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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.

VENTURE CAPITAL FUNDS: REACHED SETTLEMENT (CONSENT ORDER)

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person NEW VERNON PRIVATE EQUITY LTD.  
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 7(1) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF ACQUISITION OF 18, 00,000 (6.84%) SHARES OF PRIME SECURITIES LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.10,000 VIDE CONSENT ORDER)

29-JAN-2009
2 
History of entity/person SMALL IS BEAUTIFUL  
  ALLEGED INVESTMENT IN ITS THREE ASSOCIATED COMPANIES VIOLATING REGULATIONS 12(C) AND 12(D) (II) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.37,50,000 VIDE CONSENT ORDER)

01-NOV-2012
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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