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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 28-MAY-2026

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

COMPANIES: VIOLATED SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person DYNAMIC INDIA FUND III  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

29-NOV-2019 		 
2
History of entity/person DYNAMIC INDIA FUND III  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019 		 
3
History of entity/person DYNAMIC INDIA FUND III  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019 		 
4
History of entity/person DYNAMIC INDIA FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019 		 
5
History of entity/person DYNAMIC INDIA FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

29-NOV-2019 		 
6
History of entity/person DYNAMIC INDIA FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019 		 
7
History of entity/person ICICI PRUDENTIAL ASSET MANAGEMENT CO.LTD.

(PAN:AAACI1000K)

(Along with : ICICI PRUDENTIAL VENTURE CAPITAL FUND,

ICICI PRUDENTIAL TRUST LTD.)  
  ALLEGED DELAY IN COMPLETING WINDING UP PROCESS AND DISTRIBUTING THE PROCEEDS TO INVESTORS/CONTRIBUTORS VIOLATING REGULATION 23(1)(A) READ WITH REGULATIONS 23(3) AND 24(2) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,35,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

16-APR-2026 		 
8
History of entity/person ICICI PRUDENTIAL TRUST LTD.

(PAN:AAACI1005N)

(Along with : ICICI PRUDENTIAL VENTURE CAPITAL FUND,

ICICI PRUDENTIAL ASSET MANAGEMENT CO.LTD.)  
  ALLEGED DELAY IN COMPLETING WINDING UP PROCESS AND DISTRIBUTING THE PROCEEDS TO INVESTORS/CONTRIBUTORS VIOLATING REGULATION 23(1)(A) READ WITH REGULATIONS 23(3) AND 24(2) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,35,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

16-APR-2026 		 
9
History of entity/person ICICI PRUDENTIAL VENTURE CAPITAL FUND

(PAN:AAATI9754M)

(Along with : ICICI PRUDENTIAL ASSET MANAGEMENT CO.LTD.,

ICICI PRUDENTIAL TRUST LTD.)  
  ALLEGED DELAY IN COMPLETING WINDING UP PROCESS AND DISTRIBUTING THE PROCEEDS TO INVESTORS/CONTRIBUTORS VIOLATING REGULATION 23(1)(A) READ WITH REGULATIONS 23(3) AND 24(2) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,35,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

16-APR-2026 		 
10
History of entity/person ICICI VENTURE FUNDS MANAGEMENT CO.LTD.  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

29-NOV-2019 		 
11
History of entity/person ICICI VENTURE FUNDS MANAGEMENT CO.LTD.  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019 		 
12
History of entity/person ICICI VENTURE FUNDS MANAGEMENT CO.LTD.  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019 		 
13
History of entity/person INDIA ADVANTAGE FUND III  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019 		 
14
History of entity/person INDIA ADVANTAGE FUND III  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

29-NOV-2019 		 
15
History of entity/person INDIA ADVANTAGE FUND III  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019 		 
16
History of entity/person INDIA ADVANTAGE FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019 		 
17
History of entity/person INDIA ADVANTAGE FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

29-NOV-2019 		 
18
History of entity/person INDIA ADVANTAGE FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019 		 
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