| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
BIS CAPITAL INVESTMENT ADVISOR
(PAN:BFLPP9443M)
|
|
|
|
HARIOM SHARAN PATEL
PAN:BFLPP9443M
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 30-JUN-2023
30-JUN-2023
|
|
| 22 |
|
|
BULL RESEARCH INVESTMENT ADVISORS PVT.LTD.
(PAN:AAHCB1200H)
|
|
|
|
SANDEEP KUSHWAHA
PAN:DPBPK9313F
DIN:08176753
|
|
|
VINIT SATPUTE
DIN:07737200
PAN:EBMPS2703F
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD ADVISORY SERVICES/PACKAGES TO SAME CLIENTS ON MULTIPLE OCCASION AT DIFFERENT ARBITRARY PRICE FOR FUTURE/OVERLAPPING PERIOD WHILE EXISTING SUBSCRIPTION WAS ACTIVE
RECEIVED PAYMENT FROM FAMILY MEMBERS OF PRIMARY CLIENTS TO HIDE EXORBITANT FEES TAKEN FROM PRIMARY CLIENT
RECEIVED PAYMENT BEFORE DOING KNOW YOUR CLIENTS (KYC) AND RISK PROFILING OF CLIENTS
RAISED INVOICES IN THE NAME OF CLIENTS WHO DID NOT HAVE DEMAT/TRADING ACCOUNT
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
DID NOT POSSESS NISM CERTIFICATE
DID NOT ADHERE TO REQUIREMENT OF CAPITAL ADEQUACY
NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 15-SEP-2023
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO FILE A REPORT OF RESOLUTION OF COMPLAINTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 15-SEP-2023
15-SEP-2023
|
SAT: SAT VIDE ITS ORDER DATED 09/07/2024 CONDONED THE DELAY IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TIME TO FILE REPLY AND REJOINDER MAY BE FILED WITHIN FOUR WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 17/09/2024 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/01/2025 GRANTED APPELLANT TWO WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 13/02/2025 APPELLANT SOUGHT TWO WEEKS TO FILE REJOINDER
|
| 23 |
|
|
BULLMART RESEARCH
(PAN:AOAPT8664H)
|
|
|
|
DESHRAJ SINGH THAKUR
PAN:AOAPT8664H
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
07-AUG-2026
|
|
| 24 |
|
|
CAA KWAN TALENT MANAGEMENT AGENCY PVT.LTD.
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 22-SEP-2026
22-SEP-2026
|
|
| 25 |
|
|
CANDYFLOSS INVESTMENT ADVISORS
(PAN:AIYPP4220B)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-JUL-2026
21-JUL-2026
|
|
| 26 |
|
|
CAPITAL BOOSTERS
(PAN:BTSPM0627F)
|
|
|
|
ANKUR MISHRA
PAN:BTSPM0627F
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
07-AUG-2026
|
|
| 27 |
|
|
CAPITAL GROW FINANCIAL SERVICES
(PAN:BAAPG4714Q)
|
|
|
|
PRASHANT GOLE
PAN:BAAPG4714Q
|
|
DID NOT INFORM SEBI ABOUT CHANGE OF ADDRESS
DID NOT OBTAIN MEMBERSHIP FROM BSE ADMINISTRATION & SUPERVISION LTD. (BASL)
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 15-MAR-2024
15-MAR-2024
|
|
| 28 |
|
|
CAPITAL TRUE FINANCIAL SERVICES
(PAN:AINPT0227B)
|
|
|
|
NARENDRA SINGH TANWAR
PAN:AINPT0227B
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
OBTAINED REGISTRATION FROM SEBI BY PRODUCING FALSE AND FABRICATED DOCUMENTS TO PROVE HIS ELIGIBILITY TO WORK AS AN INVESTMENT ADVISOR
|
CEASED AND DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR ALTERNATIVE INVESTMENT FUND AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITIES IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 05-JUN-2020 TO 04-JUN-2022
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 05-JUN-2020 TO 04-JUN-2022
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 05-JUN-2020 TO 04-JUN-2022
DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 05-JUN-2020 TO 04-JUN-2022
CEASED AND DESIST FROM ACTING AS AN INVESTMENT ADVISER
DIRECTED NOT TO USE TERM ‘INVESTMENT ADVISER’ DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER ON LETTER-HEAD, WEBSITE, SIGNAGE BOARD OR OTHERWISE
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 05-JUN-2020 TO 04-JUN-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
06-NOV-2018
|
SEBI VIDE ITS ORDER DATED 05/06/2020 A) CANCELLED CERTIFICATE OF REGISTRATION AS INVESTMENT ADVISER AND CEASE AND DESIST FROM ACTING AS INVESTMENT ADVISER C) DIRECTED TO NOT TO USE THE TERM ‘INVESTMENT ADVISER’ DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER ON LETTER-HEAD, WEBSITE, SIGNAGE BOARD OR OTHERWISE D) DEBARRED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER, FOR TWO YEARS E) DURING PERIOD OF RESTRAINT FREEZED EXISTING HOLDING, INCLUDING MUTUAL FUNDS UNITS
|
| 29 |
|
|
CAPITALPI ADVISORS & RESEARCH
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 22-SEP-2026
22-SEP-2026
|
|
| 30 |
|
|
CAPITALVIA GLOBAL RESEARCH LTD.
(PAN:AADCC5782H)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-JUL-2026
21-JUL-2026
|
|
| 31 |
|
|
CAPVISION INVESTMENT ADVISOR
(PAN:AAJFC0782A)
|
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 27-MAR-2023
27-MAR-2023
|
|
| 32 |
|
|
CAPVISION INVESTMENT ADVISOR
(PAN:AAJFC0782A)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 21-AUG-2026
21-AUG-2026
|
|
| 33 |
|
|
COFAGR INVESTMENT ADVISOR
(PAN:AKJPT1053B)
|
|
|
|
ASHISH SINGH
PAN:AKJPT1053B
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
27-NOV-2025
|
|
| 34 |
|
|
CORONA CAPITAL INVESTMENT ADVISORY
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 10-SEP-2026
10-SEP-2026
|
|
| 35 |
|
|
CPI RESEARCH & SERVICES
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 14-AUG-2026
14-AUG-2026
|
|
| 36 |
|
|
CUMULUS CONSULTING SERVICES PVT.LTD.
(PAN:AAGCC4020R)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 25-APR-2025
25-APR-2025
|
|
| 37 |
|
|
CYCLONE MONEY
(PAN:AJLPG5405H)
|
|
|
|
HIMESH GUPTA
PAN:AJLPG5405H
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
07-AUG-2026
|
|
| 38 |
|
|
D.S.CAPITAL VENTURE PVT.LTD.
(PAN:AADCH8426M)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS TO INVESTIGATING AUTHORITY OF SEBI
DID NOT INFORM SEBI ABOUT CHANGE OF ADDRESS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 30-JAN-2023
30-JAN-2023
|
|
| 39 |
|
|
D.S.CAPITAL VENTURE PVT.LTD.
(PAN:AADCH8426M)
|
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 11-SEP-2026
11-SEP-2026
|
|
| 40 |
|
|
DELVE AXIS
|
|
|
|
ANANT HASMUKHLAL SHAH
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 11-SEP-2026
11-SEP-2026
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 9
|
