| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
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
|
|
| 22 |
|
|
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
|
|
| 23 |
|
|
FLEDGLING NOMINEES INTERNATIONAL LTD.
|
|
|
SQUARED OFF TRANSACTIONS IN SOME SCRIPS INCLUDING SBI, WITHOUT GIVING OR TAKING DELIVERIES FOR THEIR SUB ACCOUNT COPTHALL MAURITIUS INVESTMENT INTERNATIONAL
INDULGED IN SHORT SALES
|
CENSURED/WARNED & DIRECTED TO BE DILIGENT IN COMPLYING WITH SEBI REGULATIONS
29-JUL-2002
|
|
| 24 |
|
|
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
|
|
| 25 |
|
|
GOLDMAN SACHS INVESTMENTS (MAURITIUS) LTD.
|
|
|
FILED FALSE AND MISLEADING UNDERTAKING TO SEBI REGARDING ISSUANCE OF OFFSHORE DERIVATIVE INSTRUMENTS TO OVERSEAS CORPORATE BODIES
|
IMPOSED PENALTY RS.1,00,00,000
08-SEP-2006
|
SAT: APPEAL ALLOWED, IMPUGNED ORDER SET ASIDE AND APPLICANT WILL HAVE ITS COST OF RS.1,00,000
|
| 26 |
|
|
HANSBERGER GLOBAL INVESTORS,INC.
|
|
|
DELAYED REPORTING OF CHANGE OF NAME OF SUB ACCOUNTS TO SEBI VIOLATING REGULATION 13(1) (E) OF SEBI (FII) REGULATIONS, 1995
|
IMPOSED PENALTY RS.2,00,000
21-MAY-2012
|
|
| 27 |
|
|
HSBC INVESTMENT SERVICES (NETHERLANDS) N.V.
|
|
|
DID NOT INFORM ABOUT LOCATION WHERE PARTICIPATORY NOTES WERE DESIGNED
DID NOT INFORM THE POINT AT WHICH ITS BROKER HSBC SECURITIES CAME TO KNOW ISSUANCE OF PARTICIPATORY NOTES
DID NOT SUBMIT NAMES, ADDRESS, TELEPHONE NO.,CLIENT REGISTRATION FORM
|
IMPOSED PENALTY RS.10,00,000
22-DEC-2006
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.10,000 FROM RS.10,00,000 WITH NO ORDER AS TO COSTS
|
| 28 |
|
|
INDIA FOCUS CARDINAL FUND
(PAN:AABCI9518D)
|
|
|
DID NOT SATISFY THE CRITERIA OF BROAD BASED FUND VIOLATING REGULATION 6(1) (D) OF FII REGULATIONS, 1995
DID NOT ADHERE TO SEBI CIRCULAR CIR/IMD/1/2010 DATED 15/04/2010
|
IMPOSED PENALTY RS.5,00,000
31-JUL-2018
|
|
| 29 |
|
|
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
|
|
| 30 |
|
|
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
|
|
| 31 |
|
|
JYSKE INVEST FUND MANAGEMENT A/S
|
|
|
DID NOT INFORM SEBI IN STIPULATED TIME ABOUT NAME CHANGE FROM JYSKE INVEST ADMINISTRATION A/S TO JYSKE INVEST FUND MANAGEMENT A/S
|
IMPOSED PENALTY RS.2,00,000
21-MAY-2009
|
|
| 32 |
|
|
KALLAR KAHAR INVESTMENTS LTD.
|
|
|
HELD 75% SHAREHOLDING IN ITS INDIAN BROKING AFFILIATE-CREDIT SUISSE FIRST BOSTON (I) SECURITIES PVT.LTD. WHO HAS BEEN SUSPENDED FOR A PERIOD OF 2 YEARS
|
REJECTED APPLICATION FOR RENEWAL OF REGISTRATION AS FII
27-NOV-2002
|
WITHDRAWN APPLICATION FILED FOR RENEWAL OF SUB ACCOUNT
|
| 33 |
|
|
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
|
|
| 34 |
|
|
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
|
|
| 35 |
|
|
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
|
|
| 36 |
|
|
PASSPORT CAPITAL,LLC
|
|
|
INDULGED IN PLACING AND EXECUTING ORDERS BEFORE ORDERS OF PASSPORT INDIA INVESTMENT (MAURITIUS) LTD. AND SUBSEQUENTLY SQUARED OFF HIS POSITION
|
DIRECTED TO CONDUCT INTERNAL ENQUIRY AND INITIATE APPROPRIATE ACTION AND SUBMIT ACTION REPORT
DIRECTED TO TAKE STEPS TO ENSURE THAT TRADING INFORMATION AND OTHER TRADE RELATED DETAILS ARE NOT MISUSED
DIRECTED TO EXERCISE DUE DILIGENCE IN SUPERVISING EMPLOYEES TO ABOVE END
28-MAY-2009
|
|
| 37 |
|
|
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
|
|
| 38 |
|
|
RP&C INTERNATIONAL LTD.
|
|
|
INDULGED IN PRICE MANIPULATION IN SCRIP OF GLOBAL TRUST BANK LTD.
INDULGED IN CREATION OF ARTIFICIAL MARKET IN SCRIP OF GLOBAL TRUST BANK LTD.
PARKED SHARES TO CIRCUMVENT SEBI TAKEOVER CODE, 1997
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 31-DEC-2002 TILL INVESTIGATION COMPLETED
31-DEC-2002
|
INTERIM ORDER DATED 31/12/2002 REVOKED BY SEBI
DECIDED NO FURTHER DIRECTIONS ARE REQUIRED AS CORAL REEF INVESTMENTS CO.PVT.LTD. AND RP&C INTERNATIONAL LTD. ARE NO LONGER OPERATIVE IN INDIAN CAPITAL MARKET
|
| 39 |
|
|
SANSAR CAPITAL (MAURITIUS) LTD.
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GITANJALI GEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
23-DEC-2009
|
|
| 40 |
|
|
SANSAR CAPITAL MANAGEMENT,LLC
|
|
|
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 7(1) AND 7(2) OF SEBI TAKEOVER CODE, 1997 IN MATTER OF GITANJALI GEMS LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
23-DEC-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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