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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 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: VIOLATED SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person DYNAMIC INDIA FUND III  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019
2 
History of entity/person DYNAMIC INDIA FUND III  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019
3 
History of entity/person DYNAMIC INDIA FUND III  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

29-NOV-2019
4 
History of entity/person DYNAMIC INDIA FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019
5 
History of entity/person DYNAMIC INDIA FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019
6 
History of entity/person DYNAMIC INDIA FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

29-NOV-2019
7 
History of entity/person ICICI VENTURE FUNDS MANAGEMENT CO.LTD.  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019
8 
History of entity/person ICICI VENTURE FUNDS MANAGEMENT CO.LTD.  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019
9 
History of entity/person ICICI VENTURE FUNDS MANAGEMENT CO.LTD.  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

29-NOV-2019
10 
History of entity/person INDIA ADVANTAGE FUND III  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019
11 
History of entity/person INDIA ADVANTAGE FUND III  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019
12 
History of entity/person INDIA ADVANTAGE FUND III  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

29-NOV-2019
13 
History of entity/person INDIA ADVANTAGE FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019
14 
History of entity/person INDIA ADVANTAGE FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

02-DEC-2019
15 
History of entity/person INDIA ADVANTAGE FUND IV  
  ALLEGED MISREPRESENTATION TO INVESTORS WITH REGARD TO REGISTRATION STATUS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED DEFAULT IN PROPOSAL FOR EXTENSION, LIQUIDITY AND CONSENT OF INVESTORS VIOLATING REGULATIONS 4(1), 4(2)(F) AND 4(2)(K) OF SEBI PFUTP REGULATIONS, 2003

ALLEGED MANAGEMENT OF FUNDS NOT IN ACCORDANCE WITH TERMS AND CONDITIONS SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 16(1) (A) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,21,92,635 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

29-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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