| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
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 |
|
|
SECURITY INVESTORS,LLC.
|
|
|
ALLEGED DELAY IN INFORMING SEBI IN STIPULATED TIME ABOUT NAME CHANGE FROM SECURITY MANAGEMANT COMPANY, LLC TO 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC AND THEREAFTER FROM 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC TO SECURITY INVESTORS, LLC
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,25,000 VIDE CONSENT ORDER)
22-SEP-2009
|
|
| 20 |
|
|
STATE STREET GLOBAL ADVISORS FRANCE
|
|
|
ALLEGED DELAY IN INFORMING SEBI IN STIPULATED TIME ABOUT NAME CHANGE FROM STATE STREET GESTION SA TO STATE STREET GLOBAL ADVISORS, FRANCE AS REQUIRED UNDER REGULATION 10 (C) OF SEBI(FII) REGULATIONS, 1995
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
22-FEB-2010
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
| |
| Page 1 of 2
|
