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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.

MUTUAL FUNDS: WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BIRLA SUN LIFE MUTUAL FUND  
Click here to view complete history of this specific entity/person A.BALASUBRAMANIAN
  		DID NOT ADHERE TO ALL PROVISIONS OF THE DIRECTIVES/INSTRUCTIONS/GUIDELINES, CIRCULARS IN MATTER OF ADVERTISEMENT THROUGH NEWSPAPERS AND HOARDINGS AS REQUIRED UNDER REGULATION 25(6A) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996   WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

20-FEB-2010 		 
2
History of entity/person HSBC MUTUAL FUND  
  DID NOT PROVIDE TIMELY INFORMATION TO INVESTORS/UNITHOLDERS ABOUT CHANGES IN INVESTMENT POLICIES, OBJECTIVES AND DURATION OF SCHEME ETC AS REQUIRED UNDER CLAUSES 2,6 AND 9 OF CODE OF CONDUCT AND REGULATION 25(1) OF MUTUAL FUNDS REGULATIONS, 1996

DID NOT ADHERE TO PROVISIONS OF MUTUAL FUNDS REGULATIONS, DIRECTIVES/INSTRUCTIONS/GUIDELINES AND CIRCULARS ISSUED FROM TIME TO TIME AS REQUIRED UNDER 25(6A) OF MUTUAL FUNDS REGULATIONS, 1996   		WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET

23-APR-2010 		SAT: SAT VIDE ITS ORDER DATED 03/05/2011 DIRECTED TO COMPLY WITH REGULATION 18(15A) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 QUA THE APPELLANTS AND PROVIDE THEM WITH AN EXIT ROUTE  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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