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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
UPDATED TILL : 03-JUL-2025

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: NOT A FIT AND PROPER PERSON

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person 63 MOONS TECHNOLOGIES LTD.

(PAN:AAACF5737C)  
  NOT A FIT & PROPER PERSON TO PROVIDE STP SERVICES AS PER INTERMEDIARIES REGULATIONS READ WITH CLAUSE 3(2)(III) OF STP DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2004   REJECTED APPLICATION FOR REGISTRATION AS STP SERVICE PROVIDER

03-DEC-2020 		SAT: SAT VIDE ITS ORDER DATED 21/12/2020 ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER

SAT: SAT VIDE ITS ORDER DATED 22/02/2021 REJECTED THE APPLICATION FOR REVIEWING UNDER SEBI (STP CENTRALIZED HUB & STP SERVICES PROVIDERS) GUIDELINES, 2004. DIRECTED TO EFFECT AND OPERATION OF IMPUGNED ORDER DATED 03/12/2020 REMAIN IN ABEYANCE TILL THE DELIVERY OF THE JUDGEMENT  
2
History of entity/person ANAND RATHI COMMODITIES LTD.

(PAN:AAACP6209K)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

CEASED TO ACT DIRECTLY OR INDIRECTLY AS COMMODITY DERIVATIVES BROKER

25-FEB-2019 		SAT: APPEAL DISMISSED AS WITHDRAWN

SAT: APPEAL DISMISSED. NO COSTS  
3
History of entity/person GEOFIN COMTRADE LTD.

(PAN:AADCG3019R)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

CEASED TO ACT DIRECTLY OR INDIRECTLY AS COMMODITY DERIVATIVES BROKER

25-FEB-2019 		SAT: APPEAL DISMISSED AS WITHDRAWN

SAT: APPEAL DISMISSED. NO COSTS  
4
History of entity/person GLOBAL LIFE INVESTMENT & ADVISORY SERVICES LTD.  
  NOT A FIT & PROPER PERSON TO GRANT REGISTRATION AS ALTERNATE INVESTMENT FUND   DIRECTED TO LIQUIDATE INVESTMENTS AND RETURN THE PROCEEDS TO ITS INVESTORS

DIRECTED TO FILE COMPLIANCE REPORT TO SEBI WITHIN FIFTEEN DAYS FROM EXPIRY OF THREE MONTHS

30-AUG-2019 		 
5
History of entity/person INDIA INFOLINE COMMODITIES LTD.

(PAN:AABCI2930D)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

CEASED TO ACT DIRECTLY OR INDIRECTLY AS COMMODITY DERIVATIVES BROKER

22-FEB-2019 		SAT: APPEAL DISMISSED AS WITHDRAWN

SAT: APPEAL DISMISSED. NO COSTS  
6
History of entity/person JERMYN CAPITAL LLC  
  CEASED TO BE FIT AND PROPER PERSON TO CONTINUE IN SECURITIES MARKET   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2006 TO 30-NOV-2010

13-JAN-2006 		SAT: APPEAL DISMISSED

RESTRICTION IMPOSED VIDE INTERIM ORDER DATED 13/01/2006 RESTRAINING FORM ACCESSING INDIAN SECURITIES MARKET AND FROM BUYING, SELLING AND DEALING IN SECURITIES IN INDIAN MARKET SHALL CONTINUE TILL 30/11/2010, SUBJECT TO THE ORDERS DATED 15/12/2008 AND 14/05/2009  
7
History of entity/person LIFE FUND  
  NOT A FIT & PROPER PERSON TO GRANT REGISTRATION AS ALTERNATE INVESTMENT FUND   PROHIBITED FROM TAKING UP ANY NEW CLIENTS AND ANY NEW CONTRACTS INCLUDING CONTRACTS FROM EXISTING CLIENTS

CANCELLED REGISTRATION AS ALTERNATE INVESTMENT FUND

30-AUG-2019 		SAT: APPEAL DISMISSED  
8
History of entity/person MOTILAL OSWAL COMMODITIES BROKER PVT.LTD.

(PAN:AAACP3147N)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

CEASED TO ACT DIRECTLY OR INDIRECTLY AS COMMODITY DERIVATIVES BROKER

22-FEB-2019 		SAT: APPEAL DISMISSED AS WITHDRAWN

SAT: APPEAL DISMISSED. NO COSTS  
9
History of entity/person MULTIBAGGER SECURITIES RESEARCH & ADVISORY PVT.LTD.

