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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 (VENTURE CAPITAL FUNDS) REGULATIONS, 1996

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41
History of entity/person VIJAY TULSHYAN

(PAN:ACFPT5009H)  
Click here to view complete history of this specific entity/person UNITECH ADVISORS (INDIA) PVT.LTD.

PAN:AACCC5880D
  		DID NOT WIND UP SCHEMES AND DID NOT RETURN MONIES TO INVESTORS EVEN AFTER EXPIRY OF TENURE AS PER PRIVATE PLACEMENT MEMORANDUM

INVESTED CORPUS OF SCHEME IV IN ASSOCIATE COMPANIES

DID NOT REPORT ON QUARTERLY BASIS AS PRESCRIBED ON VENTURE CAPITAL ACTIVITY ON SEBI PORTAL WITHIN SEVEN DAYS FROM THE END OF CALENDAR QUARTER FOR QUARTERS ENDING

DID NOT PROVIDE INFORMATION TO SEBI

DID NOT CO-OPERATE WITH SEBI IN INSPECTION

DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT COMMUNICATE NAMES, DESIGNATION AND ADDRESSES (INCLUDING EMAIL ADDRESSES) OF ‘PRINCIPAL OFFICER’ AND ‘DESIGNATED DIRECTOR’, INCLUDING ANY CHANGES THEREIN TO THE OFFICE OF THE DIRECTOR-FIU

DID NOT CAPTURE KYC DETAILS OF CERTAIN CLIENTS IN ACCOUNT OPENING FORM AS SPECIFIED, VERIFIED/DOWNLOADED AND MAINTAINED CLIENTS DETAILS FROM THE SYSTEM OF KRA AND DID NOT OBTAIN REGISTRATION WITH KRA   		DIRECTED NOT TO TAKE NEW ASSIGNMENTS AS TRUSTEE OF ALTERNATIVE INVESTMENT FUND OF ANY CATEGORY

RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 29-DEC-2023 TO 28-DEC-2024

IMPOSED PENALTY RS.10,00,000

29-DEC-2023 		SAT: SAT VIDE ITS ORDER DATED 19/03/2024 DIRECTED RESPONDENT TO FILE REPLY INCLUDING ON STAY APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE

SAT: SAT VIDE ITS ORDER DATED 02/04/2025 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED THE EXEMPTION APPLICATION  
42
History of entity/person VIJAY TULSHYAN

(PAN:ACFPT5009H)  
Click here to view complete history of this specific entity/person UNITECH ADVISORS (INDIA) PVT.LTD.

PAN:AACCC5880D
  		EXTENDED TENURE OF SCHEMES VIOLATING REGULATION 23(1) (A) READ WITH 16 OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   IMPOSED PENALTY RS.1,00,000

28-MAR-2019 		SAT: SAT VIDE ITS ORDER DATED 04/05/2021 DISMISSED THE APPEAL. NO COSTS

SAT: SAT VIDE ITS ORDER DATED 24/10/2024 APPELLANTS FOUR WEEKS TO FILE REJOINDER  
43
History of entity/person VIJAY TULSHYAN

(PAN:ACFPT5009H)  
Click here to view complete history of this specific entity/person UNITECH ADVISORS (INDIA) PVT.LTD.

PAN:AACCC5880D
  		DID NOT WIND UP SCHEMES AND DID NOT RETURN MONIES TO INVESTORS EVEN AFTER EXPIRY OF TENURE AS PER PRIVATE PLACEMENT MEMORANDUM

INVESTED CORPUS OF SCHEME IV IN ASSOCIATE COMPANIES

DID NOT REPORT ON QUARTERLY BASIS AS PRESCRIBED ON VENTURE CAPITAL ACTIVITY ON SEBI PORTAL WITHIN SEVEN DAYS FROM THE END OF CALENDAR QUARTER FOR QUARTERS ENDING

DID NOT PROVIDE INFORMATION TO SEBI

DID NOT CO-OPERATE WITH SEBI IN INSPECTION

DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT COMMUNICATE NAMES, DESIGNATION AND ADDRESSES (INCLUDING EMAIL ADDRESSES) OF ‘PRINCIPAL OFFICER’ AND ‘DESIGNATED DIRECTOR’, INCLUDING ANY CHANGES THEREIN TO THE OFFICE OF THE DIRECTOR-FIU

DID NOT CAPTURE KYC DETAILS OF CERTAIN CLIENTS IN ACCOUNT OPENING FORM AS SPECIFIED, VERIFIED/DOWNLOADED AND MAINTAINED CLIENTS DETAILS FROM THE SYSTEM OF KRA AND DID NOT OBTAIN REGISTRATION WITH KRA   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-DEC-2023 TILL THE COMPLETION OF WINDING UP THE SCHEMES

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-DEC-2023 TILL THE COMPLETION OF WINDING UP THE SCHEMES

29-DEC-2023 		SAT: SAT VIDE ITS ORDER DATED 19/03/2024 DIRECTED RESPONDENT TO FILE REPLY INCLUDING ON STAY APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE

SAT: SAT VIDE ITS ORDER DATED 02/04/2025 CONDONED THE DELAY IN FILING OF REPLY AND ALLOWED EXEMPTION APPLICATION  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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