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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.

COMPANIES: DIRECTED TO DISCHARGE ALL THE OBLIGATIONS, AS REQUIRED UNDER SEBI (INVESTMENT ADVISER) REGULATIONS, 2013 TOWARDS EXISTING CLIENTS IN RESPECT OF INVESTMENT ADVISORY SERVICES

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person CAPITAL HEED FINANCIAL RESEARCH

(PAN:BUXPS9559Q)  
History of entity/person SHAILENDRA SEN

(PAN:BUXPS9559Q)
  		INDULGED IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION  DIRECTED TO CEASE & DESIST FROM SOLICITING/ACQUIRING FRESH CLIENTS FOR INVESTMENT ADVISORY SERVICES, DIRECTLY OR INDIRECTLY

DIRECTED TO CEASE & DESIST FROM OFFERING NEW INVESTMENT ADVISORY SERVICES TO ITS EXISTING CLIENTS FOR WHICH FRESH PAYMENT IS REQUIRED TO BE MADE BY THE CLIENTS

DIRECTED TO DISCHARGE ALL THE OBLIGATIONS, AS REQUIRED UNDER SEBI (INVESTMENT ADVISER) REGULATIONS, 2013 TOWARDS EXISTING CLIENTS IN RESPECT OF INVESTMENT ADVISORY SERVICES

RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 01-JUN-2021 TO 31-MAY-2024

DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS

DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS

18-NOV-2019 		SEBI VIDE ITS ORDER DATED 01/06/2021 DIRECTED TO A) RESTRAIN FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER, FOR THREE YEARS FROM DATE OF THIS ORDER 2) RESOLVED THE COMPLAINTS PENDING IN THE SCORES AND OTHERWISE, WITHIN 30 DAYS FROM DATE OF THIS ORDER 3) FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT CERTIFYING ALL THE COMPLAINTS HAVE BEEN RESOLVED 4) DURING THE PERIOD OF RESTRAINT, EXISTING HOLDING OF SECURITIES INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN
2 
History of entity/person STAR INDIA MARKET RESEARCH

(PAN:AJZPL7369K)  
History of entity/person DHARMENDRA KUMAR LODHI

(PAN:AJZPL7369K)
  		DID NOT RENDER ADVISORY SERVICES NOR REFUNDED MONEY VIOLATING REGULATION 15(1) OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013

DID NOT SUBMIT CORRECT INFORMATION TO SEBI TO OBTAIN REGISTRATION AS INVESTMENT ADVISER VIOLATING REGULATION 13 OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013  		DIRECTED TO CEASE & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 13-NOV-2019 TILL FURTHER ORDERS

DIRECTED TO CEASE & DESIST FROM OFFERING NEW INVESTMENT ADVISORY SERVICES TO ITS EXISTING CLIENTS FOR WHICH FRESH PAYMENT IS REQUIRED TO BE MADE BY THE CLIENTS

DIRECTED TO DISCHARGE ALL THE OBLIGATIONS, AS REQUIRED UNDER SEBI (INVESTMENT ADVISER) REGULATIONS, 2013 TOWARDS EXISTING CLIENTS IN RESPECT OF INVESTMENT ADVISORY SERVICES

13-NOV-2019
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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