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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: DISCIPLINARY ACTION TAKEN/PENDING AGAINST APPLICANT/CONNECTED COMPANIES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BHASIN SHARE & STOCK BROKERS LTD.

(Along with : CREDITCAPITAL ASSET MANAGEMENT CO.LTD.)  
  MULTIPLE LEGAL PROCEEDINGS PENDING AGAINST THE COMPANY

DID NOT FULFIL NET WORTH CRITERIA   		REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

08-OCT-2004 		SEBI GRANTED PORTFOLIO MANAGER LICENSE ON 01/11/2005  
2
History of entity/person CREDITCAPITAL ASSET MANAGEMENT CO.LTD.

(Along with : BHASIN SHARE & STOCK BROKERS LTD.,
HB PRIMA CAPITAL LTD.,
HB SECURITIES LTD.,
RAJARAM BHASIN SHARE & STOCK BROKERS LTD.,
RRB MASTER HOLDINGS LTD.,
RRB MASTER SECURITIES DELHI LTD.)  
Click here to view complete history of this specific entity/person J.P.KUNDRA
Click here to view complete history of this specific entity/person JAI SINGH
Click here to view complete history of this specific entity/person LALIT BHASIN
Click here to view complete history of this specific entity/person M.G.GUPTA
Click here to view complete history of this specific entity/person P.MURARI
Click here to view complete history of this specific entity/person R.K.GUPTA
  		MULTIPLE LEGAL PROCEEDINGS PENDING AGAINST THE COMPANY

DID NOT FULFIL NET WORTH CRITERIA   		REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

08-OCT-2004 		SEBI GRANTED PORTFOLIO MANAGER LICENSE ON 01/11/2005  
3
History of entity/person HB PRIMA CAPITAL LTD.

(Along with : CREDITCAPITAL ASSET MANAGEMENT CO.LTD.)  
  MULTIPLE LEGAL PROCEEDINGS PENDING AGAINST THE COMPANY

DID NOT FULFIL NET WORTH CRITERIA   		REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

08-OCT-2004 		SEBI GRANTED PORTFOLIO MANAGER LICENSE ON 01/11/2005  
4
History of entity/person HB SECURITIES LTD.

(Along with : CREDITCAPITAL ASSET MANAGEMENT CO.LTD.)  
  MULTIPLE LEGAL PROCEEDINGS PENDING AGAINST THE COMPANY

DID NOT FULFIL NET WORTH CRITERIA   		REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

08-OCT-2004 		SEBI GRANTED PORTFOLIO MANAGER LICENSE ON 01/11/2005  
5
History of entity/person LAND LEASE CO.(INDIA) LTD.

(Along with : WEALTH MANAGEMENT ADVISORY SERVICES LTD.)  
  DISCIPLINARY ACTION TAKEN/PENDING AGAINST THE COMPANIES CONNECTED WITH THE APPLICANT   REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

18-JUN-2004 		 
6
History of entity/person MANGAL KESHAV SECURITIES LTD.

(PAN:AAECM6524C)  
  SEVERAL DISCIPLINARY ACTION TAKEN/INITIATED BY SEBI AGAINST THE APPLICANT AS A STOCK BROKER   REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

18-JUN-2004 		 
7
History of entity/person RAJARAM BHASIN SHARE & STOCK BROKERS LTD.

(Along with : CREDITCAPITAL ASSET MANAGEMENT CO.LTD.)  
  MULTIPLE LEGAL PROCEEDINGS PENDING AGAINST THE COMPANY

DID NOT FULFIL NET WORTH CRITERIA   		REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

08-OCT-2004 		SEBI GRANTED PORTFOLIO MANAGER LICENSE ON 01/11/2005  
8
History of entity/person RRB MASTER HOLDINGS LTD.

(Along with : CREDITCAPITAL ASSET MANAGEMENT CO.LTD.)  
  MULTIPLE LEGAL PROCEEDINGS PENDING AGAINST THE COMPANY

DID NOT FULFIL NET WORTH CRITERIA   		REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

08-OCT-2004 		SEBI GRANTED PORTFOLIO MANAGER LICENSE ON 01/11/2005  
9
History of entity/person RRB MASTER SECURITIES DELHI LTD.

(PAN:AACCR3227P)

(Along with : CREDITCAPITAL ASSET MANAGEMENT CO.LTD.)  
  MULTIPLE LEGAL PROCEEDINGS PENDING AGAINST THE COMPANY

DID NOT FULFIL NET WORTH CRITERIA   		REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

08-OCT-2004 		SEBI GRANTED PORTFOLIO MANAGER LICENSE ON 01/11/2005  
10
History of entity/person SMIFS CAPITAL MARKETS LTD.

(Along with : WEALTH MANAGEMENT ADVISORY SERVICES LTD.)  
  DISCIPLINARY ACTION TAKEN/PENDING AGAINST THE COMPANIES CONNECTED WITH THE APPLICANT   REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

18-JUN-2004 		 
11
History of entity/person SMIFS CAPITAL SERVICES LTD.

(Along with : WEALTH MANAGEMENT ADVISORY SERVICES LTD.)  
  DISCIPLINARY ACTION TAKEN/PENDING AGAINST THE COMPANIES CONNECTED WITH THE APPLICANT   REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

18-JUN-2004 		 
12
History of entity/person SMIFS SECURITIES LTD.

(Along with : WEALTH MANAGEMENT ADVISORY SERVICES LTD.)  
  DISCIPLINARY ACTION TAKEN/PENDING AGAINST THE COMPANIES CONNECTED WITH THE APPLICANT   REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

18-JUN-2004 		 
13
History of entity/person WEALTH MANAGEMENT ADVISORY SERVICES LTD.  
  DISCIPLINARY ACTION TAKEN/PENDING AGAINST THE COMPANIES CONNECTED WITH THE APPLICANT   REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

09-SEP-2004 		 
14
History of entity/person WEALTH MANAGEMENT ADVISORY SERVICES LTD.

(Along with : LAND LEASE CO.(INDIA) LTD.,
SMIFS CAPITAL MARKETS LTD.,
SMIFS CAPITAL SERVICES LTD.,
SMIFS SECURITIES LTD.)  
Click here to view complete history of this specific entity/person KISHORE SHAH
Click here to view complete history of this specific entity/person MAYANK KHEMKA
Click here to view complete history of this specific entity/person R.SREESANKAR
  		DISCIPLINARY ACTION TAKEN/PENDING AGAINST THE COMPANIES CONNECTED WITH THE APPLICANT   REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER

18-JUN-2004 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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