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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.

COMPANIES: VIOLATED SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS 1995

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person FIDELITY FUNDS – INSTITUTIONAL ASIA PACIFIC (EX-JAPAN) FUND

(PAN:AABCF0852D)  
  ALLEGED FAILURE IN FULFILMENT OF BROAD BASED FUND CRITERIA VIOLATING REGULATIONS 10(C) AND 31(1) (A) (I) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995

ALLEGED DELAY IN MAKING DISCLOSURES OF MATERIAL CHANGES TO SEBI

ALLEGED VIOLATION OF REGULATIONS 5(B) AND 23(1)(C) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,20,00,000 VIDE CONSENT ORDER)

05-JAN-2017
2 
History of entity/person FIDELITY FUNDS - INSTITUTIONAL HONG KONG OPPORTUNITIES POOL

(PAN:AABCF1923B)  
  ALLEGED FAILURE IN FULFILMENT OF BROAD BASED FUND CRITERIA VIOLATING REGULATIONS 10(C) AND 31(1) (A) (I) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995

ALLEGED DELAY IN MAKING DISCLOSURES OF MATERIAL CHANGES TO SEBI

ALLEGED VIOLATION OF REGULATIONS 5(B) AND 23(1)(C) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,75,000 VIDE CONSENT ORDER)

05-JAN-2017
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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