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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 13-JUL-2024

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.

PORTFOLIO MANAGERS: VIOLATED SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ESTEE ADVISORS PVT.LTD.

(PAN:AABCE9657R)  
  ALLEGED VIOLATING REGULATIONS 15(1), 15(2A) AND 15(4) OF SEBI (PORTFOLIO MANAGER) REGULATIONS, 1993  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,45,000 VIDE CONSENT ORDER)

23-FEB-2018
2 
History of entity/person RELIANCE CAPITAL ASSET MANAGEMENT LTD.

(PAN:AAACR2668G)  
  ALLEGED INDULGENCE IN MAKING INADEQUATE DISCLOSURE OF INFORMATION RELATING TO MANAGEMENT OF RELATED PARTY ACCOUNTS IN DISCLOSURE DOCUMENT VIOLATING REGULATIONS 13 AND 14(2) OF SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993 READ WITH CLAUSES 3 AND 5 OF CODE OF CONDUCT OF SEBI (PORTFOLIO MANAGERS) REGULATION, 1993

ALLEGED HOLDING SECURITIES OF CLIENTS IN OWN ACCOUNT VIOLATING REGULATION 14 READ WITH SCHEDULE V AND REGULATION 13 READ WITH CLAUSES 3 AND 12 (A) OF CODE OF CONDUCT OF SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993

ALLEGED PROVIDING INCOMPLETE ACCOUNT OPENING FORMS AND UNAVAILABLITY OF COMPLETE KYC DOCUMENTS FOR SOME CORPORATE ENTITIES VIOLATING REGULATION 13 READ WITH CLAUSE 3 OF CODE OF CONDUCT OF SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993

ALLEGED NON FURNISHING OF PHYSICAL COPIES OF REPORTS CONTAINING PRESCRIBED DETAILS TO CLIENTS ON HALF YEARLY BASIS VIOLATING OF REGULATION 21 READ WITH SCHEDULE IV OF SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993

ALLEGED NOT CONDUCTING BUSINESS WITH HIGH STANDARDS OF INTEGRITY AND FAIRNESS IN DEALING WITH CLIENTS, DID NOT RENDER HIGH STANDARDS OF SERVICE, DID NOT ENSURE PROPER CARE IN DEALING AND DID NOT HANDLE COMPLAINTS FROM CLIENTS IN PROPER AND TIMELY MANNER VIOLATING REGULATION 13 READ WITH CALUSES 1 AND 3 OF CODE OF CONDUCT ALONG WITH REGULATION 15 (6) OF SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.19,50,000 VIDE CONSENT ORDER)

14-JAN-2016
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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