| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
BNP PARIBAS ARBITRAGE
(PAN:AAGFB5324G)
|
|
|
ALLEGED INCORRECT REPORTING OF OFFSHORE DERIVATIVE INSTRUMENTS (ODI) IN MONTHLY REPORTS VIOLATING REGULATION 22 OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,35,000 VIDE CONSENT ORDER)
26-SEP-2019
|
|
| 2 |
|
|
BNP PARIBAS ARBITRAGE
|
|
|
ALLEGED VIOLATION OF REGULATION 21 OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014 AND CLAUSE 3(IV) OF (V) OF PART D OF SEBI OPERATIONAL GUIDELINES ISSUED VIDE CIRCULAR DATED 05/11/2019
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,08,000 VIDE CONSENT ORDER)
17-NOV-2022
|
|
| 3 |
|
|
CREDIT SUISSE (SINGAPORE) LTD.
(PAN:AACCC7328N)
|
|
|
ALLEGED INCORRECT REPORTING OF OFFSHORE DERIVATIVE INSTRUMENTS (ODI) IN MONTHLY REPORTS VIOLATING REGULATION 22 OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,35,000 VIDE CONSENT ORDER)
30-OCT-2019
|
|
| 4 |
|
|
FIDELITY FUNDS – INSTITUTIONAL ASIA PACIFIC (EX-JAPAN) FUND
(PAN:AABCF0852D)
|
|
|
ALLEGED FAILURE IN FULFILMENT OF BROAD BASED FUND CRITERIA VIOLATING REGULATIONS 10(C) AND 31(1) (A) (I) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995
ALLEGED DELAY IN MAKING DISCLOSURES OF MATERIAL CHANGES TO SEBI
ALLEGED VIOLATION OF REGULATIONS 5(B) AND 23(1)(C) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,20,00,000 VIDE CONSENT ORDER)
05-JAN-2017
|
|
| 5 |
|
|
FIDELITY FUNDS - INSTITUTIONAL HONG KONG OPPORTUNITIES POOL
(PAN:AABCF1923B)
|
|
|
ALLEGED FAILURE IN FULFILMENT OF BROAD BASED FUND CRITERIA VIOLATING REGULATIONS 10(C) AND 31(1) (A) (I) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995
ALLEGED DELAY IN MAKING DISCLOSURES OF MATERIAL CHANGES TO SEBI
ALLEGED VIOLATION OF REGULATIONS 5(B) AND 23(1)(C) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.9,75,000 VIDE CONSENT ORDER)
05-JAN-2017
|
|
| 6 |
|
|
GEOSPHERE (MAURITIUS) FUND LTD.
|
|
|
ALLEGED VIOLATION OF REGULATION 10(C) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS 1995 READ WITH REGULATION 47(3) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.23,98,151 VIDE CONSENT ORDER)
30-NOV-2018
|
|
| 7 |
|
|
GOLDMAN SACHS (SINGAPORE) PTE.
(PAN:AAFCG0345N)
|
|
|
ALLEGED INCORRECT REPORTING OF OFFSHORE DERIVATIVE INSTRUMENTS (ODI) IN MONTHLY REPORTS VIOLATING REGULATION 22 OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,35,000 VIDE CONSENT ORDER)
26-SEP-2019
|
|
| 8 |
|
|
GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LTD.
(PAN:AACCG3025G)
|
|
|
ALLEGED INCORRECT REPORTING OF OFFSHORE DERIVATIVE INSTRUMENTS (ODI) IN MONTHLY REPORTS VIOLATING REGULATION 22 OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,35,000 VIDE CONSENT ORDER)
26-SEP-2019
|
|
| 9 |
|
|
NALANDA INDIA EQUITY FUND LTD.
|
|
|
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL AND SUBMITTED INCORRECT GROUPING DETAILS VIOLATING CLAUSES (1), (2), (5) AND (6) OF SCHEDULE III READ WITH REGULATIONS 23 OF SEBI (FPI) REGULATIONS, 2019 READ WITH REGULATION 24 OF SEBI (FPI) REGULATIONS, 2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.73,95,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-FEB-2022
|
|
| 10 |
|
|
NALANDA INDIA FUND LTD.
|
|
|
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL AND SUBMITTED INCORRECT GROUPING DETAILS VIOLATING CLAUSES (1), (2), (5) AND (6) OF SCHEDULE III READ WITH REGULATIONS 23 OF SEBI (FPI) REGULATIONS, 2019 READ WITH REGULATION 24 OF SEBI (FPI) REGULATIONS, 2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.73,95,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-FEB-2022
|
|
| 11 |
|
|
PATHWAY FINANCE SOCIETE A RESPONSABILITE LIMITEE
(PAN:AAFCR9470H)
|
|
|
ALLEGED FAILURE IN INFORMING SEBI ABOUT CHANGES OF ITS REGISTERED OFFICE FROM LUXEMBOURG TO SWITZERLAND AND ITS OWNERSHIP STRUCTURE VIOLATING SECTION 12(1A) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(1),23(1)(C) AND 2(1)(I) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,35,000 VIDE CONSENT ORDER)
30-SEP-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
