEBI (FII) REGULATIONS, 1995 IN MATTER OF DWS GLOBAL/INTERNATIONAL FUND INC. AND DWS VARIABLE SERIES I
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-JUN-2010
|
|
| 14 |
|
|
DWS VARIABLE SERIES I
|
|
|
ALLEGED DELAY IN INFORMING SEBI ABOUT CHANGE OF ITS NAME AND OF ITS SUB ACCOUNT AS REQUIRED UNDER REGULATIONS 10(C) AND 13(1) OF SEBI (FII) REGULATIONS, 1995 IN MATTER OF DWS GLOBAL/INTERNATIONAL FUND INC. AND DWS VARIABLE SERIES I
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-JUN-2010
|
|
| 15 |
|
|
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
|
|
| 16 |
|
|
EUROPEAN AMERICAN INVESTMENT BANK AG (EURAM BANK AG)
|
|
|
VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(A), 4(2)(C) AND 4(2)(E) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
VIOLATED REGULATION 13A(1) OF FII REGULATIONS READ WITH CLAUSES 1,2,8 AND 10 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 7A OF FII REGULATIONS IN MATTER OF GDR ISSUES IN ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
05-SEP-2017
|
|
| 17 |
|
|
FIDELITY MANAGEMENT & RESEARCH CO.
|
|
|
ALLEGED DELAY IN INFORMING SEBI ABOUT NAME CHANGE FROM FIDELITY DESTINY PORTFOLIOS : DESTINY I TO FIDELITY DESTINY PORTFOLIOS: FIDELITY ADVISOR DIVERSIFIED STOCK FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,25,000 VIDE CONSENT ORDER)
08-SEP-2009
|
|
| 18 |
|
|
FLEDGLING NOMINEES INTERNATIONAL LTD.
|
|
|
ALLEGED FAILURE IN EXERCISING DUE DILIGENCE IN RESPECT OF REGISTRATION OF CLIENTS AS REQUIRED UNDER SEBI (FII) REGULATIONS, 1995
ALLEGED FAILURE IN PROVIDING CLIENT INFORMATION TO SEBI AS REQUIRED UNDER REGULATIONS 7A(2),15,20 AND 20A OF SEBI (FII) REGULATIONS, 1995
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.60,00,000 VIDE CONSENT ORDER)
26-APR-2010
|
|
| 19 |
|
|
GEOMATRIX (HK) LTD.
|
|
|
ALLEGED INDULGENCE IN SUBMISSION OF FALSE INFORMATION RELATED TO STRUCTURE OF CERTAIN SUB-ACCOUNTS BY PROVIDING INCORRECT "DECLARATION AND UNDERTAKING" WHILE SEEKING REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.17,00,000 VIDE CONSENT ORDER)
26-DEC-2012
|
|
| 20 |
|
|
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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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