| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
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
|
|
| 22 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,24,21,300 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-SEP-2024
07-SEP-2022
|
|
| 23 |
|
|
COMBINE HOLDING LTD.
(PAN:AAACC0807E)
|
|
|
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,67,500 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC) FROM 07-SEP-2022 TO 06-JUN-2024
07-SEP-2022
|
|
| 24 |
|
|
CREDIT ANALYSIS & RESEARCH LTD.
|
|
|
ALLEGED VIOLATION OF CLAUSES (1) TO (4) AND (8) OF CODE OF CONDUCT AS STIPULATED IN SCHEDULE III OF SEBI (CREDIT RATING AGENCIES) REGULATIONS, 1999 IN MATTER OF CARE LTD.
ALLEGED VIOLATION OF REGULATIONS 13, 15(1), 16(1), 16(2), 24(2) AND 24(7) OF SEBI (CREDIT RATING AGENCIES) REGULATIONS, 1999 IN MATTER OF CARE LTD.
ALLEGED VIOLATION OF CLAUSE 1.1.2 OF SEBI CIRCULAR NO.CIR/MIRSD/CRA/6/2010 DATED 03/05/2010 AND SEBI CIRCULAR NO.CIR/MIRSD/3/2013 DATED 15/03/2013 IN MATTER OF CARE LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.43,45,645 VIDE CONSENT ORDER)
16-MAY-2018
|
|
| 25 |
|
|
EAST LANE CAPITAL LLP
(PAN:AAIFE2914K)
|
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUND
ALLEGED DELAY IN ISSUANCE OF UNITS IN DEMATERIALISATION FORM
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.23,40,000 VIDE CONSENT ORDER)
25-OCT-2024
|
|
| 26 |
|
|
GROWW ASSET MANAGEMENT LTD.
(PAN:AABCI9149Q)
|
|
|
ALLEGED CERTAIN SCHEME-RELATED EXPENSES WERE BEING PAID BY AMC AND WERE NOT PAID FROM SCHEMES VIOLATING SEBI CIRCULAR IN PARTICULAR PARA 1 OF CIRCULAR DATED 22/10/2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JUN-2024
|
|
| 27 |
|
|
GROWW INVEST TECH PVT.LTD.
(PAN:AAFCN2181H)
|
|
|
ALLEGED FAILURE IN PUBLISHING DATA/SERVE KEY VALUES TO STOCK EXCHANGES ON LOG ANALYTICS AND MONITORING APPLICATION (LAMA) DATED 23/01/2024
ALLEGED DID NOT HAVE TELEPHONE LINES, TRADING TERMINALS, EMPLOYEES FOR ATTENDING TRADING CALLS OF CLIENTS, REQUIRED DURING TECHNICAL GLITCHES THUS RESULTING COMPLETE DENIAL OF SERVICE TO ALL CLIENTS DURING GLITCH PERIOD AND VULNERABILITY ASSESSMENT AND PENETRATION TESTING (VAPT) PROCESS WAS INEFFECTIVE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.34,12,500 VIDE CONSENT ORDER)
13-MAY-2025
|
|
| 28 |
|
|
GROWW TRUSTEE LTD.
(PAN:AABCI9148R)
|
|
|
ALLEGED CERTAIN SCHEME-RELATED EXPENSES WERE BEING PAID BY AMC AND WERE NOT PAID FROM SCHEMES VIOLATING SEBI CIRCULAR IN PARTICULAR PARA 1 OF CIRCULAR DATED 22/10/2018
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JUN-2024
|
|
| 29 |
|
|
HAKEEM AUTO LTD.
|
|
|
ALLEGED VIOLATION OF DIRECTIVES/INSTRUCTIONS/GUIDELINES AND ORDER OF SEBI IN MATTER OF VERONICA LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.5,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 27-JAN-2009 TO 26-JAN-2012
27-JAN-2009
|
|
| 30 |
|
|
HDFC ASSET MANAGEMENT CO.LTD.
