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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.

MUTUAL FUNDS: VIOLATIONS SPECIFIED IN EARLIER SEBI/NSE ORDERS/CIRCULARS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person J.P.MORGAN MUTUAL FUND  
  ALLEGED VIOLATION OF REGULATIONS 18(15A), 25(3), 25(16) AND 25(19) READ WITH CLAUSES 4, 6, 8 AND 9 OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE AND REGULATION 47 READ WITH CALUSES (A) & (B) OF PRINCIPLES OF FAIR VALUATION AS SPECIFIED IN EIGHTH SCHEDULE VIOLATING OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF AMTEK AUTO LTD.

ALLEGED VIOLATION OF REGULATIONS 18(15A), 25(3) AND 25(16) READ WITH CLAUSES 6, 8 AND 9 OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE AND REGULATION 50(1) AND CLAUSE 1 OF SEVENTH SCHEDULE VIOLATING OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF AMTEK AUTO LTD.

VIOLATED SEBI CIRCULAR NO. SEBI/IMD/CIR NO.5/126096/08 03/05/2008  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,07,02,400 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

26-MAR-2018
2 
History of entity/person J.P.MORGAN MUTUAL FUND  
  ALLEGED VIOLATION OF REGULATIONS 18(15A), 25(3), 25(16) READ WITH CLAUSES 6, 8 AND 9 OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE AND REGULATION 50(1) AND CLAUSE 1 OF SEVENTH SCHEDULE VIOLATING OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996

DID NOT ADHERE TO SEBI CIRCULAR NO. SEBI/IMD/CIR NO.5/126096/08 DATED 23/05/2008  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.27,20,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

27-MAR-2018
3 
History of entity/person SBI MUTUAL FUND

(PAN:AAACS7339D)  
  ALLEGED FAILURE IN EXERCISING DUE DILIGENCE AND PROPER CARE IN CONDUCT OF ITS BUSINESS VIOLATING OF CLAUSES 6, 8 AND 9 OF CODE OF CONDUCT PRESCRIBED FOR TRUSTEES AND ASSET MANAGEMENT COMPANIES READ WITH REGULATIONS 18(22), 25(16), 25(2), 25(3) AND 50(2) OF SEBI (MUTUAL FUND) REGULATIONS, 1996 IN MATTER OF PADMINI TECHNOLOGIES LTD.

ALLEGED PURCHASE OF SHARES IN OFF-MARKET TRANSACTIONS VIOLATING SEBI CIRCULAR NO.SMDRP/POLICY/CIR/32/99 DATED 14/09/1999  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,05,12,795, PAID TO OTHERS RS.62,04,510 VIDE CONSENT ORDER)

28-SEP-2018
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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