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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: PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR CONTRACT OR LAUNCH A NEW SCHEME

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person JYOTI MORE

(PAN:BBFPM4285C)  
History of entity/person MARKET JOURNAL,THE

(PAN:BBFPM4285C)
  		ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION

NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR  		PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR CONTRACT OR LAUNCH A NEW SCHEME FROM 27-APR-2023 TO 26-APR-2024

27-APR-2023
2 
History of entity/person RAJIV KUMAR SINGH

(PAN:BZZPS6587H)  
History of entity/person ELITE INVESTMENT ADVISORY SERVICES

(PAN:BZZPS6587H)
  		DID NOT SUBMIT MATERIAL INFORMATION TO SEBI

DID NOT MAINTAIN REGISTER WITH CKYC AGENCY CERSAI AND DID NOT EXECUTE RESPONSIBILITIES TOWARDS MAINTENANCE OF KYC RECORDS WITH CERSAI

DID NOT ASSESS SUITABILITY OF INVESTMENT ADVICE AND MAINTAIN APPROPRIATE STANDARDS OF CONDUCT

DID NOT CO-OPERATE WITH SEBI IN INSPECTION

DID NOT PROVIDE INFORMATION TO SEBI

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME  		PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR CONTRACT OR LAUNCH A NEW SCHEME FROM 29-MAY-2024 TO 28-NOV-2024

29-MAY-2024
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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