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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: SUSPENDED REGISTRATION AS PORTFOLIO MANAGER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person KARVY STOCK BROKING LTD.

(PAN:AABCK5190K)  
  DID NOT APPOINT QUALIFIED OR EXPERIENCED PRINCIPAL OFFICER

MADE CONTRARY PROVISIONS WITH REGARD TO PLACEMENT FEE IN DISCLOSURE DOCUMENT

DID NOT SUBMIT PORTFOLIO MANAGEMENT AGREEMENT WITH REGARD TO OUTSOURCING OF CORE ACTIVITIES

DID NOT MAINTAIN UNIFORMITY IN PROVISIONS FOR TERMINATION OF AGREEMENT WITH CLIENTS

DID NOT PROVIDE DETAILS OF PENALTIES, PENDING LITIGATION OR PROCEEDINGS, FINDINGS OF INSPECTION OR INVESTIGATIONS FOR WHICH ACTION HAD BEEN TAKEN OR INITIATED BY ANY REGULATORY AUTHORITY

DID NOT KEEP OPEN POSITION IN RESPECT OF ALLOCATION OF SALES OR PURCHASES EFFECTED IN DAY

DID NOT RECTIFY DEFICIENCIES MENTIONED IN AUDITOR’S REPORT   		SUSPENDED REGISTRATION AS PORTFOLIO MANAGER

30-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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