| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
DILIP ANANTRAI DESAI
|
|
|
|
ASIAN CORPORATE CONSULTANCY
|
|
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 |
|
|
KRISHNA CHEEMALAPATI
(PAN:ADHPC3794M)
|
|
|
|
INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.
(PAN:AACCG3908J)
|
|
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
|
|
| 3 |
|
|
NALIN PASRICHA
(PAN:AADPP9618A)
|
|
|
ALLEGED INDULGENCE IN SENDING SIGNALS DIRECTLY TO THE BROKERS OF THE CLIENT’S VIOLATING SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3 OF SEBI (PORTFOLIO MANAGER) REGULATIONS, 1993
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.54,40,000 VIDE CONSENT ORDER)
04-JUN-2015
|
|
| 4 |
|
|
NITISH SIKAND
(PAN:ATZPS0141C)
|
|
|
|
INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.
(PAN:AACCG3908J)
|
|
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
|
|
| 5 |
|
|
SAURABH NANAVATI
(PAN:AAVPN8344D)
|
|
|
|
INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.
(PAN:AACCG3908J)
|
|
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
|
|
| 6 |
|
|
SUJOY DAS
(PAN:AFGPD4797N)
|
|
|
|
INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.
(PAN:AACCG3908J)
|
|
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
|
|
| 7 |
|
|
SURESH JAKHOTIYA
(PAN:ABBPJ0750A)
|
|
|
|
INVESCO ASSET MANAGEMENT (INDIA) PVT.LTD.
(PAN:AACCG3908J)
|
|
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. |
