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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: VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 2020

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ACCURACAP CONSULTANCY SERVICES PVT.LTD.

(PAN:AAHCA5639B)  
  ALLEGED RECEIVE MORE THAN 20% OF BROKERAGE CHARGED FROM CLIENTS IN DISGUISE OF PROVIDING CERTAIN SERVICES TO BROKERS VIOLATING CLAUSE 13(A) OF CODE OF CONDUCT SPECIFIED IN SCHEDULE III OF SEBI (PORTFOLIO MANAGERS) REGULATIONS, 2020

ALLEGED RECEIVE MORE THAN 20% OF BROKERAGE CHARGED FROM CLIENTS IN DISGUISE OF PROVIDING CERTAIN SERVICES TO BROKERS VIOLATING CLAUSE 6.1.3.4 OF SEBI MASTER CIRCULAR DATED 20/03/2023 READ WITH CLAUSE 3(VI) OF SEBI CIRCULAR DATED 13/02/2020   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,05,000, DISGORGEMENT AMOUNT RS.71,57,450 VIDE CONSENT ORDER)

08-AUG-2024 		 
2
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 		 
3
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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