| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
360 ONE ALTERNATES ASSET MANAGEMENT LTD.
(PAN:AACCZ2983Q)
(Along with : 360 ONE PRIVATE EQUITY FUND)
|
|
|
|
SAKSHAM KOHLI
PAN:BQOPK0276P
|
|
ALLEGED ACCEPTANCE OF INVESTMENTS IN 360 ONE SEED VENTURES FUND 1 FROM OTHER ALTERNATIVE INVESTMENT FUNDS (AIFS) WHILE AT THE SAME TIME HAVING INVESTED IN UNITS OF OTHER AIFS VIOLATING REGULATIONS 15(1)(DA), 20(1) AND 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN MATTER OF 360 ONE PRIVATE EQUITY FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-AUG-2025
|
|
| 2 |
|
|
360 ONE PRIVATE EQUITY FUND
(PAN:AAATI9829H)
(Along with : 360 ONE ALTERNATES ASSET MANAGEMENT LTD.)
|
|
|
|
SAKSHAM KOHLI
PAN:BQOPK0276P
|
|
ALLEGED ACCEPTANCE OF INVESTMENTS IN 360 ONE SEED VENTURES FUND 1 FROM OTHER ALTERNATIVE INVESTMENT FUNDS (AIFS) WHILE AT THE SAME TIME HAVING INVESTED IN UNITS OF OTHER AIFS VIOLATING REGULATIONS 15(1)(DA), 20(1) AND 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN MATTER OF 360 ONE PRIVATE EQUITY FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-AUG-2025
|
|
| 3 |
|
|
3ONE4 CAPITAL ADVISORS LLP
(PAN:AABFZ4961E)
(Along with : 3ONE4 CAPITAL TRUST)
|
|
|
|
PRANAV MOHAN PAI
PAN:AQKPP7664D
|
|
|
SIDDHARTH MOHAN PAI
PAN:AQKPP7629J
|
|
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
|
|
| 4 |
|
|
3ONE4 CAPITAL TRUST
(PAN:AAATZ1403C)
(Along with : 3ONE4 CAPITAL ADVISORS LLP)
|
|
|
|
PRANAV MOHAN PAI
PAN:AQKPP7664D
|
|
|
SIDDHARTH MOHAN PAI
PAN:AQKPP7629J
|
|
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
|
|
| 5 |
|
|
ABANS ALTERNATIVE FUND MANAGERS LLP
(Along with : ABANS INVESTMENT TRUST)
|
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 25% OF INVESTIBLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,70,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-JAN-2026
|
|
| 6 |
|
|
ABANS INVESTMENT TRUST
(Along with : ABANS ALTERNATIVE FUND MANAGERS LLP)
|
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 25% OF INVESTIBLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,70,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
14-JAN-2026
|
|
| 7 |
|
|
ACCURACAP PRIME OPPORTUNITIES FUND
(PAN:AAGTA5589A)
(Along with : ACCURACAP TECHNOLOGIES LLP)
|
|
|
|
DIVYA SINGHAL
PAN:CYXPS5759M
|
|
|
NARESH CHAND GUPTA
PAN:AFAPG6539D
|
|
|
PRATEEK GUPTA
PAN:BGZPG8303C
|
|
|
RAMAN NAGPAL
PAN:ABSPN1820E
|
|
ALLEGED FAILURE TO MAINTAIN MINIMUM CORPUS OF RS.20 CRORE IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO RESTORE CORPUS ABOVE RS.20 CRORE WITHIN THREE MONTHS FROM THE DATE OF SUCH BREACH IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO REDEEM THE UNITS AND WIND UP THE SCHEME DESPITE FAILURE TO RESTORE CORPUS WITHIN STIPULATED PERIOD IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED EXCEEDING MAXIMUM PERMISSIBLE INVESTMENT LIMIT IN A SINGLE INVESTEE COMPANY IN MATTER OF ACCURACAP VECTRA FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 8 |
|
|
ACCURACAP TECHNOLOGIES LLP
(PAN:AAAFQ3030E)
(Along with : ACCURACAP PRIME OPPORTUNITIES FUND)
|
|
|
|
DIVYA SINGHAL
PAN:CYXPS5759M
|
|
|
NARESH CHAND GUPTA
PAN:AFAPG6539D
|
|
|
PRATEEK GUPTA
PAN:BGZPG8303C
|
|
|
RAMAN NAGPAL
PAN:ABSPN1820E
|
|
ALLEGED FAILURE TO MAINTAIN MINIMUM CORPUS OF RS.20 CRORE IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO RESTORE CORPUS ABOVE RS.20 CRORE WITHIN THREE MONTHS FROM THE DATE OF SUCH BREACH IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED FAILURE TO REDEEM THE UNITS AND WIND UP THE SCHEME DESPITE FAILURE TO RESTORE CORPUS WITHIN STIPULATED PERIOD IN MATTER OF ACCURACAP VECTRA FUND
ALLEGED EXCEEDING MAXIMUM PERMISSIBLE INVESTMENT LIMIT IN A SINGLE INVESTEE COMPANY IN MATTER OF ACCURACAP VECTRA FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.21,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-MAR-2026
|
|
| 9 |
|
|
ADVANTEDGE INVESTMENT ADVISORS LLP
(PAN:ABPFA1705N)
(Along with : ADVANTEDGE TECHNOLOGY FUND)
|
|
|
|
KUNAL KHATTAR
PAN:AAPPK7564G
|
|
|
NITIN GARG
PAN:AHLPG2707N
|
|
|
RIDHISH TALWAR
PAN:ACEPT7935P
|
|
ALLEGED FAILURE TO CONTRIBUTE TO SCHEME ON A PRO-RATA BASIS IN LINE WITH CONTRIBUTIONS MADE BY OTHER INVESTORS VIOLATING REGULATIONS 10(D), 20(1), 20(2) AND 20(5) READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSE 11.1.2. OF MASTER CIRCULAR FOR AIF
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-JUN-2026
|
|
| 10 |
|
|
ADVANTEDGE TECHNOLOGY FUND
(PAN:AAHTA3601J)
(Along with : ADVANTEDGE INVESTMENT ADVISORS LLP)
|
|
|
|
KUNAL KHATTAR
PAN:AAPPK7564G
|
|
|
NITIN GARG
PAN:AHLPG2707N
|
|
|
RIDHISH TALWAR
PAN:ACEPT7935P
|
|
ALLEGED FAILURE TO CONTRIBUTE TO SCHEME ON A PRO-RATA BASIS IN LINE WITH CONTRIBUTIONS MADE BY OTHER INVESTORS VIOLATING REGULATIONS 10(D), 20(1), 20(2) AND 20(5) READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSE 11.1.2. OF MASTER CIRCULAR FOR AIF
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
18-JUN-2026
|
|
| 11 |
|
|
AGRICREST INVESTMENT ADVISORS PVT.LTD.
