| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
GREEN INDIA INFRA PROJECTS LTD.
(CIN:U70101OR2010PLC011546
PAN:AADCG7271P)
|
|
|
|
SUNIL KUMAR PANDA
PAN:ANBPP2853L
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
DIRECTED TO REFUND MONEY COLLECTED THROUGH ALLOTMENT OF OPTIONALLY FULLY CONVERTIBLE DEBENTURES ALONGWITH INTEREST @15% PER ANNUM
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO SUBMIT TO SEBI COMPLETE DETAILS OF THEIR ASSETS (ALONGWITH PROOFS THEREOF) CERTIFIED BY A PEER REVIEWED CHARTERED ACCOUNTANT
PERMITTED TO SELL ASSETS OF COMPANY FOR SOLE PURPOSE OF MAKING REFUNDS AND DEPOSIT PROCEEDS IN AN ESCROW ACCOUNT OPENED WITH NATIONALISED BANK
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO SUBMIT REPAYMENT REPORT TO SEBI CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTANTS WHO ARE IN PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION
PROHIBITED FROM ISSUING PROSPECTUS OR ANY OFFER DOCUMENT, OR ISSUE ADVERTISEMENT FOR SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 27-AUG-2024 TO 26-AUG-2028
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-AUG-2024 TO 26-AUG-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-AUG-2024 TO 26-AUG-2028
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 27-AUG-2024 TO 26-AUG-2028
27-AUG-2024
|
|
| 82 |
|
|
GREEN RAY INTERNATIONAL LTD.
(CIN:U51399OR2004PLC007923)
|
|
|
|
AYUB SAHA
DIN:01292803
|
|
|
KHALIK SAHA
DIN:01292832
|
|
|
MIR SHAHIRUDDIN
DIN:01292858
|
|
|
MIR TAHIRUDDIN
DIN:01611887
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ITS ORDER DATED 03/02/2014
|
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2018
|
SEBI VIDE ITS NOTICE DATED 09/09/2022 DIRECTED TO PAY RS.1,53,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 23/02/2024 ALLOWED SEBI TO FILE REPLY ON APPLICATION WITHIN THREE WEEKS FROM DATE OF THIS ORDER
|
| 83 |
|
|
GROWW ASSET MANAGEMENT LTD.
(PAN:AABCI9149Q)
|
|
|
ALLEGED CERTAIN SCHEME-RELATED EXPENSES WERE BEING PAID BY AMC AND WERE NOT PAID FROM SCHEMES VIOLATING SEBI CIRCULAR IN PARTICULAR PARA 1 OF CIRCULAR DATED 22/10/2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JUN-2024
|
|
| 84 |
|
|
GROWW INVEST TECH PVT.LTD.
(PAN:AAFCN2181H)
|
|
|
ALLEGED FAILURE IN PUBLISHING DATA/SERVE KEY VALUES TO STOCK EXCHANGES ON LOG ANALYTICS AND MONITORING APPLICATION (LAMA) DATED 23/01/2024
ALLEGED DID NOT HAVE TELEPHONE LINES, TRADING TERMINALS, EMPLOYEES FOR ATTENDING TRADING CALLS OF CLIENTS, REQUIRED DURING TECHNICAL GLITCHES THUS RESULTING COMPLETE DENIAL OF SERVICE TO ALL CLIENTS DURING GLITCH PERIOD AND VULNERABILITY ASSESSMENT AND PENETRATION TESTING (VAPT) PROCESS WAS INEFFECTIVE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.34,12,500 VIDE CONSENT ORDER)
13-MAY-2025
|
|
| 85 |
|
|
GROWW TRUSTEE LTD.
(PAN:AABCI9148R)
|
|
|
ALLEGED CERTAIN SCHEME-RELATED EXPENSES WERE BEING PAID BY AMC AND WERE NOT PAID FROM SCHEMES VIOLATING SEBI CIRCULAR IN PARTICULAR PARA 1 OF CIRCULAR DATED 22/10/2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JUN-2024
|
|
| 86 |
|
|
GUINESS SECURITIES LTD.
