| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
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
|
|
| 62 |
|
|
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
|
|
| 63 |
|
|
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
|
|
| 64 |
|
|
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
|
|
| 65 |
|
|
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
|
|
| 66 |
|
|
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
|
|
| 67 |
|
|
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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| Page 4 of 4
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