| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ANKHI DAS
(PAN:ADQPD6606A)
|
|
|
|
VENTURE GURUKOOL INVESTMENT TRUST
(PAN:AADTV0339A)
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 25% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY DECCAN HEALTH CARE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-JUL-2024
|
|
| 2 |
|
|
ANUJ RANJAN
(PAN:AUTPR5763Q)
|
|
|
|
PENBROOK CAPITAL ADVISORS PVT.LTD.
(PAN:AAGCP3459B)
|
|
ALLEGED FAILURE IN CONTINUING INTEREST OF RS.5.0 CRORE IN FORM OF INVESTMENT AND EXTENSION OF TENURE OF FUND MORE THAN PERMISSIBLE PERIOD (4 YEARS + 1 YEAR) IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 7(1)(A) READ WITH SEBI CIRCULAR NO.CIR/IMD/DF/14/2014 DATED 19/06/2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.63,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JAN-2022
|
|
| 3 |
|
|
ANUPAM SINGHI
(CIN:ANKPD7583J)
|
|
|
|
ONEIL CAPITAL TRUST
(PAN:AAATW5453D)
|
|
|
ONEIL CAPITAL MANAGEMENT INDIA PVT.LTD.
(PAN:AADFW1831G)
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY FOR THE GREAT EASTERN SHIPPING CO.LTD. AND ITC LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.22,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JAN-2024
|
|
| 4 |
|
|
ARUNMOZHI GOPALAN
(PAN:AIJPA0575F)
|
|
|
ALLEGED NON COMPLIANCE OF SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013 IN MATTER OF HBJ CAPITAL SERVICES LTD. LTD.
ALLEGED NON COMPLIANCE OF SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3 OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF HBJ CAPITAL SERVICES LTD. LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.71,71,875 VIDE CONSENT ORDER)
24-SEP-2019
|
|
| 5 |
|
|
CHETAN DESAI
(PAN:AACPD5693G)
|
|
|
|
PENBROOK CAPITAL ADVISORS PVT.LTD.
(PAN:AAGCP3459B)
|
|
ALLEGED FAILURE IN CONTINUING INTEREST OF RS.5.0 CRORE IN FORM OF INVESTMENT AND EXTENSION OF TENURE OF FUND MORE THAN PERMISSIBLE PERIOD (4 YEARS + 1 YEAR) IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 7(1)(A) READ WITH SEBI CIRCULAR NO.CIR/IMD/DF/14/2014 DATED 19/06/2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.63,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JAN-2022
|
|
| 6 |
|
|
CHRISTOPHER VINOD
(PAN:AAUPC3243M)
|
|
|
ALLEGED INVESTMENT IN MUTUAL FUNDS CATEGORIZED AS LARGE CAPITAL FUNDS
ALLEGED FAILURE IN MAKING DISCLOSURE TO INVESTORS THE LEVEL OF LEVERAGE ARISING FROM POSITION HELD IN FUTURES
ALLEGED DELAY IN OBTAINING SCORES LOGIN AND PASSWORD
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.49,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-AUG-2023
|
SEBI VIDE ITS ORDER DATED 18/12/2023 DISPOSED OF THE APPEAL AS THE SETTLEMENT AMOUNT OF RS.49.40 LAC HAS BEEN PAID AS PER THE SETTLEMENT ORDER DATED 01/08/2023 READ WITH ADDENDUM DATED 05/12/2023
|
| 7 |
|
|
DINESH S.KANODIA
(PAN:AEHPK9440F)
|
|
|
ALLEGED FAILURE TO COMPLY WITH REGULATIONS 15(1)(C) READ WITH 20(1) AND 20(5) READ WITH CLAUSE 2(A) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.16,08,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-APR-2024
|
|
| 8 |
|
|
GAURAV AGGARWAL
(PAN:BHUPA5595E)
|
|
|
|
KOTAK ALTERNATE ASSET MANAGERS LTD.
(PAN:AAACK5933H)
|
|
|
KOTAK ALTERNATE ASSETS FUND III
(PAN:AADTK5968J)
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY FOR INDIAN RAILWAY FINANCIAL CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,87,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JAN-2024
|
|
| 9 |
|
|
GOKULRAJ PONNURAJ
(PAN:AOWPG7071H)
|
|
|
ALLEGED NON COMPLIANCE OF SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013 IN MATTER OF HBJ CAPITAL SERVICES LTD. LTD.
ALLEGED NON COMPLIANCE OF SECTION 12(1) OF SEBI ACT, 1992 READ WITH REGULATION 3 OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF HBJ CAPITAL SERVICES LTD. LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.86,06,250 VIDE CONSENT ORDER)
24-SEP-2019
|
|
| 10 |
|
|
GOVINDASAMY MARAN
(PAN:AGWPM7938H)
|
|
|
ALLEGED INVESTMENT IN MUTUAL FUNDS CATEGORIZED AS LARGE CAPITAL FUNDS
ALLEGED FAILURE IN MAKING DISCLOSURE TO INVESTORS THE LEVEL OF LEVERAGE ARISING FROM POSITION HELD IN FUTURES
ALLEGED DELAY IN OBTAINING SCORES LOGIN AND PASSWORD
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.49,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-AUG-2023
|
SEBI VIDE ITS ORDER DATED 18/12/2023 DISPOSED OF THE APPEAL AS THE SETTLEMENT AMOUNT OF RS.49.40 LAC HAS BEEN PAID AS PER THE SETTLEMENT ORDER DATED 01/08/2023 READ WITH ADDENDUM DATED 05/12/2023
|
| 11 |
|
|
HORMUZ ASPY BULSARA
(PAN:AAAPB5385R)
|
|
|
ALLEGED VIOLATION OF REGULATION 20(1) READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT AS SPECIFIED IN FOURTH SCHEDULE OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-MAY-2024
|
|
| 12 |
|
|
JAYESH RAMNIKLAL DESAI
(PAN:AAMPD4038P)
|
|
|
|
PIRAMAL INVESTMENT ADVISORY SERVICES PVT.LTD.
