| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANUGRAH STOCK & BROKING PVT.LTD.
(PAN:AAACW2920N)
|
|
|
|
PARESH MULJI KARIYA
PAN:AAEPK0469M
|
|
|
SADHANA PARESH KARIYA
PAN:AJHPK6018N
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
PROMISED ASSURED RETURNS TO CLIENTS
INDULGED IN MANIPULATIVE, FRAUDULENT OR DECEPTIVE SCHEMES WHILE DEALING IN SECURITIES MARKET
|
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 28-FEB-2023 TO 27-FEB-2028
IMPOSED PENALTY RS.2,80,00,000
28-FEB-2023
|
|
| 2 |
|
|
ASIAN CORPORATE CONSULTANCY
|
|
|
|
DILIP ANANTRAI DESAI
PAN:AABPD3489M
|
|
ALLEGED VIOLATION OF REGULATION 3 OF SEBI (PORTFOLIO MANAGER) REGULATIONS, 1993 READ WITH SECTION 12(1) OF SEBI ACT, 1992 IN MATTER OF ASIAN CORPORATE CONSULTANCY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-NOV-2018
|
|
| 3 |
|
|
CREDENT PORTFOLIO MANAGEMENT PVT.LTD.
|
|
|
|
AMARANJAY KUMAR
|
|
|
MRITUNJAY KUMAR
|
|
SOLICITED GENERAL PUBLIC TO INVEST AND OFFERED PORTFOLIO MANAGEMANT SERVICES WITHOUT OBTAINING REGISTRATION FROM SEBI AS REQUIRED UNDER SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3 OF SEBI (PORTFOLIO MANAGERS) REGULATION, 1993 AND SECTION 12A(C) OF SEBI ACT, 1992
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-OCT-2010 TILL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-OCT-2010 TILL FURTHER ORDERS
DIRECTED NOT TO MOBILIZE FUNDS FROM PUBLIC OR OFFER ANY PORTFOLIO MANAGEMENT SERVICES FROM 11-OCT-2010 TILL FURTHER ORDERS
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
11-OCT-2010
|
DIRECTION ISSUED VIDE AD-INTERIM EX-PARTE ORDER DATED 11/10/2010 CONFIRMED VIDE ORDER DATED 01/06/2011
SEBI VIDE ITS ORDER DATED 30/03/2012 DIRECTED 1.NOT TO SOLICIT OR UNDERTAKE ANY PORTFOLIO MANAGEMENT ACTIVITIES, DIRECTLY OR INDIRECTLY, IN ANY MANNER WITHOUT OBTAINING REGISTRATION FROM SEBI 2.TO IMMEDIATELY WITHDRAW AND REMOVE ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITES ETC IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES, IF ANY AND 3.REMOVE WORDS “PORTFOLIO MANAGEMENT” FROM ITS NAME AS UNDERTAKEN BY IT
|
| 4 |
|
|
DELTA FINANCIAL SERVICES
|
|
|
|
RAJEEV KAPOOR
|
|
VIOLATED SECTION 24 (1) OF SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993
|
PROSECUTION LAUNCHED
15-MAY-2006
|
|
| 5 |
|
|
HDFC ASSET MANAGEMENT CO.LTD.
(PAN:AAACH7614L)
|
|
|
|
MILIND BARVE
PAN:ABGPB6755Q
|
|
ALLEGED FAILURE IN ITS OBLIGATION WITH RESPECT TO ACTS OF FRONT RUNNING BY ITS EMPLOYEES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
30-SEP-2011
|
|
| 6 |
|
|
HDFC TRUSTEE CO.LTD.
(PAN:AAACH7615M)
|
|
|
ALLEGED FAILURE IN ITS OBLIGATION OF CERTIFICATION TO THE EFFECT THAT THERE HAVE BEEN NO INSTANCES OF FRONT RUNNING BY ANY OF ITS KEY PERSONS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)
30-SEP-2011
|
|
| 7 |
|
|
IMAX EQUITY RESEARCH
|
|
|
|
RAJEEV KAPOOR
|
|
VIOLATED SEBI (PFUTP) REGULATIONS, 1995
VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993
|
PROSECUTION LAUNCHED
31-MAR-2010
|
|
| 8 |
|
|
INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.
(PAN:AACCG3908J)
|
|
|
|
KRISHNA CHEEMALAPATI
PAN:ADHPC3794M
|
|
|
NITISH SIKAND
PAN:ATZPS0141C
|
|
|
SAURABH NANAVATI
PAN:AAVPN8344D
|
|
|
SUJOY DAS
PAN:AFGPD4797N
|
|
|
SURESH JAKHOTIYA
PAN:ABBPJ0750A
|
|
ALLEGED FAILURE IN SEGREGATION OF ACTIVITIES BETWEEN PORTFOLIO MANAGEMENT AND MUTUAL FUND ACTIVITIES IN THE MATTER OF INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.
