| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
LANDMARK CAPITAL ADVISORS PVT.LTD.
(PAN:AACCL4482A)
|
|
|
|
ASHISH KUMAR JOSHI
PAN:AAFPJ2088L
|
|
DID NOT DISCHARGE DUTY AS FUND MANAGER VIOLATING REGULATIONS 15(1)(C), 20(1), 20(2) AND 20(5) READ WITH CLAUSES 2(A), 2(C) AND 2(D) OF CODE OF CONDUCT SPECIFIED IN FOURTH SCHEDULE OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
IMPOSED PENALTY RS.3,00,000
26-AUG-2025
|
|
| 82 |
|
|
LANDMARK OPPORTUNITY FUND
(PAN:AABTL1214A)
|
|
|
INVESTED MORE THAN 25% OF INVESTIBLE FUNDS IN A SINGLE INVESTEE COMPANY
|
IMPOSED PENALTY RS.5,00,000
26-AUG-2025
|
|
| 83 |
|
|
LEVERAGE INVESTMENT ADVISOR PVT.LTD.
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
IMPOSED PENALTY RS.1,00,000
30-SEP-2022
|
|
| 84 |
|
|
MOTILAL OSWAL ALTERNATIVE INVESTMENT TRUST
(PAN:AADTM3067A)
(Along with : MOTILAL OSWAL ASSET MANAGEMENT CO.LTD.)
|
|
|
ALLEGED WRONGLY LIQUIDATED PORTFOLIO OF AN INVESTOR CONSIDERING AS A DEFAULTING CLIENT VIOLATING CLAUSE 1(B) OF CODE OF CONDUCT READ WITH REGULATIONS 20(1) TO 20(3) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.38,76,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-APR-2026
|
|
| 85 |
|
|
MOTILAL OSWAL ASSET MANAGEMENT CO.LTD.
(PAN:AAFCM8463P)
(Along with : MOTILAL OSWAL ALTERNATIVE INVESTMENT TRUST)
|
|
|
ALLEGED FAILURE IN TAKING ACTION AGAINST DISTRIBUTORS FOR DEFAULTS BY INVESTORS REFERRED TO IN SCORES COMPLAINTS VIOLATING CLAUSES 2(A) AND 2(D) OF CODE OF CONDUCT READ WITH REGULATIONS 20(1) TO 20(3) AND 24(A) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.38,76,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
20-APR-2026
|
|
| 86 |
|
|
MULTIPLES ALTERNATE ASSET MANAGEMENT PVT.LTD.
(PAN:AAGCM0997F)
(Along with : MULTIPLES EQUITY FUND TRUSTEE PVT.LTD.,
MULTIPLES PRIVATE EQUITY FUND)
|
|
|
|
RENUKA RAMNATH
PAN:AADPR8108D
|
|
|
SUDHIR VARIYAR
PAN:AAEPV4799H
|
|
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
|
|
| 87 |
|
|
MULTIPLES EQUITY FUND TRUSTEE PVT.LTD.
(PAN:AAGCM5302G)
(Along with : MULTIPLES ALTERNATE ASSET MANAGEMENT PVT.LTD.,
MULTIPLES PRIVATE EQUITY FUND)
|
|
|
|
RENUKA RAMNATH
PAN:AADPR8108D
|
|
|
SUDHIR VARIYAR
PAN:AAEPV4799H
|
|
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) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSE 3(B) 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
|
|
| 88 |
|
|
MULTIPLES PRIVATE EQUITY FUND
(PAN:AACTM5770B)
(Along with : MULTIPLES ALTERNATE ASSET MANAGEMENT PVT.LTD.,
MULTIPLES EQUITY FUND TRUSTEE PVT.LTD.)
|
|
|
|
RENUKA RAMNATH
PAN:AADPR8108D
|
|
|
SUDHIR VARIYAR
PAN:AAEPV4799H
|
|
ALLEGED FAILURE TO WIND UP MULTIPLES PRIVATE EQUITY FUND – SCHEME I UPON EXPIRY OF ITS TENURE VIOLATING REGULATIONS 13(5), 29(7) READ WITH 29(1) AND 29(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.92,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-MAR-2026
|
|
| 89 |
|
|
OMNIVORE CAPITAL MANAGEMENT ADVISORS PVT.LTD.