(PAN:AAACG9843L)
|
|
|
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
INDULGED IN IRREGULARITIES IN ACCOUNT OPENING PROCESS AND POWER OF ATTORNEY EXECUTED BY CLIENTS IN FAVOUR OF NOTICEE VIOLATING CLAUSES 10 AND 13 OF CODE OF CONDUCT AS SPECIFIED UNDER THIRD SCHEDULE READ WITH REGULATION 20AA OF SEBI (DEPOSITORIES AND PARTICIPANTS) REGULATIONS, 1996
|
IMPOSED PENALTY RS.11,00,000
12-DEC-2018
|
SEBI VIDE ITS NOTICE DATED 23/03/2021 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 15/12/2022 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 23/03/2021
|
| 87 |
|
|
GUJARAT PETCOKE & PETROPRODUCTS SUPPLY PVT.LTD.
(PAN:AABCG9773E)
|
|
|
TOOK SEPARATE POSITION LIMITS OF OPEN INTEREST ON ITS BEHALF BY EXECUTING SEPARATE AGREEMENTS WITH EACH OF THEM AND CORNERED 93.63% OF NOVEMBER FUTURES OF RELIANCE PETROLEUM LTD. VIOLATING SECTION 12A OF SEBI ACT, 1992 READ WITH REGULATIONS 3, 4(1) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003
VIOLATED SEBI CIRCULAR NO. SMDRP/DC/CIR-10/01 DATED 02/11/2001 AND NSE CIRCULAR NO. NSE/CMPT/2982 DATED 07/11/2001 IN MATTER OF RELIANCE PETROLEUM LTD.
|
PROHIBITED FROM DEALING IN EQUITY DERIVATIVES IN F&O SEGMENT OF STOCK EXCHANGES, DIRECTLY OR INDIRECTLY FROM 24-MAR-2017 TO 23-MAR-2018
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
24-MAR-2017
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 DISMISSED THE APPEAL WITH NO ORDER AS TO COSTS
|
| 88 |
|
|
HAKEEM AUTO LTD.
|
|
|
ALLEGED VIOLATION OF DIRECTIVES/INSTRUCTIONS/GUIDELINES AND ORDER OF SEBI IN MATTER OF VERONICA LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 27-JAN-2009 TO 26-JAN-2012
27-JAN-2009
|
|
| 89 |
|
|
HBJ CAPITAL SERVICES PVT.LTD.
(CIN:U65999KA2010PTC052350
PAN:AACCH3450L)
|
|
|
|
ABHISHEK KUMAR SINGH
PAN:BGJPS4452C
|
|
|
AMRITA SINGH
PAN:BDPPS4879G
|
|
|
JITENDRA KUMAR
PAN:AVVPJ1321K
|
|
|
KUMAR HARENDRA
PAN:AJSPK3749B
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
17-FEB-2020
|
|
| 90 |
|
|
HDFC ASSET MANAGEMENT CO.LTD.
(PAN:AAACH7614L)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF PROVISIONS OF (I) REGULATIONS 10(A), 18(9), 18(22) AND 25(16) READ WITH CLAUSE 9 OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF HDFC MUTUAL FUND
ALLEGED VIOLATION OF REGULATION 52 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF HDFC MUTUAL FUND
ALLEGED VIOLATION OF REGULATIONS 25(19) & 47 AND EIGHTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF HDFC MUTUAL FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,78,56,498 VIDE CONSENT ORDER)
04-DEC-2018
|
|
| 91 |
|
|
HDFC ASSET MANAGEMENT CO.LTD.
