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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
UPDATED TILL : 03-JUL-2025

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.

PERSONS: VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person SAURABH NANAVATI

(PAN:AAVPN8344D)  
Click here to view complete history of this specific entity/person INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.

PAN:AACCG3908J
  		ALLEGED FAILURE IN SEGREGATION OF ACTIVITIES BETWEEN PORTFOLIO MANAGEMENT AND MUTUAL FUND ACTIVITIES IN THE MATTER OF INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.

ALLEGED FAILURE TO MAINTAIN ADEQUATE INFRASTRUCTURE, MANPOWER WITH PORTFOLIO MANAGER FOR EFFECTIVELY DISCHARGING ACTIVITIES

ALLEGED FAILURE TO MAINTAIN ARMS-LENGTH RELATIONSHIP WITH INVESCO MUTUAL FUND ARM BY CLEARLY SEGREGATING ITS ACTIVITIES AS PORTFOLIO MANAGER/INVESTMENT ADVISER FROM MUTUAL FUND ACTIVITY

ALLEGED FAILURE TO ENSURE THAT INVESTMENTS ARE DONE TO ACHIEVE OBJECTIVES OF SCHEME BY APPLYING INDEPENDENT BUSINESS JUDGMENT AND IN INTEREST OF UNITHOLDERS IN CERTAIN INVESTMENTS   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,98,55,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

24-APR-2024 		 
22
History of entity/person SUJOY DAS

(PAN:AFGPD4797N)  
Click here to view complete history of this specific entity/person INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.

PAN:AACCG3908J
  		ALLEGED FAILURE IN SEGREGATION OF ACTIVITIES BETWEEN PORTFOLIO MANAGEMENT AND MUTUAL FUND ACTIVITIES IN THE MATTER OF INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.

ALLEGED FAILURE TO MAINTAIN ADEQUATE INFRASTRUCTURE, MANPOWER WITH PORTFOLIO MANAGER FOR EFFECTIVELY DISCHARGING ACTIVITIES

ALLEGED FAILURE TO MAINTAIN ARMS-LENGTH RELATIONSHIP WITH INVESCO MUTUAL FUND ARM BY CLEARLY SEGREGATING ITS ACTIVITIES AS PORTFOLIO MANAGER/INVESTMENT ADVISER FROM MUTUAL FUND ACTIVITY

ALLEGED FAILURE TO ENSURE THAT INVESTMENTS ARE DONE TO ACHIEVE OBJECTIVES OF SCHEME BY APPLYING INDEPENDENT BUSINESS JUDGMENT AND IN INTEREST OF UNITHOLDERS IN CERTAIN INVESTMENTS   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,98,55,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

24-APR-2024 		 
23
History of entity/person SURESH JAKHOTIYA

(PAN:ABBPJ0750A)  
Click here to view complete history of this specific entity/person INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.

PAN:AACCG3908J
  		ALLEGED FAILURE IN SEGREGATION OF ACTIVITIES BETWEEN PORTFOLIO MANAGEMENT AND MUTUAL FUND ACTIVITIES IN THE MATTER OF INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.

ALLEGED FAILURE TO MAINTAIN ADEQUATE INFRASTRUCTURE, MANPOWER WITH PORTFOLIO MANAGER FOR EFFECTIVELY DISCHARGING ACTIVITIES

ALLEGED FAILURE TO MAINTAIN ARMS-LENGTH RELATIONSHIP WITH INVESCO MUTUAL FUND ARM BY CLEARLY SEGREGATING ITS ACTIVITIES AS PORTFOLIO MANAGER/INVESTMENT ADVISER FROM MUTUAL FUND ACTIVITY

ALLEGED FAILURE TO ENSURE THAT INVESTMENTS ARE DONE TO ACHIEVE OBJECTIVES OF SCHEME BY APPLYING INDEPENDENT BUSINESS JUDGMENT AND IN INTEREST OF UNITHOLDERS IN CERTAIN INVESTMENTS   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,98,55,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

24-APR-2024 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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