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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: VIOLATED DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ACML CAPITAL MARKETS LTD.

(CIN:U67120GJ2000PLC037431
PAN:AADCA4629D)  
  DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS   IMPOSED PENALTY RS.5,00,000

31-OCT-2019 		SAT: SAT VIDE ITS ORDER DATED 29/06/2022 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY AMOUNT TO RS.5 LAC FROM RS.20 LAC AND TO PAY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER  
2
History of entity/person MONEY MARKET MANTHAN FINANCIAL SERVICES

(PAN:AWDPK4671L)  
Click here to view complete history of this specific entity/person VICKY KAMARIYA

PAN:AWDPK4671L
  		DID NOT PROVIDE INFORMATION TO SEBI

OFFERED PRODUCTS/SERVICES WITHOUT ASSESSING APPROPRIATE RISK BEARING CAPACITY OF THE CLIENTS

SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE

SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE

SOLD MULTIPLE SUBSCRIPTIONS OF DERIVATIVES PRODUCTS/SERVICES TO CLIENTS WITH NO EXPERIENCE OF SUCH FINANCIAL PRODUCTS

CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE

PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

PROVIDED INVESTMENT ADVICE WITHOUT CONSENT OF THE CLIENTS

USED FAKE NAMES IN DEALING WITH CLIENTS

CHARGED EXTRA MONEY FROM CLIENTS/INVESTORS

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME

DID NOT APPOINT PRINCIPAL OFFICER   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-JUN-2023 TO 27-JUN-2026

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-JUN-2023 TO 27-JUN-2026

DIRECTED TO RESOLVE ALL PENDING COMPLAINTS

DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

IMPOSED PENALTY RS.8,00,000 ALONG WITH OTHER ENTITIES/PERSONS

28-JUN-2023 		SEBI VIDE ITS NOTICE DATED 19/03/2025 DIRECTED TO PAY RS.9,77,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE

SEBI VIDE ITS ORDER DATED 21/04/2025 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  
3
History of entity/person MONEY MARKET MANTHAN FINANCIAL SERVICES

(PAN:AWDPK4671L)  
Click here to view complete history of this specific entity/person VICKY KAMARIYA

PAN:AWDPK4671L
  		DID NOT PROVIDE INFORMATION TO SEBI

DIVULGED SENSITIVE/CONFIDENTIAL CLIENT INFORMATION TO THIRD PARTY

PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS HAVING DIFFERENT NAMES BUT SAME FEATURE

DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE

DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES

SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE

DID NOT MAKE DISCLOSURE TO CLIENTS OF ALL MATERIAL FACTS/INFORMATION ABOUT BUSINESS, DISCIPLINARY HISTORY, AFFILIATION WITH OTHER INTERMEDIARIES

DID NOT REDRESS INVESTOR COMPLAINTS

DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES IN STIPULATED TIME

DID NOT APPOINT PRINCIPAL OFFICER   		CANCELLED REGISTRATION AS INVESTMENT ADVISOR

14-JUL-2023 		 
4
History of entity/person SKSE SECURITIES LTD.

(PAN:AAFCS1539J)  
  DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES ON ANTI MONEY LAUNDERING STANDARDS

DID NOT CATEGORIZE CLIENTS INTO HIGH, MEDIUM AND LOW CATEGORY   		IMPOSED PENALTY RS.2,00,000

29-SEP-2014 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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