| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ACACIA BANYAN PARTNERS
(PAN:AAGCA6900N)
|
|
|
ALLEGED FAILURE IN MAKING WRONG STATEMENTS THAT ‘CONIFER CAPITAL MANAGEMENT LLC’ NOT CONTROLLED BY BENEFICIAL OWNER VIOLATING CLAUSE 6 OF CODE OF CONDUCT
AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 2 |
|
|
ACACIA CONSERVATION FUND LP
(PAN:ABCFA8290P)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 3 |
|
|
ACACIA II PARTNERS, LP
(PAN:AALFA7270M)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 4 |
|
|
ACACIA INSTITUTIONAL PARTNERS, LP
(PAN:AALFA7287Q)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 5 |
|
|
ACACIA PARTNERS, LP
(PAN:AALFA7272K)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 6 |
|
|
CITIBANK N.A.
(PAN:AAACC0462F)
|
|
|
ALLEGED VIOLATION OF REGULATION 32(1) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019
ALLEGED VIOLATION OF CLAUSE 3 OF CODE OF CONDUCT OF THIRD SCHEDULE UNDER REGULATION 37 OF SEBI (DEPOSITORIES & PARTICIPANT) REGULATIONS, 2018 AND PARA 2 OF PART A & PARA 8 OF PART A OF OPERATIONAL GUIDELINES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,20,000 VIDE CONSENT ORDER)
27-AUG-2024
|
|
| 7 |
|
|
CITIBANK N.A.
(PAN:AAACC0462F)
|
|
|
ALLEGED GRANT REGISTRATION/RENEWAL TO CERTAIN INELIGIBLE FOREIGN PORTFOLIO INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,25,000 VIDE CONSENT ORDER)
29-FEB-2024
|
|
| 8 |
|
|
CITICORP INVESTMENT BANK (SINGAPORE) LTD.
(PAN:AAACC5806F)
|
|
|
ALLEGED TO ISSUE OFFSHORE DERIVATIVE INSTRUMENT TO SYMMETRY MASTER FUND LTD. WITHOUT COMPLYING WITH ‘KNOW YOUR CLIENTS’ NORMS VIOLATING REGULATION 21(1)(C) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATION, 2019 READ WITH PARAGRAPH 2 OF PART D OF MASTER CIRCULAR
ALLEGED DELAY IN DEPOSITING REGULATORY FEE COLLECTED FROM SUBSCRIBER OF OFFSHORE DERIVATIVE INSTRUMENT VIOLATING REGULATION 21(4) SEBI (FPI) REGULATIONS READ WITH CLAUSE 1 OF PART C OF II SCHEDULE OF (FPI) REGULATIONS, 2019
ALLEGED FAILURE TO PUT IN PLACE NECESSARY SYSTEMS, CONTROLS AND PROCEDURES WITH RESPECT TO ISSUANCE OF OFFSHORE DERIVATIVE INSTRUMENT AND ‘KNOW YOUR CLIENTS’ REQUIREMENTS VIOLATING PARAGRAPH 3(III) OF PART D OF MASTER CIRCULAR
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.36,00,000 VIDE CONSENT ORDER)
05-MAR-2025
|
|
| 9 |
|
|
CONIFER MANAGEMENT, LLC
(PAN:AAHCC4006E)
|
|
|
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.24,37,500 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 10 |
|
|
DEUTSCHE BANK AG
(PAN:AAACD1390F)
|
|
|
ALLEGED GRANT REGISTRATION/RENEWAL TO CERTAIN INELIGIBLE FOREIGN PORTFOLIO INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,05,000 VIDE CONSENT ORDER)
29-FEB-2024
|
|
| 11 |
|
|
EMERGING INDIA FOCUS FUNDS
(PAN:AACCE0596N)
|
|
|
ALLEGED VIOLATION OF REGULATION 22(1)(C) AND (H) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019
ALLEGED VIOLATION OF CLAUSE 6 OF THIRD SCHEDULE OF CODE OF CONDUCT OF REGULATION 23 OF SEBI(FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019
ALLEGED VIOLATION OF CLAUSE 6 READ WITH CLAUSE 3(B)(III) OF SCHEDULE II READ WITH REGULATION 7 OF SEBI (INTERMEDIARIES) REGULATIONS, 2008
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.64,35,000 VIDE CONSENT ORDER)
18-NOV-2024
|
|
| 12 |
|
|
GOLDMAN SACHS (SINGAPORE) PTE.
(PAN:AAFCG0345N)
|
|
|
ALLEGED MISMATCH OF INVESTMENT MANAGERS FOR MULTI-MANAGED CLIENTS WITH
RESPECT TO FOUR ODI SUBSCRIBERS VIOLATING REGULATION 21(3) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 R/W PARAGRAPH 3(IV) OF PART D OF OPERATIONAL GUIDELINES FOR FOREIGN PORTFOLIO INVESTORS, DESIGNATED DEPOSITORY PARTICIPANTS AND ELIGIBLE FOREIGN INVESTORS
ALLEGED FAILURE IN PROVIDING DETAILS OF INVESTMENT MANAGERS/BENEFICIAL OWNERS INFORMATION OF THREE ODI SUBSCRIBERS ANNEXURE-D OF MONTHLY ODI REPORTING VIOLATING REGULATION 21(3) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 R/W PARAGRAPH 3(IV) OF PART D OF OPERATIONAL GUIDELINES FOR FOREIGN PORTFOLIO INVESTORS, DESIGNATED DEPOSITORY PARTICIPANTS AND ELIGIBLE FOREIGN INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.26,44,500 VIDE CONSENT ORDER)
18-SEP-2023
|
|
| 13 |
|
|
HDFC BANK LTD.
