| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
UNICORN INDIA VENTURES SERVICES LLP
(PAN:AAFFU1123P)
(Along with : UNICORN INDIA VENTURES DEBT FUND-I)
|
|
|
|
ANIL JOSHI
PAN:ADSPJ0113E
|
|
|
BHASKAR MAJUMDAR
PAN:AMPPM5466M
|
|
ALLEGED TEMPORARY INVESTMENT IN ADITYA BIRLA SUN LIFE SAVINGS FUND REGULAR GROWTH PLAN WHICH WAS NOT CLASSIFIED AS LIQUID MUTUAL FUND AND DID NOT REPORT SEBI
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-MAY-2026
|
|
| 62 |
|
|
UNIFI CAPITAL PVT.LTD.
(PAN:AAACU5196J)
|
|
|
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
|
| 63 |
|
|
UTTHISHTA MANAGEMENT ADVISORS LLP
(PAN:AADFU2183P)
|
|
|
|
P.RAMA KRISHNA
PAN:AFDPR6468M
|
|
ALLEGED FAILURE IN MAINTAINING 2.5% OF INVESTIBLE CORPUS AS CONTINUING INTEREST VIOLATING REGULATIONS 10(D) AND 20(1) READ WITH CLAUSE 1(E) OF CODE OF CONDUCT AS MENTIONED IN FOURTH SCHEDULE OF (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 AND CLAUSE 13.3.2 (II) OF MASTER CIRCULAR DATED 07/05/2024
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-DEC-2024
|
|
| 64 |
|
|
UTTHISHTA VIRAT FUND
(PAN:AAATU8228J)
|
|
|
|
P.RAMA KRISHNA
PAN:AFDPR6468M
|
|
ALLEGED FAILURE IN MAINTAINING 2.5% OF INVESTIBLE CORPUS AS CONTINUING INTEREST VIOLATING REGULATIONS 10(D) AND 20(1) READ WITH CLAUSE 1(E) OF CODE OF CONDUCT AS MENTIONED IN FOURTH SCHEDULE OF (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 AND CLAUSE 13.3.2 (II) OF MASTER CIRCULAR DATED 07/05/2024
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-DEC-2024
|
|
| 65 |
|
|
VENTURE GURUKOOL INVESTMENT TRUST
(PAN:AADTV0339A)
(Along with : FEDSEC TRUSTEESHIP SERVICES PVT.LTD.)
|
|
|
|
ANKHI DAS
PAN:ADQPD6606A
|
|
|
MAHENDRA SWARUP
PAN:AAMPS6405M
|
|
|
NTASHA BERRY
PAN:AWMPB3253G
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 25% OF INVESTIBLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-JUL-2024
|
|
| 66 |
|
|
VISTRA ITCL (INDIA) LTD.
(PAN:AAACI6832K)
|
|
|
ALLEGED FAILURE TO WIND UP FUND/SCHEME AND DISTRIBUTE PROCEEDS TO INVESTORS PURSUANT TO THE COMPLETION OF ITS TENURE AS DISCLOSED IN PRIVATE PLACEMENT MEMORANDUM
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,13,750 VIDE CONSENT ORDER)
14-MAR-2024
|
|
| 67 |
|
|
VISTRA ITCL (INDIA) LTD.
(PAN:AAACI6832K)
|
|
|
ALLEGED VIOLATION OF CLAUSES 15.2.3 AND 15.2.4 OF MASTER CIRCULAR DATED 07/05/2024 READ WITH CIRCULAR CIR/IMD/DF/14/2014 DATED 19/06/2014 READ WITH REGULATIONS 20(1) AND 20(2) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSE 3(B) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012IN 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
|
|
| 68 |
|
|
WHITESPACE ALPHA TRUST
(PAN:AAATW5453D)
|
|
|
|
PRAVEEN DWARAKANATH
PAN:ANKPD7583J
|
|
|
RAMASWAMY SHIVARAMAN
PAN:BZOPS3579J
|
|
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
|
|
| 69 |
|
|
WHITESPACE FUND LLP
(PAN:AADFW1831G)
|
|
|
|
PRAVEEN DWARAKANATH
PAN:ANKPD7583J
|
|
|
RAMASWAMY SHIVARAMAN
PAN:BZOPS3579J
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 4 of 4
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