(PAN:AAHCP2291G)
|
|
ALLEGED VIOLATION OF REGULATIONS 10(D), 13, 27 (1) (D) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 AND SEBI MASTER CIRCULAR NO.CIR/ISD/AML/3/2010 DATED 31/12/2010 IN MATTER OF PIRAMAL INVESTMENT OPPORTUNITIES FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.76,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUN-2021
|
|
| 13 |
|
|
KRISHNAMURTHY NARENDRANATH
(PAN:AAAPN1873E)
|
|
|
ALLEGED INVESTMENT IN MUTUAL FUNDS CATEGORIZED AS LARGE CAPITAL FUNDS
ALLEGED FAILURE IN MAKING DISCLOSURE TO INVESTORS THE LEVEL OF LEVERAGE ARISING FROM POSITION HELD IN FUTURES
ALLEGED DELAY IN OBTAINING SCORES LOGIN AND PASSWORD
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.49,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-AUG-2023
|
SEBI VIDE ITS ORDER DATED 18/12/2023 DISPOSED OF THE APPEAL AS THE SETTLEMENT AMOUNT OF RS.49.40 LAC HAS BEEN PAID AS PER THE SETTLEMENT ORDER DATED 01/08/2023 READ WITH ADDENDUM DATED 05/12/2023
|
| 14 |
|
|
KULDEEP JAIN
(PAN:AEJPJ4284J)
|
|
|
|
CLEAN MAX ENERGY VENTURES PVT.LTD.
(PAN:AAECC5179P)
|
|
|
CLEAN MAX RENEWABLE TRUST
(PAN:AACTC5665M)
|
|
ALLEGED INVOLVEMENT IN DAY-TO-DAY OPERATIONS OF THE AIF AND THE INVESTMENT MANAGER VIOLATING REGULATION 15(1)(C) READ WITH REGULATION 20(5) & 20(1) AND CLAUSE 2(A) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF CLEAN MAX RENEWABLE TRUST
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.19,30,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-OCT-2024
|
|
| 15 |
|
|
LEONARD PETER D’SOUZA
(PAN:AADPD1290N)
|
|
|
|
PIRAMAL INVESTMENT ADVISORY SERVICES PVT.LTD.
(PAN:AAHCP2291G)
|
|
ALLEGED VIOLATION OF REGULATIONS 10(D), 13, 27 (1) (D) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 AND SEBI MASTER CIRCULAR NO.CIR/ISD/AML/3/2010 DATED 31/12/2010 IN MATTER OF PIRAMAL INVESTMENT OPPORTUNITIES FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.76,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUN-2021
|
|
| 16 |
|
|
LUCIANA MARK SARDA
(PAN:BHNPS0602M)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 15(1)(C) AND 20(1) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN MATTER OF INDIAN SCHOOL FINANCE CO.PVT.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-SEP-2024
|
|
| 17 |
|
|
M.S.SUNDARARAJAN
(PAN:AAFPM4934N)
|
|
|
ALLEGED INVESTMENT IN MUTUAL FUNDS CATEGORIZED AS LARGE CAPITAL FUNDS
ALLEGED FAILURE IN MAKING DISCLOSURE TO INVESTORS THE LEVEL OF LEVERAGE ARISING FROM POSITION HELD IN FUTURES
ALLEGED DELAY IN OBTAINING SCORES LOGIN AND PASSWORD
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.49,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-AUG-2023
|
SEBI VIDE ITS ORDER DATED 18/12/2023 DISPOSED OF THE APPEAL AS THE SETTLEMENT AMOUNT OF RS.49.40 LAC HAS BEEN PAID AS PER THE SETTLEMENT ORDER DATED 01/08/2023 READ WITH ADDENDUM DATED 05/12/2023
|
| 18 |
|
|
MAHENDRA SWARUP
(PAN:AAMPS6405M)
|
|
|
|
VENTURE GURUKOOL INVESTMENT TRUST
(PAN:AADTV0339A)
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 25% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY DECCAN HEALTH CARE LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.11,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-JUL-2024
|
|
| 19 |
|
|
NARENDRA ANEJA
(PAN:AADPA5229J)
|
|
|
|
PENBROOK CAPITAL ADVISORS PVT.LTD.
(PAN:AAGCP3459B)
|
|
ALLEGED FAILURE IN CONTINUING INTEREST OF RS.5.0 CRORE IN FORM OF INVESTMENT AND EXTENSION OF TENURE OF FUND MORE THAN PERMISSIBLE PERIOD (4 YEARS + 1 YEAR) IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 7(1)(A) READ WITH SEBI CIRCULAR NO.CIR/IMD/DF/14/2014 DATED 19/06/2014
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.63,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JAN-2022
|
|
| 20 |
|
|
NIKUNJ GHODAWAT
(PAN:AHCPG8170G)
|
|
|
|
CLEAN MAX ENERGY VENTURES PVT.LTD.
(PAN:AAECC5179P)
|
|
|
CLEAN MAX RENEWABLE TRUST
(PAN:AACTC5665M)
|
|
ALLEGED INVOLVEMENT IN DAY-TO-DAY OPERATIONS OF THE AIF AND THE INVESTMENT MANAGER VIOLATING REGULATION 15(1)(C) READ WITH REGULATION 20(5) & 20(1) AND CLAUSE 2(A) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF CLEAN MAX RENEWABLE TRUST
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.19,30,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-OCT-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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