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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.

UN-AUTHORISED PORTFOLIO MANAGERS: IMPOSED PENALTY

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person ADITYA BIRLA MONEY LTD.

(PAN:AAACA7472K)  
  CARRIED OUT UNREGISTERED PORTFOLIO MANAGEMENT SERVICES THROUGH ITS REGISTRATION AS A STOCK BROKER IN JULY 2010 VIOLATING REGULATION 9 READ WITH CLAUSES A(3) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992   IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS

23-NOV-2017 		 
2
History of entity/person BLISS CONSULTANTS

(PAN:AMMPM0167G)  
Click here to view complete history of this specific entity/person ASHESH SHAILESH MEHTA

PAN:AMMPM0167G
Click here to view complete history of this specific entity/person SHIVANGI ASHESH MEHTA

PAN:AKJPL8198F
  		INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION   DIRECTED TO REFUND MONEY RECEIVED FROM CLIENTS/INVESTORS/COMPLAINANT AS FEES OR CONSIDERATION OR IN ANY OTHER FORM IN RESPECT OF UNREGISTERED PORTFOLIO MANAGER ACTIVITIES

DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY

DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER

RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM

ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT

DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 24-APR-2025 TO 23-APR-2028

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-APR-2025 TO 23-APR-2028

DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI

IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS

24-APR-2025 		 
3
History of entity/person JHP SECURITIES PVT.LTD.

(PAN:AAACJ2847H)  
  INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION   IMPOSED PENALTY RS.3,00,000

23-OCT-2017 		SAT: APPEAL DISMISSED. NO COSTS  
4
History of entity/person KE CONSULTING GROUP

(PAN:ACTPT8377N)  
Click here to view complete history of this specific entity/person MANISH HARISH THAKKAR

PAN:ACTPT8377N
  		DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ORDER DATED 28/02/2012   IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS

21-NOV-2017 		INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI

SEBI VIDE ITS NOTICE DATED 10/07/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED  
5
History of entity/person OXUS INVESTMENTS PVT.LTD.  
  INDULGED IN ACTIVITY OF PORTFOLIO MANAGER AFTER EXPIRY OF SEBI REGISTRATION   IMPOSED PENALTY RS.10,00,000

20-DEC-2017 		SAT: SAT VIDE ITS ORDER DATED 15/10/2018 ALLOWED APPEAL AND MISC. APPLICATION TO BE WITHDRAWN. NO COSTS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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