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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 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.

PERSONS: WARNED NOT TO PROVIDE INVESTMENT ADVISORY SERVICES UNLESS COMPLY WITH INVESTMENT ADVISORS REGULATIONS AND APPLICABLE SEBI CIRCULARS

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person AMIT KUMAR DEWDA

(PAN:AZXPD5745P)  
History of entity/person AVID RESEARCH INVESTMENT ADVISER

(PAN:AZXPD5745P)
  		DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE

DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME

DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES  		WARNED NOT TO PROVIDE INVESTMENT ADVISORY SERVICES UNLESS COMPLY WITH INVESTMENT ADVISORS REGULATIONS AND APPLICABLE SEBI CIRCULARS

30-AUG-2022
2 
History of entity/person CHETAN KALUBHAI DHOKIYA

(PAN:BKPPD6469L)  
  DID NOT INFORM SEBI REGARDING USAGE OF DIFFERENT WEBSITES AND PROPRIETARY NAME FOR PROVIDING INVESTMENT ADVISORY SERVICES TO CLIENTS

DID NOT MAKE DISCLOSURE OF MATERIAL INFORMATION TO CLIENTS

PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS

DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE

NOT A FIT & PROPER PERSON TO ACT AS AN INVESTMENT ADVISOR  		PROHIBITED FROM ACCEPTING FRESH/NEW CLIENTS FROM 12-DEC-2022 TO 11-JUN-2023

WARNED NOT TO PROVIDE INVESTMENT ADVISORY SERVICES UNLESS COMPLY WITH INVESTMENT ADVISORS REGULATIONS AND APPLICABLE SEBI CIRCULARS

12-DEC-2022
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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