(PAN:AAACH7614L)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF PROVISIONS OF (I) REGULATIONS 10(A), 18(9), 18(22) AND 25(16) READ WITH CLAUSE 9 OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF HDFC MUTUAL FUND
ALLEGED VIOLATION OF REGULATION 52 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF HDFC MUTUAL FUND
ALLEGED VIOLATION OF REGULATIONS 25(19) & 47 AND EIGHTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF HDFC MUTUAL FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,78,56,498 VIDE CONSENT ORDER)
04-DEC-2018
|
|
| 31 |
|
|
HDFC ASSET MANAGEMENT CO.LTD.
(PAN:AAACH7614L)
|
|
|
|
ANIL BAMBOLI
PAN:AABPB0026A
|
|
|
MILIND BARVE
PAN:ABGPB6755Q
|
|
|
PRASHANT JAIN
PAN:AACPJ2583K
|
|
|
SHOBHIT MEHROTRA
PAN:AAAPM0737E
|
|
|
YEZDI KHARIWALA
PAN:AACPK8707E
|
|
ALLEGED VIOLATION OF REGULATIONS 10(A), 25(1), 25(2), 25(16), 25(19), 31, 33(1) READ WITH 2(B), 33(4), 39(1), 47 AND 53(B) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF CLAUSES 2, 6 AND 9 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE FIFTH OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 32 |
|
|
HDFC CAPITAL ADVISORS LTD.
(PAN:AADCH6113R)
|
|
|
ALLEGED FAILURE IN IMPLEMENTING POLICIES AND PROCEDURES TO APPROPRIATELY MITIGATE CONFLICT OF INTEREST THROUGHOUT THE SCOPE OF ITS BUSINESS
ALLEGED FAILURE IN EXERCISING INDEPENDENT PROFESSIONAL JUDGMENT AND ACT IN THE INTEREST OF INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.36,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-MAY-2025
|
|
| 33 |
|
|
HDFC CAPITAL AFFORDABLE REAL ESTATE FUND - I
(PAN:AABTH4466Q)
|
|
|
ALLEGED FAILURE IN EXERCISING INDEPENDENT PROFESSIONAL JUDGMENT AND ACT IN THE INTEREST OF INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.36,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-MAY-2025
|
|
| 34 |
|
|
HDFC SECURITIES LTD.
(PAN:AAACH8215R)
|
|
|
ALLEGED CLAUSE/REQUIREMENT TO GENERATING ALERTS FOR CURRENT CAPACITY UTILIZATION OF CRITICAL ASSETS BEYOND 70% WAS NOT AVAILABLE IN BROKER IT POLICIES AND PROCEDURES W.R.T. TO CAPACITY MANAGEMENT PROCEDURE
ALLEGED FAILURE IN IMPLEMENTING LAMA SYSTEM FOR ITS LAMA SYSTEM DURING THE INSPECTION PERIOD
ALLEGED FAILURE IN CONDUCTING DISASTER RECOVERY DRILL FOR A FULL TRADING DAY EVERY QUARTER DURING INSPECTION PERIOD
ALLEGED FAILURE TO DEFINE THE FREQUENCY FOR PERIODIC CYBER AND INFORMATION SECURITY AWARENESS TRAINING AND DID NOT IDENTIFY CRITICAL AND NON-CRITICAL VENDORS
ALLEGED FAILURE IN IDENTIFYING CRITICAL AND NON-CRITICAL ASSETS AND DID NOT CATEGORIZE ALL CRITICAL APPLICATIONS AND THEIR SERVERS AS CRITICAL DURING INSPECTION PERIOD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.65,00,000 VIDE CONSENT ORDER)
11-MAR-2025
|
|
| 35 |
|
|
HDFC TRUSTEE CO.LTD.
(PAN:AAACH7615M)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF PROVISIONS OF (I) REGULATIONS 10(A), 18(9), 18(22) AND 25(16) READ WITH CLAUSE 9 OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF HDFC MUTUAL FUND
ALLEGED VIOLATION OF REGULATION 52 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF HDFC MUTUAL FUND
ALLEGED VIOLATION OF REGULATIONS 25(19) & 47 AND EIGHTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF HDFC MUTUAL FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,78,56,498 VIDE CONSENT ORDER)
04-DEC-2018
|
|
| 36 |
|
|
HDFC TRUSTEE CO.LTD.
