| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
PRASHANT SAGWEKAR
(PAN:AVUPS1958E)
|
|
|
|
PENBROOK CAPITAL ADVISORS PVT.LTD.
PAN:AAGCP3459B
|
|
ALLEGED FAILURE IN MONITORING COMPLIANCE OF VARIOUS REQUIREMENTS VIOLATING REGULATIONS 10(C), 10(D), 11(2) AND 13(4) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
ALLEGED FAILURE IN UPLOADING OF KYC DATA OF EXISTING INDIVIDUAL CLIENTS WITH CKYCR VIOLATING SEBI MASTER CIRCULAR NO.SEBI/HO/MIRSD/DOP/CIR/P/2019/113 DATED 15/10/2019 AND CIRCULAR NO.CIR/IMD/DF/14/2014 DATED 24/06/2019
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,25,000 VIDE CONSENT ORDER)
28-JAN-2022
|
|
| 42 |
|
|
PRATEEK GUPTA
(PAN:BGZPG8303C)
(Along with : NARESH CHAND GUPTA,
DIVYA SINGHAL,
RAMAN NAGPAL)
|
|
|
|
ACCURACAP PRIME OPPORTUNITIES FUND
PAN:AAGTA5589A
|
|
|
ACCURACAP TECHNOLOGIES LLP
PAN:AAAFQ3030E
|
|
ALLEGED FAILURE TO MAINTAIN MINIMUM CORPUS OF RS.20 CRORE IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO RESTORE CORPUS ABOVE RS.20 CRORE WITHIN THREE MONTHS FROM THE DATE OF SUCH BREACH IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO REDEEM THE UNITS AND WIND UP THE SCHEME DESPITE FAILURE TO RESTORE CORPUS WITHIN STIPULATED PERIOD IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED EXCEEDING MAXIMUM PERMISSIBLE INVESTMENT LIMIT IN A SINGLE INVESTEE COMPANY IN MATTER OF ACCURACAP VECTRA FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 43 |
|
|
PRAVEEN DWARAKANATH
(PAN:ANKPD7583J)
|
|
|
|
WHITESPACE ALPHA TRUST
PAN:AAATW5453D
|
|
|
WHITESPACE FUND LLP
PAN:AADFW1831G
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-FEB-2024
|
|
| 44 |
|
|
RAJEEV ASHOK PIRAMAL
(PAN:AAEPP7727R)
|
|
|
|
PENBROOK CAPITAL ADVISORS PVT.LTD.
PAN:AAGCP3459B
|
|
ALLEGED FAILURE IN CONTINUING INTEREST OF RS.5.0 CRORE IN FORM OF INVESTMENT AND EXTENSION OF TENURE OF FUND MORE THAN PERMISSIBLE PERIOD (4 YEARS + 1 YEAR) IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 7(1)(A) READ WITH SEBI CIRCULAR NO.CIR/IMD/DF/14/2014 DATED 19/06/2014
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.63,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JAN-2022
|
|
| 45 |
|
|
RAJESH RATANLAL LADDHA
(PAN:ABOPL3015F)
|
|
|
|
PIRAMAL INVESTMENT ADVISORY SERVICES PVT.LTD.