(PAN:AABCO4285F)
|
|
|
ALLEGED DELAY IN WINDING UP ITS SCHEME VIOLATING REGULATION 23(1) READ WITH REGULATIONS 23(3) AND 24(2) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996 READ WITH REGULATION 39(2)(B) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-JUN-2025
|
|
| 90 |
|
|
OMNIVORE INDIA CAPITAL TRUST
(PAN:AAATO3113E)
|
|
|
ALLEGED DELAY IN WINDING UP ITS SCHEME VIOLATING REGULATION 23(1) READ WITH REGULATIONS 23(3) AND 24(2) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996 READ WITH REGULATION 39(2)(B) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-JUN-2025
|
|
| 91 |
|
|
ONEIL CAPITAL MANAGEMENT INDIA PVT.LTD.
(PAN:AADFW1831G)
|
|
|
|
ANUPAM SINGHI
CIN:ANKPD7583J
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JAN-2024
|
|
| 92 |
|
|
ONEIL CAPITAL TRUST
(PAN:AAATW5453D)
|
|
|
|
ANUPAM SINGHI
CIN:ANKPD7583J
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JAN-2024
|
|
| 93 |
|
|
PARANJAPE PLUTUS FUND-1
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
CANCELLED REGISTRATION AS ALTERNATE INVESTMENT FUND FROM 16-FEB-2024
16-FEB-2024
|
|
| 94 |
|
|
PENBROOK CAPITAL ADVISORS PVT.LTD.
(PAN:AAGCP3459B)
|
|
|
|
ANUJ RANJAN
PAN:AUTPR5763Q
|
|
|
CHETAN DESAI
PAN:AACPD5693G
|
|
|
NARENDRA ANEJA
PAN:AADPA5229J
|
|
|
PRASHANT SAGWEKAR
PAN:AVUPS1958E
|
|
|
RAJEEV ASHOK PIRAMAL
PAN:AAEPP7727R
|
|
|
SRIDHAR RENGAN
PAN:ACZPR2381L
|
|
|
URVI ASHOK PIRAMAL
PAN:AAJPP8861F
|
|
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
|
|
| 95 |
|
|
PENINSULA BROOKFIELD TRUSTEE PVT.LTD.
(PAN:AAGCP3469D)
|
|
|
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
|
|
| 96 |
|
|
PIRAMAL INVESTMENT ADVISORY SERVICES PVT.LTD.
(PAN:AAHCP2291G)
|
|
|
|
JAYESH RAMNIKLAL DESAI
PAN:AAMPD4038P
|
|
|
LEONARD PETER D’SOUZA
PAN:AADPD1290N
|
|
|
PARVEZ KEKI UMRIGAR
PAN:AAAPU5744M
|
|
|
RAJESH RATANLAL LADDHA
PAN:ABOPL3015F
|
|
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
|
|
| 97 |
|
|
PLUTUS FUND ADVISORS PVT.LTD.
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2022
|
|
| 98 |
|
|
QUANT FIRST ALTERNATE INVESTMENT TRUST
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
CANCELLED REGISTRATION AS ALTERNATE INVESTMENT FUND FROM 16-FEB-2024
16-FEB-2024
|
|
| 99 |
|
|
QUANT FIRST ASSET ADVISORS INDIA LTD.
(PAN:AAACQ2925P)
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 10/08/2023 DIRECTED TO PAY RS.2,23,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/09/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 12/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,27,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS ORDER DATED 28/01/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF KARNATAKA E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
|
| 100 |
|
|
SAVEDA VENTURE CAPITAL FUND
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
SUSPENDED REGISTRATION AS ALTERNATE INVESTMENT FUND FROM 16-FEB-2024 TO 15-AUG-2024
16-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 5 of 7
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