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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.

PORTFOLIO MANAGERS: CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

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

(PAN:AABCK1174F)  
Click here to view complete history of this specific entity/person KAUSHIK PODDAR
Click here to view complete history of this specific entity/person PRASHANT KHANDELWAL
Click here to view complete history of this specific entity/person RAKESH GUPTA
  		MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS

DID NOT MAINTAIN CLIENT AGREEMENTS

DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES

DID NOT GET AUDITED PORTFOLIO ACCOUNTS OF CLIENTS BY INDEPENDENT CHARTERED ACCOUNTANT AS REQUIRED UNDER REGULATION 20 (3) OF SEBI (PORTFOLIO MANAGER) REGULATIONS),1993   		CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS

31-DEC-2008 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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