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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
PERIOD COVERED : 30-NOV-2007 TO 28-AUG-2026

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.

COMPANIES: VIOLATED SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person INDIA ADVANTAGE FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019 		 
22
History of entity/person INDIA ADVANTAGE FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

29-NOV-2019 		 
23
History of entity/person INDIA ADVANTAGE FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019 		 
24
History of entity/person KOTAK INDIA GROWTH FUND II

(PAN:AABTK3261A)  
  ALLEGED DELAY IN COMPLETING WINDING UP PROCESS OF SCHEME AND DISTRIBUTION OF LIQUIDATION PROCEEDS TO INVESTORS/CONTRIBUTORS VIOLATING REGULATIONS 23(1)(A) READ WITH 23(3) AND 24(2) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,87,500 VIDE CONSENT ORDER)

05-JUN-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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