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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-MAY-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.

PERSONS: VIOLATED SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
61
History of entity/person UDIPTH TALERA

(PAN:AAIPT4559R)  
Click here to view complete history of this specific entity/person FINIDEAS GROWTH FUND

PAN:AAATF9250H
Click here to view complete history of this specific entity/person 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 		 
62
History of entity/person URVI ASHOK PIRAMAL

(PAN:AAJPP8861F)  
Click here to view complete history of this specific entity/person 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 		 
63
History of entity/person VIKAS SARDA

(PAN:AQLPS9458B)  
  ALLEGED VIOLATION OF REGULATIONS 15(1)(C) AND 20(1) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN MATTER OF INDIAN SCHOOL FINANCE CO.PVT.LTD.   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

13-SEP-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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