(PAN:AAACH7614L)
|
|
|
|
ANIL BAMBOLI
PAN:AABPB0026A
|
|
|
MILIND BARVE
PAN:ABGPB6755Q
|
|
|
PRASHANT JAIN
PAN:AACPJ2583K
|
|
|
SHOBHIT MEHROTRA
PAN:AAAPM0737E
|
|
|
YEZDI KHARIWALA
PAN:AACPK8707E
|
|
ALLEGED VIOLATION OF REGULATIONS 10(A), 25(1), 25(2), 25(16), 25(19), 31, 33(1) READ WITH 2(B), 33(4), 39(1), 47 AND 53(B) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF CLAUSES 2, 6 AND 9 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE FIFTH OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 92 |
|
|
HDFC BANK LTD.
(PAN:AAACH2702H)
|
|
|
DID NOT CONDUCT ADEQUATE DUE DILIGENCE TO VERIFY THAT SECURITIES PLEDGED IN ITS FAVOUR ACTUALLY BELONGED TO CLIENTS OF BRH WEALTH KREATORS LTD. HAVING DEBIT BALANCE AT THE TIME OF CREATION OF PLEDGE VIOLATING CLAUSE 2.5 OF ANNEXURE TO SEBI CIRCULAR NO.SEBI/HO/MIRSD/MIRSD2/CIR/P/2016/95 DATED 26/09/2016 READ WITH CLAUSE 2(C) OF SEBI CIRCULAR NO. CIR/HO/MIRSD/MIRSD2/CIR/P/2017/64 DATED 22/06/2017
INVOKED PLEDGE OF SECURITIES WITHOUT GIVING REQUISITE NOTICE TO CLIENTS OF BRH WEALTH CREATORS LTD. VIOLATING CLAUSE 4.8 OF SEBI CIRCULAR NO.CIR/HO/MIRSD/DOP/CIR/P/2019/75 DATED 20/06/2019
|
DIRECTED TO TRANSFER RS.158.68 CRORE ALONGWITH INTEREST @7% P.A. FROM 14/10/2019 TO TILL DATE TO INTEREST BEARING ESCROW ACCOUNT IN ANY NATIONALIZED BANK
IMPOSED PENALTY RS.1,00,00,000
21-JAN-2021
|
SAT: SAT VIDE ITS ORDER DATED 07/04/2021 DIRECTED APPELLANT TO FILE REPLY WITHIN TWO WEEKS AND FILE THE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 20/05/2021 ALLOWED APPELLANT THREE WEEKS TIME TO FILE REJOINDER
|
| 93 |
|
|
HDFC CAPITAL ADVISORS LTD.
(PAN:AADCH6113R)
|
|
|
ALLEGED FAILURE IN IMPLEMENTING POLICIES AND PROCEDURES TO APPROPRIATELY MITIGATE CONFLICT OF INTEREST THROUGHOUT THE SCOPE OF ITS BUSINESS
ALLEGED FAILURE IN EXERCISING INDEPENDENT PROFESSIONAL JUDGMENT AND ACT IN THE INTEREST OF INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.36,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-MAY-2025
|
|
| 94 |
|
|
HDFC CAPITAL AFFORDABLE REAL ESTATE FUND - I
(PAN:AABTH4466Q)
|
|
|
ALLEGED FAILURE IN EXERCISING INDEPENDENT PROFESSIONAL JUDGMENT AND ACT IN THE INTEREST OF INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.36,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-MAY-2025
|
|
| 95 |
|
|
HDFC SECURITIES LTD.
