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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.

UN-AUTHORISED PORTFOLIO MANAGERS: DIRECTED TO WIND UP ALL THE PORTFOLIO MANAGEMENT SCHEMES

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

(PAN:AABCL1849A)  
History of entity/person KUNJIRAMAN PILLAI

(PAN:ANCPP3867H)
History of entity/person SANTHOSH KUMAR K.L.

(PAN:AMOPK1159Q)
  		INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION  DIRECTED TO WIND UP ALL THE PORTFOLIO MANAGEMENT SCHEMES

DIRECTED TO REFUND ALL THE MONIES TO INVESTORS ALONG WITH INCOME, PROFITS OR RETURNS PROMISED UNDER THE SCHEMES

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-MAR-2016 TO 30-MAR-2026

DEBARRED FROM ACTING AS UN-REGISTERED PORTFOLIO MANAGER FROM 31-MAR-2016 TO 30-MAR-2026

DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO PORTFOLIO MANAGEMENT ACTIVITIES IN SECURITIES MARKET

DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS

DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS OWNED BY COMPANY

19-DEC-2013 		SEBI VIDE ITS ORDER DATED 31/03/2016 DIRECTED LEE CAPITAL SERVICES PVT.LTD. TO 1) REFUND THE MONIES COLLECTED FROM ITS CLIENTS AND OTHER INVESTORS THROUGH VARIOUS SCHEMES ALONG WITH INCOME, PROFITS OR RETURNS PROMISED TO THEM UNDER SUCH SCHEMES OR INTEREST AT @ 10% P.A., WHICHEVER IS HIGHER, FROM DATE OF INVESTMENT TILL DATE OF REFUND WITHIN A PERIOD OF SIXTY (60) DAYS 2) SUBMIT A REPAYMENT REPORT TO SEBI AS CERTIFIED BY TWO INDEPENDENT CHARTERED ACCOUNTS WHO ARE IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION 3) NOT TO SELL ASSETS EXCEPT ON A SPECIFIC REQUEST MADE IN WRITING TO SEBI 4) PROVIDE FULL INVENTORY OF ALL ASSETS AND PROPERTIES AND DETAILS OF ALL THEIR BANK ACCOUNTS, DEMAT ACCOUNTS AND HOLDINGS OF SHARES/SECURITIES, OR HELD IN PHYSICAL FORM 5) NOT TO DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE FURTHER RESTRAINED AND PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY IN WHATSOEVER MANNER, FROM DATE OF THIS ORDER, TILL EXPIRY OF TEN (10) YEARS FROM DATE OF COMPLETION OF REFUNDS TO INVESTORS

SEBI VIDE ITS NOTICE DATED 01/02/2018 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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