| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
GMO-Z.COM PAYMENT GATEWAY CREDIT FUND 1
|
|
|
ALLEGED INVESTED MORE THAN 25% OF TOTAL INVESTIBLE FUNDS TOWARDS SUBSCRIPTION OF NCDS OF SATYA MICROCAPITAL LTD. VIOLATING REGULATION 15(1) (C) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,50,000 VIDE CONSENT ORDER)
09-MAY-2024
|
|
| 22 |
|
|
GRAY MATTERS ALTERNATIVE INVESTMENT FUND
(PAN:AACTG5112D)
|
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 25% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-SEP-2024
|
|
| 23 |
|
|
GREEN LANDS IMPACT FUND
(PAN:AADTG4594N)
|
|
|
ALLEGED MISREPORTING OF SUBMISSION OF QUARTERLY REPORT
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,88,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-MAR-2025
|
|
| 24 |
|
|
GSF MANAGERS LLP
|
|
|
ALLEGED VIOLATION OF REGULATION 24(B) READ WITH REGULATION 28 OF SEBI (ALTERNATE INVESTMENT FUNDS) REGULATIONS, 2012 ALONG WITH SEBI CIRCULAR NOS. CIR/IMD/DF/10/2013 DATED 29/07/2013 AND SEBI/HO/IMD/DF1/CIR/P/2017/87 DATED 31/07/2017
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,15,400 VIDE CONSENT ORDER)
23-JAN-2024
|
|
| 25 |
|
|
GSF VENTURE CAPITAL FUND
|
|
|
ALLEGED FAILURE IN FILING OF QUARTERLY REPORTS TO SEBIVIOLATING REGULATION 28OF SEBI (ALTERNATE INVESTMENT FUNDS) REGULATIONS, 2012 ALONG WITH SEBI CIRCULARS NO. CIR/IMD/DF/10/2013 DATED 29/07/2013 AND SEBI/HO/IMD/DF1/CIR/P/2017/87 DATED 31/07/2017
ALLEGED FAILURE IN FILING OF QUARTERLY REPORTS TO SEBI VIOLATING SECTION 12(3) OF SEBI ACT, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,13,600 VIDE CONSENT ORDER)
25-JAN-2024
|
|
| 26 |
|
|
IDBI TRUSTEESHIP SERVICES LTD.
(PAN:AAACI8912J)
|
|
|
ALLEGED DELAY IN LIQUIDATION AND DISTRIBUTION OF ASSETS OF THE FUND VIOLATING REGULATIONS 13(5) AND 29(7) READ WITH 20(1) AND 20(5) AND CLAUSES 2(A), 2(C) AND 3(B) OF CODE OF CONDUCT SPECIFIED IN FOURTH SCHEDULE OF (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF INVESTCORP REAL ESTATE YIELD FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-MAR-2025
|
|
| 27 |
|
|
INDIABULLS AIF
(Along with : INDIABULLS REAL ESTATE FUND,
INDIABULLS DUAL ADVANTAGE REAL ASSET FUND,
INDIABULLS ASSET MANAGEMENT CO.LTD.)
|
|
|
|
AMBAR MAHESHWARI
PAN:ACGPM4843F
|
|
|
AMIT JAIN
PAN:AEZPJ4052Q
|
|
|
PARTH MURIA
PAN:AYPPM1958C
|
|
ALLEGED TO PLEDGE INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME ASSETS FOR A LOAN TAKEN BY INVESTEE COMPANY
ALLEGED FAILURE TO DRAWDOWN EQUAL PERCENTAGE OF COMMITMENT ACROSS ALL CLASSES OF UNITS FOR INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME
ALLEGED FAILURE TO ADHERE CONCENTRATION LIMITS IN INVESTEE COMPANY IN CASE OF BOTH SCHEMES INDIABULLS REAL ESTATE FUND (IBREF) AND INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME
ALLEGED FAILURE IN ENSURING PROPER VALUATION FREQUENCY OF INVESTMENTS FOR BOTH SCHEMES INDIABULLS REAL ESTATE FUND (IBREF) AND INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND
ALLEGED MISREPRESENTATION OF FINANCIAL INFORMATION AND DISCLOSED INACCURATE FINANCIAL INFORMATION RELATED TO VALUATION OF INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME TO INVESTORS
ALLEGED FAILURE TO COMPLY WITH DEFICIENCY LETTER DATED 12/05/2017 ISSUED POST INSPECTION HELD IN FY 2015 ADVISING FUND TO CONDUCT VALUATION OF ITS SECURITIES BI-ANNUALLY
ALLEGED FAILURE IN SUBMITTING INACCURATE INFORMATION IN CTR FILED WITH TRUSTEE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,43,32,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-SEP-2025
|
|
| 28 |
|
|
INDIABULLS ASSET MANAGEMENT CO.LTD.
