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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 ENSURE COMPLIANCE WITH REGULATION 7B OF MF REGULATIONS REGARDING BOARD COMPOSITION ON OR BEFORE 31/12/2020

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person BANK OF BARODA  
  SPONSORED MORE THAN ONE MUTUAL FUND AND HOLD MORE THAN 10% SHAREHOLDING IN MORE THAN ONE AMC AND TRUSTEE COMPANY VIOLATING REGULATION 7B OF SEBI (MF) REGULATIONS, 1996  DIRECTED TO BROUGHT DOWN SHAREHOLDING AND VOTING RIGHTS OF UTI AMC AND UTI TRUSTEE BELOW 10% ON OR BEFORE 31/12/2020

DIRECTED TO ENSURE COMPLIANCE WITH REGULATION 7B OF MF REGULATIONS REGARDING BOARD COMPOSITION ON OR BEFORE 31/12/2020

06-DEC-2019
2 
History of entity/person LIFE INSURANCE CORP.OF INDIA  
  SPONSORED MORE THAN ONE MUTUAL FUND AND HOLD MORE THAN 10% SHAREHOLDING IN MORE THAN ONE AMC AND TRUSTEE COMPANY VIOLATING REGULATION 7B OF SEBI (MF) REGULATIONS, 1996  DIRECTED TO BROUGHT DOWN SHAREHOLDING AND VOTING RIGHTS OF UTI AMC AND UTI TRUSTEE BELOW 10% ON OR BEFORE 31/12/2020

DIRECTED TO ENSURE COMPLIANCE WITH REGULATION 7B OF MF REGULATIONS REGARDING BOARD COMPOSITION ON OR BEFORE 31/12/2020

06-DEC-2019
3 
History of entity/person STATE BANK OF INDIA  
  SPONSORED MORE THAN ONE MUTUAL FUND AND HOLD MORE THAN 10% SHAREHOLDING IN MORE THAN ONE AMC AND TRUSTEE COMPANY VIOLATING REGULATION 7B OF SEBI (MF) REGULATIONS, 1996  DIRECTED TO BROUGHT DOWN SHAREHOLDING AND VOTING RIGHTS OF UTI AMC AND UTI TRUSTEE BELOW 10% ON OR BEFORE 31/12/2020

DIRECTED TO ENSURE COMPLIANCE WITH REGULATION 7B OF MF REGULATIONS REGARDING BOARD COMPOSITION ON OR BEFORE 31/12/2020

06-DEC-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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