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.

COMPANIES: DIRECTED TO CEASE & DESIST FROM SPONSORING AND/OR CARRYING OUT ACTIVITIES OF MUTUAL FUND, INCLUDING ACTIVITY OF REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) SCHEMES FOR COLLECTION OF FUNDS DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

S.No.

ENTITY

PERSONS

REGULATORY CHARGES

REGULATORY ACTION(S) / DATE OF ORDER

FURTHER DEVELOPMENTS

1

History of entity/person

SHUKUL WEALTH ADVISORY

(PAN:ADYFS5029C)

Click here to view complete history of this specific entity/person

DEVESH SURENDRA TIWARI

DIN:07349909
PAN:ANBPT6472D

Click here to view complete history of this specific entity/person

DHANANJAY BARAD

PAN:CKUPB4161P
DIN:08524560

Click here to view complete history of this specific entity/person

PRADIP V.SHUKLA

DIN:05327118
PAN:BQCPS5057E

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

DIRECTED TO CEASE & DESIST FROM SPONSORING AND/OR CARRYING OUT ACTIVITIES OF MUTUAL FUND, INCLUDING ACTIVITY OF REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) SCHEMES FOR COLLECTION OF FUNDS DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

DIRECTED TO CEASE TO SOLICIT OR UNDERTAKE SPONSORING AND/OR CARRYING OUT ACTIVITIES OF MUTUAL FUND, IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 13-AUG-2021 TO 12-AUG-2025

CEASED TO SOLICIT OR UNDERTAKE INVESTMENT ADVISORY ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 13-AUG-2021 TO 12-AUG-2025

DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 13-AUG-2021 TO 12-AUG-2025

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-AUG-2021 TO 12-AUG-2025

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-AUG-2021 TO 12-AUG-2025

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED PORTFOLIO MANAGEMENT SERVICES AND AMOUNT OF FEE COLLECTED AS PORTFOLIO MANAGER

DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM

DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 13-AUG-2021 TO 12-AUG-2025

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

DIRECTED TO REFUND MONEY TO THE INVESTORS

11-FEB-2021

SEBI VIDE ITS ORDER DATED 13/08/2021 DIRECTED TO A) CEASE AND DESIST FROM SPONSORING AND/OR CARRYING OUT ACTIVITIES OF A MUTUAL FUND, INCLUDING ACTIVITY OF REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) SCHEMES FOR COLLECTION OF FUNDS, DIRECTLY OR INDIRECTLY AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITY OR ANY OTHER ACTIVITIES IN SECURITIES MARKET DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER B) CEASE AND DESIST FROM HOLDING THEMSELVES OUT AS INVESTMENT ADVISERS, INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS INVESTMENT ADVISER, DIRECTLY OR INDIRECTLY AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITY OR ANY OTHER ACTIVITIES IN THE SECURITIES MARKET DIRECTLY OR INDIRECTLY IN ANY MATTER WHATSOEVER C) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES DIRECTLY OR INDIRECTLY AND ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR A PERIOD OF 4 YEARS D) REFUND THE MONEY COLLECTED UNDER VARIOUS SCHEMES TO THE INVESTORS JOINTLY AND SEVERALLY TO THE TUNE OF RS.87,33,17,200.00 (OUTSTANDING DUES AS PER THE CA REPORT) ALONG WITH INTEREST OF 12 % FROM THE DATE OF RECEIPT OF FUNDS FROM THE INVESTORS WITHIN OF SIX MONTHS FROM DATE OF THIS ORDER E) BANKS SHALL NOT ALLOW DEBITS FROM THE BANK ACCOUNTS (JOINT OR OTHERWISE) OF NOTICEES EXCEPT FOR THE PURPOSES OF COMPLIANCE WITH THE DIRECTION F) DEPOSITORIES SHALL NOT ALLOW DEBITS FROM THE DEMAT ACCOUNTS (JOINT OR OTHERWISE) OF NOTICEE EXCEPT FOR THE PURPOSES OF COMPLIANCE WITH THE DIRECTION G) PREVENTED FROM DISPOSING OF/ALIENATING ANY OF PROPERTIES OR ASSETS, EXCEPT FOR THE PURPOSES OF COMPLIANCE WITH THE DIRECTION TILL THE COMPLETION OF REFUND TO INVESTORS H) NEWSPAPER PUBLICATION IN ONE WIDELY CIRCULATED NEWSPAPER, IN ENGLISH, HINDI AND GUJARATI EACH, INVITING COMPLAINTS/CLAIMS FROM ANY INVESTOR IN RESPECT OF THE SCHEMES (CARRIED ON IN THE CURRENT NAME OF THE NOTICEE FIRM OR IN ANY OTHER NAME IT WAS PREVIOUSLY KNOWN) THAT ARE STILL OUTSTANDING WITHIN ONE MONTH FROM THE DATE OF THIS ORDER

