| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
SWISS FINANCE CORP.(MAURITIUS) LTD.
(Along with : UBS SECURITIES ASIA LTD.)
|
|
|
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES RELATED TO "KNOW YOUR CLIENT" AS PRESCRIBED UNDER FII REGULATIONS
DID NOT FURNISH REQUISITE INFORMATION, RECORDS OR DOCUMENTS RELATED TO ACTIVITIES AS A FOREIGN INSTITUTIONAL INVESTOR
DID NOT DISCLOSE INFORMATION CONCERNING TERMS OF AND PARTIES TO OFFSHORE DERIVATIVE INSTRUMENTS RELATED TO SECURITIES LISTED OR PROPOSED TO BE LISTED IN INDIA
FAILED TO MAINTAIN HIGH STANDARDS OF INTEGRITY FAIRNESS AND PROFESSIONALISM AS REQUIRED UNDER FII REGULATIONS
|
PROHIBITED FROM ISSUING AND/OR RENEWING ANY OFFSHORE DERIVATIVES RELATED TO INDIAN SECURITIES MARKET FROM 17-MAY-2005 TO 16-MAY-2006
DIRECTED TO ESTABLISH HIGHEST STANDARDS OF CUSTOMER DUE DILIGENCE PROCESS
17-MAY-2005
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,00,000, LEGAL EXPENSES RS.17,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-FEB-2009
|
SAT: IMPUGNED ORDER SET ASIDE
APPLICANT AGREED TO PAY RS.50,00,000 TOWARDS SETTLEMENT CHARGES AND RS.17,50,000 TOWARDS LEGAL & ADMINISTRATION CHARGES, AS PER CONSENT ORDER (REFERENCE APPEAL NO.6956 OF 2005 DATED 09/02/2009 WITH SUPREME COURT OF INDIA)
|
| 22 |
|
|
TANTALLON FUND,THE
|
|
|
ALLEGED FAILURE IN FULFILMENT OF BROAD BASED FUND CRITERIA VIOLATING REGULATION 10(C) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.55,02,421, PAID TO OTHERS RS.33,467 VIDE CONSENT ORDER)
28-MAR-2019
|
|
| 23 |
|
|
UBS AG
(Along with : UBS SECURITIES ASIA LTD.)
|
|
|
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES RELATED TO "KNOW YOUR CLIENT" AS PRESCRIBED UNDER FII REGULATIONS
DID NOT FURNISH REQUISITE INFORMATION, RECORDS OR DOCUMENTS RELATED TO ACTIVITIES AS A FOREIGN INSTITUTIONAL INVESTOR
DID NOT DISCLOSE INFORMATION CONCERNING TERMS OF AND PARTIES TO OFFSHORE DERIVATIVE INSTRUMENTS RELATED TO SECURITIES LISTED OR PROPOSED TO BE LISTED IN INDIA
FAILED TO MAINTAIN HIGH STANDARDS OF INTEGRITY FAIRNESS AND PROFESSIONALISM AS REQUIRED UNDER FII REGULATIONS
|
PROHIBITED FROM ISSUING AND/OR RENEWING ANY OFFSHORE DERIVATIVES RELATED TO INDIAN SECURITIES MARKET FROM 17-MAY-2005 TO 16-MAY-2006
DIRECTED TO ESTABLISH HIGHEST STANDARDS OF CUSTOMER DUE DILIGENCE PROCESS
17-MAY-2005
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,00,000, LEGAL EXPENSES RS.17,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-FEB-2009
|
SAT: IMPUGNED ORDER SET ASIDE
APPLICANT AGREED TO PAY RS.50,00,000 TOWARDS SETTLEMENT CHARGES AND RS.17,50,000 TOWARDS LEGAL & ADMINISTRATION CHARGES, AS PER CONSENT ORDER (REFERENCE APPEAL NO.154 OF 2005 DATED 02/07/2009 WITH SAT)
|
| 24 |
|
|
UBS EMERGING MARKETS EQUITY RELATIONSHIP FUND
|
|
|
ALLEGED VIOLATION OF SECTION 15HB OF SEBI ACT, 1992 READ WITH REGULATION 10(C) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
20-JAN-2009
|
|
| 25 |
|
|
UBS SECURITIES ASIA LTD.
