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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.

FOREIGN INSTITUTIONAL INVESTORS: REACHED SETTLEMENT (CONSENT ORDER)

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person ALLIANCE BERNSTEIN L.P.  
  ALLEGED DELAY IN INTIMATING NAME CHANGE OF FOUR SUB-ACCOUNTS UNDER REGULATION 13 (1) (E) OF SEBI (FII) REGULATIONS, 1995  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.10,00,000, LEGAL EXPENSES RS.25,000 VIDE CONSENT ORDER)

20-MAR-2009
2 
History of entity/person ALLIANZ VARIABLE INSURANCE PRODUCTS TRUST  
  ALLEGED DELAY IN INFORMING SEBI IN STIPULATED TIME ABOUT NAME CHANGE FROM US ALLIANZ VARIABLE INSURANCE PRODUCTS TRUST TO ALLIANZ VARIABLE INSURANCE PRODUCTS TRUST AS REQUIRED UNDER REGULATION 10 (C) OF SEBI(FII) REGULATIONS, 1995  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,00,000 VIDE CONSENT ORDER)

24-MAY-2010
3 
History of entity/person AMERICAN BEACON EMERGING MARKETS FUND  
  ALLEGED DELAY IN INFORMING SEBI ABOUT CHANGE OF ITS NAME AND OF ITS TWO SUB ACCOUNTS AS REQUIRED UNDER REGULATIONS 10(C) AND 13(1) OF SEBI (FII) REGULATIONS, 1995 IN MATTER OF AMERICAN BEACON EMERGING MARKETS FUND  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)

13-JAN-2010
4 
History of entity/person CITIGROUP GLOBAL MARKETS MAURITIUS PVT.LTD.

(PAN:AAFCS3274C)  
  ALLEGED FAILURE IN COMPLYING WITH REPORTING STANDARDS PRESCRIBED BY SEBI VIDE CIRCULAR NO.IMD/CUST/15/2004 DATED 02/04/2004 ISSUED UNDER REGULATION 20A OF FII REGULATIONS, 1995  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,00,000 VIDE CONSENT ORDER)

09-APR-2013
5 
History of entity/person COMMERZBANK (SOUTH EAST ASIA) LTD.  
  ALLEGED INDULGENCE IN INVESTMENTS ON BEHALF OF 17 CLIENTS WITHOUT OBTAINING REGISTRATION FOR THESE CLIENTS AS SUB-ACCOUNTS VIOLATING REGULATIONS 10(F) AND 12(1) OF SEBI (FII) REGULATIONS, 1995  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,26,00,000 VIDE CONSENT ORDER)

14-FEB-2011
6 
History of entity/person CREDIT AGRICOLE ASSET MANAGEMENT  
  ALLEGED DELAY IN INFORMING SEBI ABOUT NAME CHANGE OF ITS SUB ACCOUNTS VIOLATING REGULATION 13(1) (E) OF SEBI (FII) REGULATIONS, 1995  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

11-SEP-2009
7 
History of entity/person DWS GLOBAL/INTERNATIONAL FUND,INC.  
  ALLEGED DELAY IN INFORMING SEBI ABOUT CHANGE OF ITS NAME AND OF ITS SUB ACCOUNT AS REQUIRED UNDER REGULATIONS 10(C) AND 13(1) OF SEBI (FII) REGULATIONS, 1995 IN MATTER OF DWS GLOBAL/INTERNATIONAL FUND INC. AND DWS VARIABLE SERIES I  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.40,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

04-JUN-2010
8 
History of entity/person DWS SECURITIES TRUST  
  ALLEGED DELAY IN INFORMING SEBI ABOUT CHANGE OF ITS NAME AND OF ITS SUB ACCOUNT AS REQUIRED UNDER REGULATIONS 10(C) AND 13(1) OF SEBI (FII) REGULATIONS, 1995 IN MATTER OF DWS GLOBAL/INTERNATIONAL FUND INC. AND DWS VARIABLE SERIES I  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.40,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

04-JUN-2010
9 
History of entity/person DWS VARIABLE SERIES I  
  ALLEGED DELAY IN INFORMING SEBI ABOUT CHANGE OF ITS NAME AND OF ITS SUB ACCOUNT AS REQUIRED UNDER REGULATIONS 10(C) AND 13(1) OF SEBI (FII) REGULATIONS, 1995 IN MATTER OF DWS GLOBAL/INTERNATIONAL FUND INC. AND DWS VARIABLE SERIES I  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.40,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

04-JUN-2010
10 
History of entity/person FIDELITY MANAGEMENT & RESEARCH CO.  
  ALLEGED DELAY IN INFORMING SEBI ABOUT NAME CHANGE FROM FIDELITY DESTINY PORTFOLIOS : DESTINY I TO FIDELITY DESTINY PORTFOLIOS: FIDELITY ADVISOR DIVERSIFIED STOCK FUND  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,25,000 VIDE CONSENT ORDER)

