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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.

PERSONS: DIRECTED TO DISCONTINUE PRACTICE OF OFFERING FREE TRIALS TO PROSPECTIVE CLIENTS BY PROMINENTLY NOTIFYING SAME ON WEBSITE/OTHER COMMUNICATION CHANNELS

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CHETAN KALUBHAI DHOKIYA

(PAN:BKPPD6469L)  
  DID NOT INFORM SEBI REGARDING USAGE OF DIFFERENT WEBSITES AND PROPRIETARY NAME FOR PROVIDING INVESTMENT ADVISORY SERVICES TO CLIENTS

DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO CLIENTS

PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS

PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION   		DIRECTED TO DISPLAY ORDER ON ALL WEBSITES THROUGH CONDUCTED INVESTMENT ADVISORY BUSINESS

DIRECTED TO DISCLOSE ALL OTHER RELEVANT MATERIAL INFORMATION PERTAINING TO BUSINESS ACTIVITIES AS INVESTMENT ADVISOR, INCLUDING NAME, REGISTRATION DETAILS, BUSINESS ADDRESS AND DETAILS OF ALL AFFILIATE WEBSITES OPERATE BY ADEQUATE AND PROMINENT MANNER IN ALL WEBSITES/OTHER COMMUNICATION CHANNELS WITHIN SEVEN DAYS FROM DATE OF RECEIPT OF THIS ORDER

DIRECTED TO DISCONTINUE PRACTICE OF OFFERING FREE TRIALS TO PROSPECTIVE CLIENTS BY PROMINENTLY NOTIFYING SAME ON WEBSITE/OTHER COMMUNICATION CHANNELS

IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS

22-NOV-2022 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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