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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: REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM ISSUING OF NEW SCHEMES FOR A PERIOD OF ONE YEAR)

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person JP MORGAN ASSET MANAGEMENT INDIA PVT.LTD.  
  ALLEGED MUTUAL FUND OFFER DOCUMENT CONTAINED INCORRECT SCHEME NAME AND INFORMATION AND EVEN UNITS WERE ALLOTTED UNDER THE INCORRECT SCHEME NAME VIOLATING REGULATIONS 31 OF SEBI (MUTUAL FUNDS)

ALLEGED ISSUANCE OF SCHEME INFORMATION DOCUMENT WITHOUT MENTIONING OPENING AND CLOSING DATE OF NFO

ALLEGED LATE LISTING OF UNITS VIOLATING REGULATIONS 32 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.91,80,000 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM ISSUING OF NEW SCHEMES FOR A PERIOD OF ONE YEAR) FROM 29-MAR-2017 TO 28-MAR-2018

29-MAR-2017
2 
History of entity/person JP MORGAN MUTUAL FUND INDIA PVT.LTD.  
  ALLEGED MUTUAL FUND OFFER DOCUMENT CONTAINED INCORRECT SCHEME NAME AND INFORMATION AND EVEN UNITS WERE ALLOTTED UNDER THE INCORRECT SCHEME NAME VIOLATING REGULATIONS 31 OF SEBI (MUTUAL FUNDS)

ALLEGED ISSUANCE OF SCHEME INFORMATION DOCUMENT WITHOUT MENTIONING OPENING AND CLOSING DATE OF NFO

ALLEGED LATE LISTING OF UNITS VIOLATING REGULATIONS 32 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.91,80,000 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM ISSUING OF NEW SCHEMES FOR A PERIOD OF ONE YEAR) FROM 29-MAR-2017 TO 28-MAR-2018

29-MAR-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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