08-SEP-2009
11 
History of entity/person FLEDGLING NOMINEES INTERNATIONAL LTD.  
  ALLEGED FAILURE IN EXERCISING DUE DILIGENCE IN RESPECT OF REGISTRATION OF CLIENTS AS REQUIRED UNDER SEBI (FII) REGULATIONS, 1995

ALLEGED FAILURE IN PROVIDING CLIENT INFORMATION TO SEBI AS REQUIRED UNDER REGULATIONS 7A(2),15,20 AND 20A OF SEBI (FII) REGULATIONS, 1995  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.60,00,000 VIDE CONSENT ORDER)

26-APR-2010
12 
History of entity/person GEOMATRIX (HK) LTD.  
  ALLEGED INDULGENCE IN SUBMISSION OF FALSE INFORMATION RELATED TO STRUCTURE OF CERTAIN SUB-ACCOUNTS BY PROVIDING INCORRECT "DECLARATION AND UNDERTAKING" WHILE SEEKING REGISTRATION  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.17,00,000 VIDE CONSENT ORDER)

26-DEC-2012
13 
History of entity/person JP MORGAN INDIA INVESTMENT TRUST PLC  
  ALLEGED DELAY IN INTIMATING NAME CHANGE OF SUB-ACCOUNT FROM J.P.MORGAN FLEMING INDIA INVESTMENT CO.(MAURITIUS) LTD.TO J.P.MORGAN INDIAN INVESTMENT TRUST PLC  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)

30-DEC-2008
14 
History of entity/person JP MORGAN INVESTMENT MANAGEMENT INC.  
  ALLEGED FAILURE IN NOTIFYING CHANGE OF SUB-ACCOUNT FROM J.P.MORGAN FLEMING EMERGING MARKETS EQUITY FUND TO J.P.MORGAN EMERGING MARKETS EQUITY FUND  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000, ADMINISTRATION CHARGES RS.25,000 VIDE CONSENT ORDER)

18-AUG-2009
15 
History of entity/person MARATHON–LONDON GLOBAL INVESTMENT TRUST I,THE  
  ALLEGED DELAY IN INFORMING SEBI ABOUT CHANGE OF ITS NAME AS REQUIRED UNDER REGULATIONS 10(C) OF SEBI (FII) REGULATIONS, 1995  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,06,597 VIDE CONSENT ORDER)

31-OCT-2018
16 
History of entity/person MERRILL LYNCH CAPITAL MARKETS ESPANA S.A.,S.V.  
  ALLEGED INDULGENCE IN TRADING IN CASH AND F&O SEGMENT DURING MAY, 2004 ON BEHALF OF CLIENTS WHICH WERE MOSTLY HEDGE FUNDS AND ALSO EXECUTING TRADES IN THEIR PROPRIETARY ACCOUNT VIOLATING REGULATIONS 20 AND 20 A OF SEBI (FII) REGULATIONS, 1995, CLAUSES 1,2,5 AND 6 OF CODE OF CONDUCT AS SPECIFIED IN REGULATION 7A OF SEBI (FII) REGULATIONS, 1995  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.60,00,000 VIDE CONSENT ORDER)

13-MAY-2011
17 
History of entity/person NEW STAR EMERGING MARKETS FUND  
  ALLEGED DELAY IN INFORMING SEBI ABOUT NAME CHANGE FROM WORLD INVEST EMERGING MARKETS FUND TO NEW STAR EMERGING MARKETS FUND  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)

08-SEP-2009
18 
History of entity/person RBS ASIA LTD.  
  ALLEGED FAILURE IN EXERCISING DUE DILIGENCE IN RESPECT OF REGISTRATION OF CLIENTS, ISSUED PARTICIPATERY NOTES WITHOUT COMPLYING WITH KYC DIRECTIVES/INSTRUCTIONS/GUIDELINES, UNDERTOOK SHORT SALES IN TWO SCRIPS AND DID NOT PROVIDE CLIENT INFORMATION TO SEBI VIOLATING REGULATIONS 7A(2),15(3)(A),15A(1) AND (2),20 AND 20A OF SEBI (FII) REGULATIONS, 1995  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.60,00,000 VIDE CONSENT ORDER)

24-JUN-2010
19 
History of entity/person SANSAR CAPITAL (MAURITIUS) LTD.  
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GITANJALI GEMS LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

23-DEC-2009
20 
History of entity/person SANSAR CAPITAL MANAGEMENT,LLC  
  ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GITANJALI GEMS LTD.  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

23-DEC-2009
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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