January 30, 2015
PR No. 023/2015

Order in the matter of M/s. Unique Vision Financial Advisory Pvt. Ltd.

Shri S Raman, Whole Time Member, Securities and Exchange Board of India (SEBI), has passed an interim order dated January 29, 2015 against M/s. Unique Vision Financial Advisory Pvt. Ltd. and its directors/promoters, Mr. Chandrakant Shamrao Dhole and Mr. Ravindra Shankar Kaurav under sections 11, 11(4), 11B and 11D of SEBI Act, 1992. The aforesaid entities are inter- alia directed to:

1. cease and desist from acting as a portfolio manager,
2. not to solicit or undertake anymore such activity or any other unregistered activities in the securities market, directly or indirectly, in any manner whatsoever,
3. not to divert any funds raised from any of its existing clients/investors.

M/s. Unique Vision Financial Advisory Pvt. Ltd. was engaged in providing the services of portfolio management without obtaining the registration from SEBI which is in violation of the provisions of SEBI (Portfolio Managers) Regulations, 1993.

Mumbai
January 30, 2015

For full copy of order against CHANDRAKANT SHAMRAO DHOLE, click here.

For full copy of order against RAVINDRA SHANKAR KAURAV, click here.

For full copy of order against UNIQUE VISION FINANCIAL ADVISORY PVT.LTD., click here.