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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: DIRECTED TO ADHERE TO REGULATORY REQUIREMENTS WITH RESPECT TO MAINTENANCE OF MINIMUM NET WORTH WITH FIFTEEN DAYS FROM DATE OF ORDER

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

(PAN:AAFCD3473N)  
  DID NOT MAINTAIN MINIMUM NETWORTH

DID NOT SUBMIT NETWORTH CERTIFICATION, CORPORATE GOVERNANCE REPORT AND REPORT ON COMPLIANCE WITH PORTFOLIO MANAGERS REGULATIONS

DID NOT HAVE VALID NCFM/NISM CERTIFICATE   		DIRECTED TO ADHERE TO REGULATORY REQUIREMENTS WITH RESPECT TO MAINTENANCE OF MINIMUM NET WORTH WITH FIFTEEN DAYS FROM DATE OF ORDER

RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS FROM 17-FEB-2025 TILL MEETS APPLICABLE NET WORTH REQUIREMENT

PROHIBITED FROM ACCEPTING ADDITIONAL FUNDS OR SECURITIES FROM ITS EXISTING CLIENTS FROM 17-FEB-2025 TILL MEETS APPLICABLE NET WORTH REQUIREMENT

17-FEB-2025 		 
2
History of entity/person SCIENT CAPITAL PVT.LTD.

(PAN:AAWCS3001J)  
  DID NOT MAINTAIN MINIMUM NETWORTH

SUBMITTED INCORRECT AND MISLEADING COMPLIANCE REPORT

DID NOT HAVE VALID NCFM/NISM CERTIFICATE   		DIRECTED TO ADHERE TO REGULATORY REQUIREMENTS WITH RESPECT TO MAINTENANCE OF MINIMUM NET WORTH WITH FIFTEEN DAYS FROM DATE OF ORDER

RESTRAINED FROM TAKING UP/ONBOARDING ANY NEW CLIENTS FROM 17-FEB-2025 TILL MEETS APPLICABLE NET WORTH REQUIREMENT

PROHIBITED FROM ACCEPTING ADDITIONAL FUNDS OR SECURITIES FROM ITS EXISTING CLIENTS FROM 17-FEB-2025 TILL MEETS APPLICABLE NET WORTH REQUIREMENT

17-FEB-2025 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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