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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 21-NOV-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: CERTIFICATE OF REGISTRATION EXPIRED/SURRENDERED/CEASED/SUSPENDED

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person HARITA INVESTMENTS PVT.LTD.  
  REGISTRATION EXPIRED

DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION  		CANCELLED REGISTRATION AS PORTFOLIO MANAGER

14-JUL-1999
2 
History of entity/person J.M.SHARE & STOCK BROKERS LTD.  
  REGISTRATION EXPIRED

DID NOT FILE APPLICATION FOR RENEWAL OF REGISTRATION  		CANCELLED REGISTRATION AS PORTFOLIO MANAGER

14-JUL-1999
3 
History of entity/person ZURICH ASSET MANAGEMENT CO.(INDIA) PVT.LTD.  
  SURRENDERED CERTIFICATE OF REGISTRATION  CANCELLED REGISTRATION AS PORTFOLIO MANAGER

11-SEP-2003
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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