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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: FAILED TO REDRESS INVESTOR/CREDITORS COMPLAINTS

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

(PAN:AACCL4482A)  
History of entity/person ASHISH KUMAR JOSHI

(PAN:AAFPJ2088L)
History of entity/person KEDAR RAMESH DESHPANDE

(PAN:AAMPD7153P)
  		DID NOT MAINTAIN MINIMUM CORPUS OF CLIENTS TO MINIMUM REQUIREMENTS

HELD CLIENTS SECURITIES IN OWN NAME

DID NOT MAINTAIN RECORDS IN SUPPORT OF INVESTMENT TRANSACTIONS

DID NOT DEPLOY FUNDS RECEIVED FROM CLIENTS IN REASONABLE TIME

ALLOWED OUTSOURCING OF CORE ACTIVITIES

DID NOT MAINTAIN ARM’S LENGTH RELATIONSHIP BETWEEN HANDLING ACTIVITIES AS A PORTFOLIO MANAGER AND MANAGER OF AIF

OUTSOURCED ACTIVITY OF CARRYING OUT KYC REQUIREMENTS AND DID NOT OBTAIN REGISTRATION WITH CKYC AND KRA

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME  		IMPOSED PENALTY RS.7,00,000 ALONG WITH OTHER ENTITIES/PERSONS

30-AUG-2022
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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