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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 (PORTFOLIO MANAGERS) REGULATIONS, 1993

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ASIAN CORPORATE CONSULTANCY  
History of entity/person DILIP ANANTRAI DESAI
  		ALLEGED VIOLATION OF REGULATION 3 OF SEBI (PORTFOLIO MANAGER) REGULATIONS, 1993 READ WITH SECTION 12(1) OF SEBI ACT, 1992 IN MATTER OF ASIAN CORPORATE CONSULTANCY  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

06-NOV-2018
2 
History of entity/person HDFC ASSET MANAGEMENT CO.LTD.  
  ALLEGED FAILURE IN ITS OBLIGATION WITH RESPECT TO ACTS OF FRONT RUNNING BY ITS EMPLOYEES  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)

30-SEP-2011
3 
History of entity/person HDFC TRUSTEE CO.LTD.  
  ALLEGED FAILURE IN ITS OBLIGATION OF CERTIFICATION TO THE EFFECT THAT THERE HAVE BEEN NO INSTANCES OF FRONT RUNNING BY ANY OF ITS KEY PERSONS  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.20,00,000 VIDE CONSENT ORDER)

30-SEP-2011
4 
History of entity/person INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.

(PAN:AACCG3908J)  
History of entity/person KRISHNA CHEEMALAPATI

(PAN:ADHPC3794M)
History of entity/person NITISH SIKAND

(PAN:ATZPS0141C)
History of entity/person SAURABH NANAVATI

(PAN:AAVPN8344D)
History of entity/person SUJOY DAS

(PAN:AFGPD4797N)
History of entity/person SURESH JAKHOTIYA

(PAN:ABBPJ0750A)
  		ALLEGED FAILURE IN SEGREGATION OF ACTIVITIES BETWEEN PORTFOLIO MANAGEMENT AND MUTUAL FUND ACTIVITIES IN THE MATTER OF INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.

ALLEGED FAILURE TO MAINTAIN ADEQUATE INFRASTRUCTURE, MANPOWER WITH PORTFOLIO MANAGER FOR EFFECTIVELY DISCHARGING ACTIVITIES

ALLEGED FAILURE TO MAINTAIN ARMS-LENGTH RELATIONSHIP WITH INVESCO MUTUAL FUND ARM BY CLEARLY SEGREGATING ITS ACTIVITIES AS PORTFOLIO MANAGER/INVESTMENT ADVISER FROM MUTUAL FUND ACTIVITY

ALLEGED FAILURE TO ENSURE THAT INVESTMENTS ARE DONE TO ACHIEVE OBJECTIVES OF SCHEME BY APPLYING INDEPENDENT BUSINESS JUDGMENT AND IN INTEREST OF UNITHOLDERS IN CERTAIN INVESTMENTS  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,98,55,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

24-APR-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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