2

History of entity/person

SHUKUL WEALTH ADVISORY

(PAN:ADYFS5029C)

Click here to view complete history of this specific entity/person

SANDEEPKUMAR MANUBHAI PATEL

DIN:09033711

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

DIRECTED TO CEASE & DESIST FROM SPONSORING AND/OR CARRYING OUT ACTIVITIES OF MUTUAL FUND, INCLUDING ACTIVITY OF REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) SCHEMES FOR COLLECTION OF FUNDS DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

DIRECTED TO CEASE TO SOLICIT OR UNDERTAKE SPONSORING AND/OR CARRYING OUT ACTIVITIES OF MUTUAL FUND, IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 11-FEB-2021 UNTIL FURTHER ORDERS

CEASED TO SOLICIT OR UNDERTAKE INVESTMENT ADVISORY ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-FEB-2021 UNTIL FURTHER ORDERS

DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 11-FEB-2021 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-FEB-2021 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-FEB-2021 UNTIL FURTHER ORDERS

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED PORTFOLIO MANAGEMENT SERVICES AND AMOUNT OF FEE COLLECTED AS PORTFOLIO MANAGER

DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM

DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 11-FEB-2021 UNTIL FURTHER ORDERS

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

11-FEB-2021

3

History of entity/person

SHUKUL WEALTH CREATOR LLP

(PAN:ADRFS8026Q)

Click here to view complete history of this specific entity/person

DEVESH SURENDRA TIWARI

DIN:07349909
PAN:ANBPT6472D

Click here to view complete history of this specific entity/person

DHANANJAY BARAD

PAN:CKUPB4161P
DIN:08524560

Click here to view complete history of this specific entity/person

PRADIP V.SHUKLA

DIN:05327118
PAN:BQCPS5057E

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

DIRECTED TO CEASE & DESIST FROM SPONSORING AND/OR CARRYING OUT ACTIVITIES OF MUTUAL FUND, INCLUDING ACTIVITY OF REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) SCHEMES FOR COLLECTION OF FUNDS DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

DIRECTED TO CEASE TO SOLICIT OR UNDERTAKE SPONSORING AND/OR CARRYING OUT ACTIVITIES OF MUTUAL FUND, IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 13-AUG-2021 TO 12-AUG-2025

CEASED TO SOLICIT OR UNDERTAKE INVESTMENT ADVISORY ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 13-AUG-2021 TO 12-AUG-2025

DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 13-AUG-2021 TO 12-AUG-2025

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-AUG-2021 TO 12-AUG-2025

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-AUG-2021 TO 12-AUG-2025

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED PORTFOLIO MANAGEMENT SERVICES AND AMOUNT OF FEE COLLECTED AS PORTFOLIO MANAGER

DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM

DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 13-AUG-2021 TO 12-AUG-2025

