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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 30-NOV-2007 TO 07-AUG-2025

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.

COMPANIES: VIOLATED SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
21
History of entity/person WILMINGTON TRUST COLLECTIVE INVESTMENT TRUST - LAZARD/WILMINGTON ACW EX-US EQUITY ADVANTAGE FUND

(PAN:AAATW5548H)  
  ALLEGED DELAY IN INTIMATING CHANGE IN REGULATORY STATUS, CATEGORY AND SUB-CATEGORY OF FOREIGN PORTFOLIO INVESTORS TO SEBI OR DESIGNATED DEPOSITORY PARTICIPANT

ALLEGED INDULGENCE IN MAKING FRESH PURCHASES BEFORE COMPLETION OF ADDITIONAL KNOW YOUR CLIENTS (KYC) REQUIREMENTS WITHOUT HOLDING A VALID REGISTRATION CERTIFICATE   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.64,35,000 VIDE CONSENT ORDER)

21-NOV-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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