(Along with : SWISS FINANCE CORP.(MAURITIUS) LTD.)
|
|
|
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES RELATED TO "KNOW YOUR CLIENT" AS PRESCRIBED UNDER FII REGULATIONS
DID NOT FURNISH REQUISITE INFORMATION, RECORDS OR DOCUMENTS RELATED TO ACTIVITIES AS A FOREIGN INSTITUTIONAL INVESTOR
DID NOT DISCLOSE INFORMATION CONCERNING TERMS OF AND PARTIES TO OFFSHORE DERIVATIVE INSTRUMENTS RELATED TO SECURITIES LISTED OR PROPOSED TO BE LISTED IN INDIA
FAILED TO MAINTAIN HIGH STANDARDS OF INTEGRITY FAIRNESS AND PROFESSIONALISM AS REQUIRED UNDER FII REGULATIONS
|
PROHIBITED FROM ISSUING AND/OR RENEWING ANY OFFSHORE DERIVATIVES RELATED TO INDIAN SECURITIES MARKET FROM 17-MAY-2005 TO 16-MAY-2006
DIRECTED TO ESTABLISH HIGHEST STANDARDS OF CUSTOMER DUE DILIGENCE PROCESS
17-MAY-2005
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,00,000, LEGAL EXPENSES RS.17,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-FEB-2009
|
SAT: IMPUGNED ORDER SET ASIDE
APPLICANT AGREED TO PAY RS.50,00,000 TOWARDS SETTLEMENT CHARGES AND RS.17,50,000 TOWARDS LEGAL & ADMINISTRATION CHARGES, AS PER CONSENT ORDER (REFERENCE APPEAL NO.6956 OF 2005 DATED 09/02/2009 WITH SUPREME COURT OF INDIA)
|
| 26 |
|
|
UBS SECURITIES ASIA LTD.
(Along with : UBS AG)
|
|
|
DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES RELATED TO "KNOW YOUR CLIENT" AS PRESCRIBED UNDER FII REGULATIONS
DID NOT FURNISH REQUISITE INFORMATION, RECORDS OR DOCUMENTS RELATED TO ACTIVITIES AS A FOREIGN INSTITUTIONAL INVESTOR
DID NOT DISCLOSE INFORMATION CONCERNING TERMS OF AND PARTIES TO OFFSHORE DERIVATIVE INSTRUMENTS RELATED TO SECURITIES LISTED OR PROPOSED TO BE LISTED IN INDIA
FAILED TO MAINTAIN HIGH STANDARDS OF INTEGRITY FAIRNESS AND PROFESSIONALISM AS REQUIRED UNDER FII REGULATIONS
|
PROHIBITED FROM ISSUING AND/OR RENEWING ANY OFFSHORE DERIVATIVES RELATED TO INDIAN SECURITIES MARKET FROM 17-MAY-2005 TO 16-MAY-2006
DIRECTED TO ESTABLISH HIGHEST STANDARDS OF CUSTOMER DUE DILIGENCE PROCESS
17-MAY-2005
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.50,00,000, LEGAL EXPENSES RS.17,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
09-FEB-2009
|
SAT: IMPUGNED ORDER SET ASIDE
APPLICANT AGREED TO PAY RS.50,00,000 TOWARDS SETTLEMENT CHARGES AND RS.17,50,000 TOWARDS LEGAL & ADMINISTRATION CHARGES, AS PER CONSENT ORDER (REFERENCE APPEAL NO.154 OF 2005 DATED 02/07/2009 WITH SAT)
|
| 27 |
|
|
WESTLB MELLON COMPASS FUND
|
|
|
ALLEGED DELAY IN INFORMING SEBI ABOUT CHANGE OF ITS NAME AS REQUIRED UNDER REGULATIONS 10(C) OF SEBI (FII) REGULATIONS, 1995
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)
13-MAY-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
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