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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: RESTRAINED FROM MAKING APPLICATION TO SEBI FOR OFFERING PORTFOLIO MANAGEMENT SERVICES OR INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET REQUIRING REGISTRATION

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person VIJAY KUMAR GABA,M/S

(PAN:AAIPG6905E)  
Click here to view complete history of this specific entity/person VIJAY KUMAR GABA

PAN:AAIPG6905E
  		INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION   DIRECTED TO CEASE & DESIST FROM ACTING AS PORTFOLIO MANAGER AND NOT TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM ITS EXISTING CLIENTS / INVESTORS

RESTRAINED FROM MAKING APPLICATION TO SEBI FOR OFFERING PORTFOLIO MANAGEMENT SERVICES OR INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET REQUIRING REGISTRATION

14-JAN-2015 		SEBI VIDE ITS ORDER DATED 15/07/2015 RESTRAINED NOTICEE FOR A PERIOD OF ONE YEAR FROM MAKING APPLICATION TO SEBI FOR OFFERING PORTFOLIO MANAGEMENT SERVICES OR INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET REQUIRING REGISTRATION

SAT: SAT VIDE ITS ORDER DATED 26/07/2016 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 15/07/2015 AND RESTORE THE MATTER TO THE FILE OF WTM WITH DIRECTION TO RECONSIDER. 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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