(PAN:AAACH7615M)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 2(B), 10(A), 18(7), 18(9), 18(22), 33(4), 39(1), 47, 53(B), 60 AND SCHEDULE EIGHTH UNDER REGULATIONS 25(19) AND 47 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF CLAUSES 2, 6 AND 9 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE FIFTH OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 37 |
|
|
IDBI ASSET MANAGEMENT LTD.
(PAN:AACCI2317R)
|
|
|
ALLEGED VIOLATION OF CLAUSES (A), (C), (E), (G), (H) AND (I) OF INVESTMENT VALUATION DIRECTIVES/INSTRUCTIONS/GUIDELINES AS SPECIFIED IN EIGHTH SCHEDULE UNDER REGULATIONS 25(19) AND 47 SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF SUB REGULATION (1) AND (2) OF REGULATION 25(16) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF CLAUSES 2, 8 AND 9 OF FIFTH SCHEDULE UNDER REGULATIONS 25(16) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF REGULATIONS 75A (B) AND 76 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.90,47,228 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-JUN-2020
|
|
| 38 |
|
|
IDBI MF TRUSTEE CO.LTD.
(PAN:AACCI2337M)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF CLAUSES 8 AND 9 OF FIFTH SCHEDULE UNDER REGULATIONS 18(22) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF CLAUSES (A), (C), (E), (G), (H) AND (I) OF INVESTMENT VALUATION DIRECTIVES/INSTRUCTIONS/GUIDELINES AS SPECIFIED IN EIGHTH SCHEDULE UNDER REGULATION 47 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
ALLEGED VIOLATION OF REGULATIONS 18(9), 75A(B) AND 76 OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.90,47,228 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-JUN-2020
|
|
| 39 |
|
|
INDIA INFOLINE LTD.
(PAN:AAACI7105D)
|
|
|
ALLEGED FAILURE IN PROVIDING INFORMATION/COOPERATION WITH PROCEEDINGS
ALLEGED FAILURE IN MAINTAINING UNIFORMITY IN DOCUMENTS REQUIRED FOR TRADING VIOLATING SEBI CIRCULAR NO.SEBI/MIRSD/DPS-1/CIR31/2004 DATED 26/08/2004
ALLEGED FAILURE IN COMPLIANCE WITH RULES 8 (1) (F) AND 8(3)(F) OF SCRA ,1957 RELATING TO FUND BASED ACTIVITIES OF STOCK BROKERS VIOLATING SEBI CIRCULAR NO.SEBI/POLICY/CIR-6/97 DATED 07/05/1997
ALLEGED FAILURE IN COMPLIANCE WITH RULES OF MARGIN TRADING AND SECURITIES LENDING AND BORROWING VIOLATING SEBI CIRCULAR NO.SEBI/MRD/SE/SU/CIR-15/04 DATED 19/03/2004
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, INDULGED IN SPECULATIVE BUSINESS AND SUBMITTED FALSE OR MISLEADING RETURNS TO SEBI AND STOCK EXCHANGE VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(4) AND C(6) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,00,000 VIDE CONSENT ORDER)
18-MAY-2010
|
|
| 40 |
|
|
JP MORGAN ASSET MANAGEMENT INDIA PVT.LTD.
|
|
|
|
NANDKUMAR SURTI
PAN:AALPS8105P
|
|
ALLEGED VIOLATION OF REGULATIONS 18(15A), 25(3), 25(16) READ WITH CLAUSES 6, 8 AND 9 OF CODE OF CONDUCT AS SPECIFIED IN FIFTH SCHEDULE AND REGULATION 50(1) AND CLAUSE 1 OF SEVENTH SCHEDULE VIOLATING OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996
DID NOT ADHERE TO SEBI CIRCULAR NO. SEBI/IMD/CIR NO.5/126096/08 DATED 23/05/2008
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.27,20,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
27-MAR-2018
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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| Page 2 of 4
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