(PAN:AAHCG5202E)
|
|
|
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
|
|
| 12 |
|
|
AMICORP TRUSTEES (INDIA) PVT.LTD.
(PAN:AAKCA1834H)
|
|
|
DID NOT MAINTAIN CONTINUING INTEREST OF SPONSOR OF RS.2.5 CRORE IN IQ OPPORTUNITIES FUND
DID NOT OBTAIN PRIOR APPROVAL FROM 75% OF INVESTORS BEFORE MAKING INVESTMENTS IN ASSOCIATE FCL
|
IMPOSED PENALTY RS.2,50,000
28-DEC-2022
|
|
| 13 |
|
|
ANKURIT ADVISORS PVT.LTD.
(PAN:AANCA6209M)
|
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 25% OF INVESTIBLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-JUL-2024
|
|
| 14 |
|
|
ANTHILL CAPTIAL VENTURES
(PAN:AAGTA8058A)
|
|
|
|
KABIR KOCHHAR
PAN:AIWPK8591J
|
|
|
PRASAD VANGA
PAN:ABXPV6790N
|
|
|
SAILESH SIGATAPU
PAN:ARKPS1735P
|
|
DELAY IN OBTAINING SHARE CERTIFICATES
GRANTED LOANS TO PORTFOLIO COMPANIES
DELAY IN FILING PRIVATE PLACEMENT MEMORANDUM (PPM) AUDIT REPORT
|
IMPOSED PENALTY RS.2,00,000
28-JAN-2025
|
|
| 15 |
|
|
ANTHILL VENTURE CAPITAL ADVISORS LLP
(PAN:ABLFA4180D)
|
|
|
|
KABIR KOCHHAR
PAN:AIWPK8591J
|
|
|
PRASAD VANGA
PAN:ABXPV6790N
|
|
|
SAILESH SIGATAPU
PAN:ARKPS1735P
|
|
DELAY IN OBTAINING SHARE CERTIFICATES
GRANTED LOANS TO PORTFOLIO COMPANIES
DELAY IN FILING PRIVATE PLACEMENT MEMORANDUM (PPM) AUDIT REPORT
|
IMPOSED PENALTY RS.1,00,000
28-JAN-2025
|
|
| 16 |
|
|
AREION ASSETS MANAGEMENT PVT.LTD.
(PAN:AARCA2450N)
|
|
|
ALLEGED FAILURE TO COMPLY WITH THE PROVISIONS OF AIF REGULATIONS AS ASSIS BREACHED THE CONCENTRATION LIMIT VIOLATING REGULATIONS 15(1)(C) READ WITH 20(1) AND 20(5) READ WITH CLAUSE 2(A) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,08,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-APR-2024
|
|
| 17 |
|
|
AREION SPECIAL SITUATION FUND
(PAN:AAGTA9439B)
|
|
|
ALLEGED TOOK EXPOSURE TO A SINGLE ENTITY BY ROUTING THROUGH FIVE DIFFERENT TRUSTS AND TOTAL INVESTMENT ACROSS 5 TRUSTS (WITH EXPOSURE TO SAME ENTITY) WAS 25.58% OF INVESTABLE FUNDS WHICH WAS BEYOND CONCENTRATION LIMIT VIOLATING REGULATIONS 15(1)(C) READ WITH 20(1) AND 20(5) READ WITH CLAUSE 2(A) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,08,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-APR-2024
|
|
| 18 |
|
|
ARGENTUM DYNAMIC ALTERNATIVE INVESTMENT FUND
|
|
|
DID NOT FILE QUARTERLY ACTIVITY REPORTS (QARS) ON SEBI INTERMEDIARY PORTAL
|
CANCELLED REGISTRATION AS ALTERNATE INVESTMENT FUND
04-JUN-2026
|
|
| 19 |
|
|
BARING PRIVATE EQUITY INDIA INVESTMENT MANAGER LLP
|
|
|
ALLEGED VIOLATION OF REGULATIONS 15(1)(D) READ WITH REGULATION 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,57,500 VIDE CONSENT ORDER)
20-FEB-2023
|
|
| 20 |
|
|
BRANDS & BEYOND INDIA FUND I
|
|
|
DID NOT FILE QUARTERLY ACTIVITY REPORTS (QARS) ON SEBI INTERMEDIARY PORTAL
|
CANCELLED REGISTRATION AS ALTERNATE INVESTMENT FUND
08-JUN-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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