(PAN:AAACH2702H)
|
|
|
ALLEGED PERMIT INELIGIBLE FOREIGN PORTFOLIO INVESTORS TO TRANSACT IN INDIAN SECURITIES MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,18,750 VIDE CONSENT ORDER)
29-FEB-2024
|
|
| 14 |
|
|
HONGKONG & SHANGHAI BANKING CORP.LTD.,THE
(PAN:AAACT2786P)
|
|
|
ALLEGED GRANT REGISTRATION/RENEWAL TO CERTAIN INELIGIBLE FOREIGN PORTFOLIO INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,87,500 VIDE CONSENT ORDER)
29-FEB-2024
|
|
| 15 |
|
|
JP MORGAN CHASE BANK,N.A.
(PAN:AAACT5545N)
|
|
|
ALLEGED FAILURE IN PREVENTING FIDELITY MANAGEMENT & RESEARCH CO.LLC (FMRC) FROM TRADING IN SECURITIES MARKET DESPITE KNOWING THAT FIDELITY INVESTMENTS MONEY MANAGEMENT INC. (FIMM) HAD MERGED INTO FMRC AND FMRC DID NOT HAVE VALID REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,10,000 VIDE CONSENT ORDER)
07-JUL-2023
|
|
| 16 |
|
|
MERRILL LYNCH MARKETS SINGAPORE PTE LTD.
(PAN:AAJCM5878Q)
|
|
|
ALLEGED INCORRECT REPORTING OF OFFSHORE DERIVATIVE INSTRUMENTS (ODI) IN MONTHLY REPORTS VIOLATING REGULATION 21 OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 AND DIRECTIVES/INSTRUCTIONS/GUIDELINES DATED 05/11/2019
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,35,000 VIDE CONSENT ORDER)
26-JUL-2021
|
|
| 17 |
|
|
NOMURA SINGAPORE LTD.
(PAN:AADCN2750N)
|
|
|
ALLEGED INCORRECT REPORTING OF OFFSHORE DERIVATIVE INSTRUMENTS (ODI) IN MONTHLY REPORTS VIOLATING REGULATION 21 OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 AND DIRECTIVES/INSTRUCTIONS/GUIDELINES DATED 05/11/2019
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,35,000 VIDE CONSENT ORDER)
03-MAR-2021
|
|
| 18 |
|
|
RASELLE CAPITAL VCC
(PAN:AALCR6438D)
|
|
|
ALLEGED VIOLATION OF REGULATION 22(1)(C) OF SEBI (FPI) REGULATIONS, 2019
ALLEGED VIOLATION OF CLAUSE 12 OF PART A OF MASTER CIRCULAR FOR FOREIGN PORTFOLIO INVESTORS AND DESIGNATED DEPOSITORY PARTICIPANTS (DDPS) DATED 19/12/2022
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,23,50,000 VIDE CONSENT ORDER)
02-JUL-2024
|
|
| 19 |
|
|
SBI-SG GLOBAL SECURITIES SERVICES PVT.LTD.
(PAN:AAMCS4727R)
|
|
|
ALLEGED INDULGENCE IN GRANTING REGISTRATION TO FOREIGN PORTFOLIO INVESTORS TO FOREIGN PORTFOLIO INVESTORS WITHOUT ASCERTAINING WHETHER SUCH APPLICANT WAS UNDER COMMON OWNERSHIP OR CONTROL TO FORM INVESTOR GROUP WITH ANY OTHER REGISTERED FOREIGN PORTFOLIO INVESTOR
ALLEGED OPERATION MANUAL DID NOT CONTAIN ANY PROCEDURES TO BE FOLLOWED BY NOTICE TO ASCERTAIN IF THE APPLICANT/FPI WAS IN COMMON CONTROL OR OWNERSHIP WITH ANY OTHER FPI REGISTERED WITH IT OR FORMS PART OF ANY INVESTOR GROUP
ALLEGED FAILURE TO MAINTAIN TRUE AND FAIR RECORDS (ELECTRONIC) FOR FOREIGN PORTFOLIO INVESTORS IN THE NSDL PORTAL
ALLEGED FAILURE TO PROCESS SURRENDER APPLICATIONS OF FOREIGN PORTFOLIO INVESTORS WITHIN STIPULATED TIMELINES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,25,000 VIDE CONSENT ORDER)
27-DEC-2024
|
|
| 20 |
|
|
WAAREE ENERGIES LTD.
|
|
|
ALLEGED FAILURE TO COMPLETE PERIOD OF THREE YEARS AS PROMOTER TO BE TREATED AS QUALIFYING PERSONS FOR ACQUISITION PURSUANT TO INTER-SE TRANSFER OF SHARES OF WAAREE RENEWABLE TECHNOLOGIES LTD. AS REQUIRED UNDER REGULATION 10(1)(A)(II) OF SAST REGULATIONS, 2011
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
02-JUL-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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