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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.

UN-AUTHORISED PORTFOLIO MANAGERS: REACHED SETTLEMENT (CONSENT ORDER)

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person CITIBANK N.A.

(PAN:AAACC0462F)  
  ALLEGED UTILISATION OF FORGE PORTFOLIO STATEMENT & BANK STATEMENTS OF CLIENTS VIOLATION REGULATION 3 OF SEBI (PORTFOLIO MANAGERS) REGULATIONS, 1993 READ WITH SECTION 12(1) OF SEBI ACT, 1992

ALLEGED FAILURE IN MAKING ADEQUATE CONTROL & SUPERVISION OVER ITS EMPLOYEE IN CONDUCTING ACTIVITIES OF UNREGISTERED PORTFOLIO MANAGER  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,50,72,263 VIDE CONSENT ORDER)

29-MAR-2019
2 
History of entity/person GSB SECURITIES PVT.LTD.

(PAN:AAACG9905H)  
  ALLEGED INDULGENCE IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.28,00,000 VIDE CONSENT ORDER)

31-OCT-2012
3 
History of entity/person S.RAJESH,M/S  
History of entity/person S.RAJESH
  		ALLEGED INDULGENCE IN ACTIVITY OF PORTFOLIO MANAGER WITHOUT SEBI REGISTRATION  REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)

14-NOV-2008
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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