(PAN:AAACH8215R)
|
|
|
ALLEGED CLAUSE/REQUIREMENT TO GENERATING ALERTS FOR CURRENT CAPACITY UTILIZATION OF CRITICAL ASSETS BEYOND 70% WAS NOT AVAILABLE IN BROKER IT POLICIES AND PROCEDURES W.R.T. TO CAPACITY MANAGEMENT PROCEDURE
ALLEGED FAILURE IN IMPLEMENTING LAMA SYSTEM FOR ITS LAMA SYSTEM DURING THE INSPECTION PERIOD
ALLEGED FAILURE IN CONDUCTING DISASTER RECOVERY DRILL FOR A FULL TRADING DAY EVERY QUARTER DURING INSPECTION PERIOD
ALLEGED FAILURE TO DEFINE THE FREQUENCY FOR PERIODIC CYBER AND INFORMATION SECURITY AWARENESS TRAINING AND DID NOT IDENTIFY CRITICAL AND NON-CRITICAL VENDORS
ALLEGED FAILURE IN IDENTIFYING CRITICAL AND NON-CRITICAL ASSETS AND DID NOT CATEGORIZE ALL CRITICAL APPLICATIONS AND THEIR SERVERS AS CRITICAL DURING INSPECTION PERIOD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.65,00,000 VIDE CONSENT ORDER)
11-MAR-2025
|
|
| 96 |
|
|
HDFC TRUSTEE CO.LTD.
(PAN:AAACH7615M)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 2(B), 10(A), 18(7), 18(9), 18(22), 33(4), 39(1), 47, 53(B), 60 AND SCHEDULE EIGHTH UNDER REGULATIONS 25(19) AND 47 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF CLAUSES 2, 6 AND 9 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE FIFTH OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 97 |
|
|
HDFC TRUSTEE CO.LTD.
(PAN:AAACH7615M)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF PROVISIONS OF (I) REGULATIONS 10(A), 18(9), 18(22) AND 25(16) READ WITH CLAUSE 9 OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF HDFC MUTUAL FUND
ALLEGED VIOLATION OF REGULATION 52 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF HDFC MUTUAL FUND
ALLEGED VIOLATION OF REGULATIONS 25(19) & 47 AND EIGHTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF HDFC MUTUAL FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,78,56,498 VIDE CONSENT ORDER)
04-DEC-2018
|
|
| 98 |
|
|
HUM PROJECTS LTD.
(CIN:U45400WB2010PLC156053
PAN:AACCH5858G)
|
|
|
|
CHANDRA SHEKHAR SABAT
DIN:03578994
PAN:CXKPS4104E
|
|
|
NASIRUL ISLAM SEIKH
DIN:03187097
|
|
|
SANDIP ROY
DIN:03045009
PAN:AHIPR2184B
|
|
|
SUBHAS KUNDU
DIN:03461357
PAN:BBOPK6136M
|
|
|
SUBHASISH PANDEY
DIN:03461814
PAN:AMNPP2918D
|
|
|
SURANJAN KAR
DIN:03579005
PAN:AFCPK5730L
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-NOV-2022
|
SEBI VIDE ITS NOTICE DATED 16/05/2023 DIRECTED TO PAY RS.26,76,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 12/07/2023 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
|
| 99 |
|
|
IDBI ASSET MANAGEMENT LTD.
(PAN:AACCI2317R)
|
|
|
ALLEGED VIOLATION OF CLAUSES (A), (C), (E), (G), (H) AND (I) OF INVESTMENT VALUATION DIRECTIVES/INSTRUCTIONS/GUIDELINES AS SPECIFIED IN EIGHTH SCHEDULE UNDER REGULATIONS 25(19) AND 47 SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF SUB REGULATION (1) AND (2) OF REGULATION 25(16) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF CLAUSES 2, 8 AND 9 OF FIFTH SCHEDULE UNDER REGULATIONS 25(16) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF REGULATIONS 75A (B) AND 76 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.90,47,228 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-JUN-2020
|
|
| 100 |
|
|
IDBI MF TRUSTEE CO.LTD.
(PAN:AACCI2337M)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF CLAUSES 8 AND 9 OF FIFTH SCHEDULE UNDER REGULATIONS 18(22) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF CLAUSES (A), (C), (E), (G), (H) AND (I) OF INVESTMENT VALUATION DIRECTIVES/INSTRUCTIONS/GUIDELINES AS SPECIFIED IN EIGHTH SCHEDULE UNDER REGULATION 47 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF REGULATIONS 18(9), 75A(B) AND 76 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.90,47,228 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-JUN-2020
|
|
| 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 13
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