(PAN:AAKCM8779K)  
Click here to view complete history of this specific entity/person MANISH GOEL (AKA.MANISH KUMAR GOYAL)

PAN:AHWPG4252B
Click here to view complete history of this specific entity/person MANISH KUMARR GOYAL (AKA.MANISH GOEL)

PAN:AHWPG4252B
Click here to view complete history of this specific entity/person SHAILESH GOYAL

PAN:ALHPG8755E
  		NOT A FIT & PROPER PERSON TO GRANT REGISTRATION AS PORTFOLIO MANAGER   REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

DIRECTED NOT TO APPLY FOR FRESH REGISTRATION AS PORTFOLIO MANAGER

18-NOV-2022 		SAT: SAT VIDE ITS ORDER DATED 24/01/2025 DISMISSED THE APPEAL. NO COSTS  
10
History of entity/person NIRMAL BANG COMMODITIES PVT.LTD.

(PAN:AAACE1479L)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   CANCELLED REGISTRATION AS STOCK BROKER FROM 27-DEC-2023

27-DEC-2023 		SAT: SAT VIDE ITS ORDER DATED 05/01/2024 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS

SAT: SAT VIDE ITS ORDER DATED 20/06/2024 STAYED THE IMPUGNED ORDER 27/12/2023  
11
History of entity/person PARSOLI CORPORATE SERVICES LTD.  
  CEASED TO BE FIT AND PROPER PERSON TO CONTINUE IN SECURITIES MARKET   REJECTED APPLICATION FOR REGISTRATION AS MERCHANT BANKER

02-NOV-2010 		 
12
History of entity/person PHILLIP COMMODITIES INDIA PVT.LTD.

(PAN:AACCR6675H)  
  NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER   REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER

CEASED TO ACT DIRECTLY OR INDIRECTLY AS COMMODITY DERIVATIVES BROKER

27-FEB-2019 		SAT: APPEAL DISMISSED AS WITHDRAWN

SAT: APPEAL DISMISSED. NO COSTS  
13
History of entity/person SAHARA ASSET MANAGEMENT CO.PVT.LTD.

(PAN:AAACF1696A)  
Click here to view complete history of this specific entity/person A.K.THAKUR
Click here to view complete history of this specific entity/person D.P.SHASTRI
Click here to view complete history of this specific entity/person P.V.RAO
Click here to view complete history of this specific entity/person S.R.HEGDE
  		NOT A FIT & PROPER PERSON TO CARRY OUT BUSINESS OF MUTUAL FUND   DIRECTED NOT TO TAKE NEW SUBSCRIPTION FROM INVESTORS (INCLUDING EXISTING INVESTOR IN SYSTEMATIC INVESTMENT PLANS (SIP) / SYSTEMATIC TRANSFER PLANS (STP) AND NOT TO CHARGE ANY PENALTIES / LOADS FOR NOT DEPOSITING INSTALLMENTS

28-JUL-2015 		SAT: APPEAL DISMISSED. NO COSTS

SEBI VIDE ITS ORDER DATED 27/03/2018 A) DIRECTED TRUSTEES OF SAHARA MF AND THE REGISTRAR AND TRANSFER AGENT KARVY COMPUTERSHARE PVT.LTD. TO ENSURE THAT CONTACT DETAILS AND THE BANK DETAILS OF ALL THE INVESTORS OF ‘SAHARA TAX GAIN FUND’ ARE UPDATED SO THAT REDEMPTION PROCEEDS CAN BE SENT TO THE INVESTORS WITHOUT ANY DELAY B) FILE A MONTHLY REPORT TO SEBI UPDATING STATUS OF REDEMPTION PROCESS FROM APRIL, 2018 TILL WINDING UP OF ALL THE SCHEMES  
14
History of entity/person SATYSHIV SHARES & SECURITIES LTD.  
  PROVIDED FALSE AND MISLEADING INFORMATION ABOUT EXPERIENCE OF DESIGNATED DIRECTORS   REJECTED APPLICATION FOR REGISTRATION AS STOCK BROKER

19-APR-2011 		 
15
History of entity/person SHARES BAZAAR AIF  
  SUBMITTED FALSE INFORMATION ALONG WITH APPLICATION FOR REGISTRATION AS ALTERNATIVE INVESTMENT FUND

NOT A FIT & PROPER PERSON TO GRANT REGISTRATION AS ALTERNATE INVESTMENT FUND   		RESTRAINED FROM TAKING NEW COMMITMENTS/INVESTMENTS FROM ANY INVESTORS

RESTRAINED FROM DRAWING DOWN FUNDS FROM INVESTORS FOR COMMITMENTS ALREADY RECEIVED

01-FEB-2024 		SEBI VIDE ITS ORDER DATED 30/10/2024 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 01/02/2024

SAT: SAT VIDE ITS ORDER DATED 30/01/2025 CONDONED THE DELAY OF 11 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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