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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.

PERSONS: DID NOT MANAGE FUND IN INTEREST OF UNITHOLDERS

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person D.A.GADGIL  
History of entity/person SHRIRAM ASSET MANAGEMENT CO.LTD.
  		DID NOT ENSURE INVESTMENT OF FUNDS WAS CARRIED OUT AS A PRUDENT BUSINESSMAN AND IN THE BEST INTEREST OF THE UNITHOLDERS

DID NOT ENSURE INVESTMENT OF FUNDS DID NOT GIVE ANY UNDUE OR UNFAIR ADVANTAGE TO ENTITIES HAVING ASSOCIATION WITH SPONSORS AND MANAGED PORTFOLIO OF SCHEMES OF SHRIRAM MUTUAL FUND IN THE INTEREST OF ASSOCIATES OF SPONSORS AND NOT IN THE INTEREST OF ORDINARY UNITHOLDERS

DID NOT EXERCISE DUE DILIGENCE

PURCHASED SHARES FOR EXTRANEOUS CONSIDERATION OF BAILING OUT BROKERS FACING PAYMENT PROBLEMS FOR THEIR TRADING IN THE SHARES OF VIDEOCON INTERNATIONAL LTD. AND IN PURSUANCE OF CLANDESTINE BUYBACK ARRANGEMENT WITH VIDEOCON GROUP

CREATED FALSE DOCUMENTARY EVIDENCE WITH A VIEW TO MISLEAD THE INVESTIGATIONS BY PREPARING ANTE-DATED CORRESPONDENCE BETWEEN SHRIRAM MUTUAL FUND AND THE BROKER TO GIVE AN IMPRESSION THAT THE SHARES WERE PURCHASED ON A DATE DIFFERENT FROM THE ACTUAL DATE OF TRANSACTION  		RESTRAINED FROM HOLDING ANY POSITION OF DIRECTOR/TRUSTEE OF CAPITAL MARKET RELATED INSTITUTIONS/ENTITIES/PUBLIC POSITIONS FROM 24-OCT-2002 TO 23-OCT-2003

24-OCT-2002 		SAT: APPEAL ALLOWED BY WAY OF REMAND
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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