PAN:AAHCP2291G
|
|
ALLEGED VIOLATION OF REGULATIONS 10(D), 13, 27 (1) (D) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 AND SEBI MASTER CIRCULAR NO.CIR/ISD/AML/3/2010 DATED 31/12/2010 IN MATTER OF PIRAMAL INVESTMENT OPPORTUNITIES FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.76,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUN-2021
|
|
| 46 |
|
|
RAJGOPALAN SANTHANAM
(PAN:AADPS1429F)
|
|
|
ALLEGED INVESTMENT IN MUTUAL FUNDS CATEGORIZED AS LARGE CAPITAL FUNDS
ALLEGED FAILURE IN MAKING DISCLOSURE TO INVESTORS THE LEVEL OF LEVERAGE ARISING FROM POSITION HELD IN FUTURES
ALLEGED DELAY IN OBTAINING SCORES LOGIN AND PASSWORD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.49,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-AUG-2023
|
SEBI VIDE ITS ORDER DATED 18/12/2023 DISPOSED OF THE APPEAL AS THE SETTLEMENT AMOUNT OF RS.49.40 LAC HAS BEEN PAID AS PER THE SETTLEMENT ORDER DATED 01/08/2023 READ WITH ADDENDUM DATED 05/12/2023
|
| 47 |
|
|
RAMAN NAGPAL
(PAN:ABSPN1820E)
(Along with : NARESH CHAND GUPTA,
PRATEEK GUPTA,
DIVYA SINGHAL)
|
|
|
|
ACCURACAP PRIME OPPORTUNITIES FUND
PAN:AAGTA5589A
|
|
|
ACCURACAP TECHNOLOGIES LLP
PAN:AAAFQ3030E
|
|
ALLEGED FAILURE TO MAINTAIN MINIMUM CORPUS OF RS.20 CRORE IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO RESTORE CORPUS ABOVE RS.20 CRORE WITHIN THREE MONTHS FROM THE DATE OF SUCH BREACH IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO REDEEM THE UNITS AND WIND UP THE SCHEME DESPITE FAILURE TO RESTORE CORPUS WITHIN STIPULATED PERIOD IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED EXCEEDING MAXIMUM PERMISSIBLE INVESTMENT LIMIT IN A SINGLE INVESTEE COMPANY IN MATTER OF ACCURACAP VECTRA FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 48 |
|
|
RAMASWAMY SHIVARAMAN
(PAN:BZOPS3579J)
|
|
|
|
WHITESPACE ALPHA TRUST
PAN:AAATW5453D
|
|
|
WHITESPACE FUND LLP
PAN:AADFW1831G
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-FEB-2024
|
|
| 49 |
|
|
RENUKA RAMNATH
(PAN:AADPR8108D)
(Along with : SUDHIR VARIYAR)
|
|
|
|
MULTIPLES ALTERNATE ASSET MANAGEMENT PVT.LTD.
PAN:AAGCM0997F
|
|
|
MULTIPLES EQUITY FUND TRUSTEE PVT.LTD.
PAN:AAGCM5302G
|
|
|
MULTIPLES PRIVATE EQUITY FUND
PAN:AACTM5770B
|
|
ALLEGED FAILURE TO WIND UP MULTIPLES PRIVATE EQUITY FUND – SCHEME I UPON EXPIRY OF ITS TENURE VIOLATING REGULATIONS 13(5), 29(1), 29(5), 29(7) READ WITH 20(1) AND 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 AND CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT UNDER (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.92,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-MAR-2026
|
|
| 50 |
|
|
RITESH VOHRA
(PAN:ABBPV4200D)
|
|
|
|
INVESTCORP INDIA ASSET MANAGERS PVT.LTD.
PAN:AAFCI0227D
|
|
|
INVESTCORP REAL ESTATE YIELD FUND
PAN:AABTI0798Q
|
|
ALLEGED DELAY IN LIQUIDATION AND DISTRIBUTION OF ASSETS OF THE FUND VIOLATING REGULATIONS 13(5) AND 29(7) READ WITH 20(1) AND 20(5) AND CLAUSES 2(A), 2(C) AND 3(B) OF CODE OF CONDUCT SPECIFIED IN FOURTH SCHEDULE OF (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF INVESTCORP REAL ESTATE YIELD FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-MAR-2025
|
|
| 51 |
|
|
SAKSHAM KOHLI
(PAN:BQOPK0276P)