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

DIRECTED TO REFUND MONEY TO THE INVESTORS

11-FEB-2021

SEBI VIDE ITS ORDER DATED 13/08/2021 DIRECTED TO A) CEASE AND DESIST FROM SPONSORING AND/OR CARRYING OUT ACTIVITIES OF A MUTUAL FUND, INCLUDING ACTIVITY OF REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) SCHEMES FOR COLLECTION OF FUNDS, DIRECTLY OR INDIRECTLY AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITY OR ANY OTHER ACTIVITIES IN SECURITIES MARKET DIRECTLY OR INDIRECTLY IN ANY MANNER WHATSOEVER B) CEASE AND DESIST FROM HOLDING THEMSELVES OUT AS INVESTMENT ADVISERS, INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS INVESTMENT ADVISER, DIRECTLY OR INDIRECTLY AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITY OR ANY OTHER ACTIVITIES IN THE SECURITIES MARKET DIRECTLY OR INDIRECTLY IN ANY MATTER WHATSOEVER C) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES DIRECTLY OR INDIRECTLY AND ASSOCIATING WITH SECURITIES MARKET IN ANY MANNER, WHATSOEVER FOR A PERIOD OF 4 YEARS D) REFUND THE MONEY COLLECTED UNDER VARIOUS SCHEMES TO THE INVESTORS JOINTLY AND SEVERALLY TO THE TUNE OF RS.87,33,17,200.00 (OUTSTANDING DUES AS PER THE CA REPORT) ALONG WITH INTEREST OF 12 % FROM THE DATE OF RECEIPT OF FUNDS FROM THE INVESTORS WITHIN OF SIX MONTHS FROM DATE OF THIS ORDER E) BANKS SHALL NOT ALLOW DEBITS FROM THE BANK ACCOUNTS (JOINT OR OTHERWISE) OF NOTICEES EXCEPT FOR THE PURPOSES OF COMPLIANCE WITH THE DIRECTION F) DEPOSITORIES SHALL NOT ALLOW DEBITS FROM THE DEMAT ACCOUNTS (JOINT OR OTHERWISE) OF NOTICEE EXCEPT FOR THE PURPOSES OF COMPLIANCE WITH THE DIRECTION G) PREVENTED FROM DISPOSING OF/ALIENATING ANY OF PROPERTIES OR ASSETS, EXCEPT FOR THE PURPOSES OF COMPLIANCE WITH THE DIRECTION TILL THE COMPLETION OF REFUND TO INVESTORS H) NEWSPAPER PUBLICATION IN ONE WIDELY CIRCULATED NEWSPAPER, IN ENGLISH, HINDI AND GUJARATI EACH, INVITING COMPLAINTS/CLAIMS FROM ANY INVESTOR IN RESPECT OF THE SCHEMES (CARRIED ON IN THE CURRENT NAME OF THE NOTICEE FIRM OR IN ANY OTHER NAME IT WAS PREVIOUSLY KNOWN) THAT ARE STILL OUTSTANDING WITHIN ONE MONTH FROM THE DATE OF THIS ORDER

4

History of entity/person

SHUKUL WEALTH CREATOR LLP

(PAN:ADRFS8026Q)

Click here to view complete history of this specific entity/person

SANDEEPKUMAR MANUBHAI PATEL

DIN:09033711

ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

DIRECTED TO CEASE & DESIST FROM SPONSORING AND/OR CARRYING OUT ACTIVITIES OF MUTUAL FUND, INCLUDING ACTIVITY OF REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) SCHEMES FOR COLLECTION OF FUNDS DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

DIRECTED TO CEASE TO SOLICIT OR UNDERTAKE SPONSORING AND/OR CARRYING OUT ACTIVITIES OF MUTUAL FUND, IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 11-FEB-2021 UNTIL FURTHER ORDERS

CEASED TO SOLICIT OR UNDERTAKE INVESTMENT ADVISORY ACTIVITIES OR ANY OTHER ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER

DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-FEB-2021 UNTIL FURTHER ORDERS

DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 11-FEB-2021 UNTIL FURTHER ORDERS

DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-FEB-2021 UNTIL FURTHER ORDERS

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-FEB-2021 UNTIL FURTHER ORDERS

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS

DIRECTED TO SUBMIT NUMBER AND DETAILS OF CLIENTS WHO HAVE AVAILED PORTFOLIO MANAGEMENT SERVICES AND AMOUNT OF FEE COLLECTED AS PORTFOLIO MANAGER

DIRECTED TO SUBMIT LIST OF CLIENTS AND FEE COLLECTED FROM THEM

DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 11-FEB-2021 UNTIL FURTHER ORDERS

DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS

DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES

11-FEB-2021

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

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