| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
SIDDHARTH MOHAN PAI
(PAN:AQKPP7629J)
(Along with : PRANAV MOHAN PAI)
|
|
|
|
3ONE4 CAPITAL ADVISORS LLP
PAN:AABFZ4961E
|
|
|
3ONE4 CAPITAL TRUST
PAN:AAATZ1910G
|
|
ALLEGED FAILURE IN MAINTAINING MINIMUM REQUISITE CONTINUING INTEREST OF THE CORPUS VIOLATING REGULATION 10(D) OF SEBI (AIF) REGULATIONS, 2012 READ WITH CLAUSE 11.1.2 OF MASTER CIRCULAR IN MATTER OF 3ONE4 CAPITAL CONTINUUM IE
ALLEGED FAILURE IN MAINTAINING CONTINUING INTEREST ON A PRO-RATA BASIS WITH THE AMOUNT OF FUNDS DRAWN FROM OTHER INVESTORS VIOLATING REGULATIONS 20(1), 20(2) AND 20(5) OF SEBI (AIF) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT AS MENTIONED IN FOURTH SCHEDULE OF SEBI (AIF) REGULATIONS, 2012 IN MATTER OF 3ONE4 CAPITAL CONTINUUM IE
ALLEGED EXCEEDING PRESCRIBED 50% OF THE INVESTABLE FUNDS IN DARWINBOX DIGITAL SOLUTIONS PVT.LTD. VIOLATING REGULATION 15(1)(C) OF SEBI (AIF) REGULATIONS, 2012 IN MATTER OF 3ONE4 CAPITAL CONTINUUM IE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.38,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
12-AUG-2026
|
|
| 82 |
|
|
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
|
|
| 83 |
|
|
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
|
|
| 84 |
|
|
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
|
|
| 85 |
|
|
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
|
|
| 86 |
|
|
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
|
|
| 87 |
|
|
VIVEK DOSHI
(PAN:BLMPD2383R)
(Along with : ASHISH MOTI CHHUGANI,
AASHWIN DUGAL,
RAHUL KISHOR VEERA,
PRASHANT KUTTY,
AASHRAY VASA,
JAI VIJAY DAXINI,
ALOK SURENDRANATH SINGH,
SHRUTI PAREKH)
|
|
|
|
NIPPON INDIA EVENT OPPORTUNITIES TRUST
PAN:AACTR9135K
|
|
|
NIPPON LIFE INDIA AIF MANAGEMENT LTD.
PAN:AABCR7663L
|
|
ALLEGED FAILURE IN MAINTAINING CONTINUING INTEREST PRO-RATA TO NET FUNDS RAISED FROM OTHER INVESTORS IN MATTER OF NIPPON INDIA EQUITY OPPORTUNITIES AIF
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,66,250 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-JUL-2026
|
|
| 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 5
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