|
|
|
|
360 ONE ALTERNATES ASSET MANAGEMENT LTD.
PAN:AACCZ2983Q
|
|
|
360 ONE PRIVATE EQUITY FUND
PAN:AAATI9829H
|
|
ALLEGED ACCEPTANCE OF INVESTMENTS IN 360 ONE SEED VENTURES FUND 1 FROM OTHER ALTERNATIVE INVESTMENT FUNDS (AIFS) WHILE AT THE SAME TIME HAVING INVESTED IN UNITS OF OTHER AIFS VIOLATING REGULATIONS 15(1)(DA), 20(1) AND 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN MATTER OF 360 ONE PRIVATE EQUITY FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-AUG-2025
|
|
| 52 |
|
|
SANDEEP NADIGADDA REDDY
(PAN:ABEPN8555E)
|
|
|
ALLEGED INVESTMENT IN MUTUAL FUNDS CATEGORIZED AS LARGE CAPITAL FUNDS
ALLEGED FAILURE IN MAKING DISCLOSURE TO INVESTORS THE LEVEL OF LEVERAGE ARISING FROM POSITION HELD IN FUTURES
ALLEGED DELAY IN OBTAINING SCORES LOGIN AND PASSWORD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.49,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-AUG-2023
|
SEBI VIDE ITS ORDER DATED 18/12/2023 DISPOSED OF THE APPEAL AS THE SETTLEMENT AMOUNT OF RS.49.40 LAC HAS BEEN PAID AS PER THE SETTLEMENT ORDER DATED 01/08/2023 READ WITH ADDENDUM DATED 05/12/2023
|
| 53 |
|
|
SANDIP BASU
(PAN:ADCPB6003H)
|
|
|
ALLEGED VIOLATION OF REGULATION 20(1) READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT AS SPECIFIED IN FOURTH SCHEDULE OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-MAY-2024
|
|
| 54 |
|
|
SARATH CHANDRA REDDY KAKANI
(PAN:AAIPC6424A)
|
|
|
ALLEGED INVESTMENT IN MUTUAL FUNDS CATEGORIZED AS LARGE CAPITAL FUNDS
ALLEGED FAILURE IN MAKING DISCLOSURE TO INVESTORS THE LEVEL OF LEVERAGE ARISING FROM POSITION HELD IN FUTURES
ALLEGED DELAY IN OBTAINING SCORES LOGIN AND PASSWORD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.49,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-AUG-2023
|
SEBI VIDE ITS ORDER DATED 18/12/2023 DISPOSED OF THE APPEAL AS THE SETTLEMENT AMOUNT OF RS.49.40 LAC HAS BEEN PAID AS PER THE SETTLEMENT ORDER DATED 01/08/2023 READ WITH ADDENDUM DATED 05/12/2023
|
| 55 |
|
|
SAUMYA SHARMA
(PAN:GNYPS0423Q)
|
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,88,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-MAR-2025
|
|
| 56 |
|
|
SHOBHIT MATHUR
(PAN:ANRPM0696C)
|
|
|
|
KOTAK ALTERNATE ASSET MANAGERS LTD.
PAN:AAACK5933H
|
|
|
KOTAK ALTERNATE ASSETS FUND III
PAN:AADTK5968J
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,87,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JAN-2024
|
|
| 57 |
|
|
SRIDHAR RENGAN
(PAN:ACZPR2381L)
|
|
|
|
PENBROOK CAPITAL ADVISORS PVT.LTD.
PAN:AAGCP3459B
|
|
ALLEGED FAILURE IN CONTINUING INTEREST OF RS.5.0 CRORE IN FORM OF INVESTMENT AND EXTENSION OF TENURE OF FUND MORE THAN PERMISSIBLE PERIOD (4 YEARS + 1 YEAR) IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 7(1)(A) READ WITH SEBI CIRCULAR NO.CIR/IMD/DF/14/2014 DATED 19/06/2014
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.63,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JAN-2022
|
|
| 58 |
|
|
SUDHIR VARIYAR
(PAN:AAEPV4799H)
(Along with : RENUKA RAMNATH)
|
|
|
|
MULTIPLES ALTERNATE ASSET MANAGEMENT PVT.LTD.
PAN:AAGCM0997F
|
|
|
MULTIPLES EQUITY FUND TRUSTEE PVT.LTD.
PAN:AAGCM5302G
|
|
|
MULTIPLES PRIVATE EQUITY FUND
PAN:AACTM5770B
|
|
ALLEGED FAILURE TO WIND UP MULTIPLES PRIVATE EQUITY FUND – SCHEME I UPON EXPIRY OF ITS TENURE VIOLATING REGULATIONS 13(5), 29(1), 29(5), 29(7) READ WITH 20(1) AND 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 AND CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT UNDER (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.92,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-MAR-2026
|
|
| 59 |
|
|
UDIPTH TALERA
(PAN:AAIPT4559R)
|
|
|
|
FINIDEAS GROWTH FUND
PAN:AAATF9250H
|
|
|
FINIDEAS INVESTMENT ADVISOR PVT.LTD.
PAN:AAECF9909Q
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-APR-2025
|
|
| 60 |
|
|
URVI ASHOK PIRAMAL
(PAN:AAJPP8861F)
|
|
|
|
PENBROOK CAPITAL ADVISORS PVT.LTD.
PAN:AAGCP3459B
|
|
ALLEGED FAILURE IN CONTINUING INTEREST OF RS.5.0 CRORE IN FORM OF INVESTMENT AND EXTENSION OF TENURE OF FUND MORE THAN PERMISSIBLE PERIOD (4 YEARS + 1 YEAR) IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 7(1)(A) READ WITH SEBI CIRCULAR NO.CIR/IMD/DF/14/2014 DATED 19/06/2014
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.63,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JAN-2022
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 4
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