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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 SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS 1995

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CARDINAL CAPITAL PARTNERS LTD.  
  VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(A), 4(2)(C) AND 4(2)(E) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.

VIOLATED REGULATION 13A(1) OF FII REGULATIONS READ WITH CLAUSES 1,2,8 AND 10 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 7A OF FII REGULATIONS IN MATTER OF GDR ISSUES IN ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.   		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

05-SEP-2017 		 
2
History of entity/person CREDO CAPITAL PLC.  
  VIOLATED SECTIONS 12(A) TO (C) OF SEBI ACT. READ WITH REGULATIONS 3(A) TO 3(D) & 4(1), 4(2)(A), 4(2)(C) AND 4(2)(E) OF PFUTP REGULATIONS, 2003 IN MATTER OF GDR ISSUE OF ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.

VIOLATED REGULATION 13A(1) OF FII REGULATIONS READ WITH CLAUSES 1,2,8 AND 10 OF CODE OF CONDUCT SPECIFIED UNDER REGULATION 7A OF FII REGULATIONS IN MATTER OF GDR ISSUES IN ASAHI INFRASTRUCTURE & PROJECTS LTD., AVON CORP.LTD., CAT TECHNOLOGIES LTD., IKF TECHNOLOGIES LTD., K SERA SERA LTD. AND MAARS SOFTWARE INTERNATIONAL LTD.   		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

05-SEP-2017 		 
3
History of entity/person FIDELITY FUNDS – INSTITUTIONAL ASIA PACIFIC (EX-JAPAN) FUND

(PAN:AABCF0852D)  
  ALLEGED FAILURE IN FULFILMENT OF BROAD BASED FUND CRITERIA VIOLATING REGULATIONS 10(C) AND 31(1) (A) (I) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995

ALLEGED DELAY IN MAKING DISCLOSURES OF MATERIAL CHANGES TO SEBI

ALLEGED VIOLATION OF REGULATIONS 5(B) AND 23(1)(C) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,20,00,000 VIDE CONSENT ORDER)

05-JAN-2017 		 
4
History of entity/person FIDELITY FUNDS - INSTITUTIONAL HONG KONG OPPORTUNITIES POOL

(PAN:AABCF1923B)  
  ALLEGED FAILURE IN FULFILMENT OF BROAD BASED FUND CRITERIA VIOLATING REGULATIONS 10(C) AND 31(1) (A) (I) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995

ALLEGED DELAY IN MAKING DISCLOSURES OF MATERIAL CHANGES TO SEBI

ALLEGED VIOLATION OF REGULATIONS 5(B) AND 23(1)(C) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,75,000 VIDE CONSENT ORDER)

05-JAN-2017 		 
5
History of entity/person FIRST GLOBAL (UK) LTD.  
Click here to view complete history of this specific entity/person NEERAJ KHANNA
  		APPLICATION FOR REGISTRATION AS FOREIGN INSTITUTIONAL INVESTOR (FII) REJECTED AS ENTITY LINKED WITH AN INDICTED ENTITY   REJECTED APPLICATION FOR REGISTRATION AS FOREIGN INSTITUTIONAL INVESTOR (FII)

04-MAR-2010 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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