ALLEGED FAILURE TO MAINTAIN ADEQUATE INFRASTRUCTURE, MANPOWER WITH PORTFOLIO MANAGER FOR EFFECTIVELY DISCHARGING ACTIVITIES
ALLEGED FAILURE TO MAINTAIN ARMS-LENGTH RELATIONSHIP WITH INVESCO MUTUAL FUND ARM BY CLEARLY SEGREGATING ITS ACTIVITIES AS PORTFOLIO MANAGER/INVESTMENT ADVISER FROM MUTUAL FUND ACTIVITY
ALLEGED FAILURE TO ENSURE THAT INVESTMENTS ARE DONE TO ACHIEVE OBJECTIVES OF SCHEME BY APPLYING INDEPENDENT BUSINESS JUDGMENT AND IN INTEREST OF UNITHOLDERS IN CERTAIN INVESTMENTS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,98,55,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
24-APR-2024
|
|
| 9 |
|
|
LFS BROKING PVT.LTD.
(PAN:AACCL1007D)
|
|
|
|
SAIYAD JIYAJUR RAHAMAN
PAN:BCNPR5031A
|
|
PROMISED ASSURED RETURNS TO CLIENTS
|
DEBARRED FROM BEING EMPLOYED OR ASSOCIATED WITH ANY REGISTERED INTERMEDIARIES OR OTHER PERSON DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY AND IN ANY OTHER MANNER FROM 28-JUN-2024 TO 27-JUN-2029
28-JUN-2024
|
|
| 10 |
|
|
NJ ASSET MANAGEMENT PVT.LTD.
(PAN:AACCN2030J)
|
|
|
ACCEPTED INVESTMENT FROM CLIENTS WITHOUT MEETING MINIMUM INVESTMENT CRITERIA VIOLATING SEBI (PORTFOLIO MANAGERS) REGULATIONS, 2020
|
IMPOSED PENALTY RS.1,00,000
24-APR-2023
|
|
| 11 |
|
|
OM SRI SAI INVESTMENTS
(PAN:AADFO8242K)
|
|
|
INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION
PROMISED ASSURED RETURNS TO CLIENTS
DEFAULTED IN MAINTENANCE OF CLIENT LEDGER
INDULGED IN MANIPULATIVE, FRAUDULENT OR DECEPTIVE SCHEMES WHILE DEALING IN SECURITIES MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2030
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
IMPOSED PENALTY RS.1,20,00,000
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 24/10/2024 GRANTED APPELLANTS FOUR WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 22/11/2024 GRANTED EXTENSION OF FOUR WEEKS TO FILE REJOINDER
|
| 12 |
|
|
SHREEJEE CAPITAL MANAGEMENT LTD.
|
|
|
|
ARUN KUMAR CHOWDHURY
|
|
|
DHIRENDRA PRATAP SRIVASTAVA
|
|
|
NISHIKANT CHATURVEDI
|
|
|
RAJ KUMAR SHUKLA
|
|
|
RAKESH KUMAR SRIVASTAVA
|
|
VIOLATED SECTION 24 OF SEBI ACT, 1992
VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993
|
PROSECUTION LAUNCHED
15-MAY-2006
|
ACCUSED NO.1 TO 6 ACQUITTED
|
| 13 |
|
|
TEJI MANDI ANALYTICS PVT.LTD.
(PAN:AACCT9530H)
|
|
|
|
KALAPI SHAH
PAN:ASAPS3736M
|
|
AIDED AND ABETTED ANUGRAH STOCK & BROKING PVT.LTD. IN PROVIDING DERIVATIVE ADVISORY SERVICES BY PROMISING ASSURED RETURNS VIOLATING SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3 OF SEBI (PMS) REGULATIONS, 1993
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 15-APR-2025 TO 14-APR-2030
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 15-APR-2025 TO 14-APR-2030
15-APR-2025
|
|
| 14 |
|
|
TEJI MANDI ANALYTICS PVT.LTD.
(PAN:AACCT9530H)
|
|
|
|
ANIL GOPAL GANDHI
PAN:ABWPG5141P
|
|
AIDED AND ABETTED WITH OTHERS PROVIDING DERIVATIVE ADVISORY SERVICES (DAS) VIOLATING SEBI (PORTFOLIO MANAGER) REGULATIONS, 1993
DEFAULTED IN MAINTENANCE OF CLIENT LEDGER
INDULGED IN MANIPULATIVE, FRAUDULENT OR DECEPTIVE SCHEMES WHILE DEALING IN SECURITIES MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2028
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2028
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
28-FEB-2023
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