(PAN:AABCI9149Q)
(Along with : INDIABULLS AIF,
INDIABULLS REAL ESTATE FUND,
INDIABULLS DUAL ADVANTAGE REAL ASSET FUND)
|
|
|
|
AMBAR MAHESHWARI
PAN:ACGPM4843F
|
|
|
AMIT JAIN
PAN:AEZPJ4052Q
|
|
|
PARTH MURIA
PAN:AYPPM1958C
|
|
ALLEGED TO PLEDGE INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME ASSETS FOR A LOAN TAKEN BY INVESTEE COMPANY
ALLEGED FAILURE TO DRAWDOWN EQUAL PERCENTAGE OF COMMITMENT ACROSS ALL CLASSES OF UNITS FOR INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME
ALLEGED FAILURE TO ADHERE CONCENTRATION LIMITS IN INVESTEE COMPANY IN CASE OF BOTH SCHEMES INDIABULLS REAL ESTATE FUND (IBREF) AND INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME
ALLEGED FAILURE IN ENSURING PROPER VALUATION FREQUENCY OF INVESTMENTS FOR BOTH SCHEMES INDIABULLS REAL ESTATE FUND (IBREF) AND INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND
ALLEGED MISREPRESENTATION OF FINANCIAL INFORMATION AND DISCLOSED INACCURATE FINANCIAL INFORMATION RELATED TO VALUATION OF INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME TO INVESTORS
ALLEGED FAILURE TO COMPLY WITH DEFICIENCY LETTER DATED 12/05/2017 ISSUED POST INSPECTION HELD IN FY 2015 ADVISING FUND TO CONDUCT VALUATION OF ITS SECURITIES BI-ANNUALLY
ALLEGED FAILURE IN SUBMITTING INACCURATE INFORMATION IN CTR FILED WITH TRUSTEE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,43,32,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-SEP-2025
|
|
| 29 |
|
|
INDIABULLS DUAL ADVANTAGE REAL ASSET FUND
(PAN:AABTI6928A)
(Along with : INDIABULLS AIF,
INDIABULLS REAL ESTATE FUND,
INDIABULLS ASSET MANAGEMENT CO.LTD.)
|
|
|
|
AMBAR MAHESHWARI
PAN:ACGPM4843F
|
|
|
AMIT JAIN
PAN:AEZPJ4052Q
|
|
|
PARTH MURIA
PAN:AYPPM1958C
|
|
ALLEGED TO PLEDGE INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME ASSETS FOR A LOAN TAKEN BY INVESTEE COMPANY
ALLEGED FAILURE TO DRAWDOWN EQUAL PERCENTAGE OF COMMITMENT ACROSS ALL CLASSES OF UNITS FOR INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME
ALLEGED FAILURE TO ADHERE CONCENTRATION LIMITS IN INVESTEE COMPANY IN CASE OF BOTH SCHEMES INDIABULLS REAL ESTATE FUND (IBREF) AND INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME
ALLEGED FAILURE IN ENSURING PROPER VALUATION FREQUENCY OF INVESTMENTS FOR BOTH SCHEMES INDIABULLS REAL ESTATE FUND (IBREF) AND INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND
ALLEGED MISREPRESENTATION OF FINANCIAL INFORMATION AND DISCLOSED INACCURATE FINANCIAL INFORMATION RELATED TO VALUATION OF INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME TO INVESTORS
ALLEGED FAILURE TO COMPLY WITH DEFICIENCY LETTER DATED 12/05/2017 ISSUED POST INSPECTION HELD IN FY 2015 ADVISING FUND TO CONDUCT VALUATION OF ITS SECURITIES BI-ANNUALLY
ALLEGED FAILURE IN SUBMITTING INACCURATE INFORMATION IN CTR FILED WITH TRUSTEE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,43,32,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-SEP-2025
|
|
| 30 |
|
|
INDIABULLS REAL ESTATE FUND
(PAN:AABTI2027E)
(Along with : INDIABULLS AIF,
INDIABULLS DUAL ADVANTAGE REAL ASSET FUND,
INDIABULLS ASSET MANAGEMENT CO.LTD.)
|
|
|
|
AMBAR MAHESHWARI
PAN:ACGPM4843F
|
|
|
AMIT JAIN
PAN:AEZPJ4052Q
|
|
|
PARTH MURIA
PAN:AYPPM1958C
|
|
ALLEGED TO PLEDGE INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME ASSETS FOR A LOAN TAKEN BY INVESTEE COMPANY
ALLEGED FAILURE TO DRAWDOWN EQUAL PERCENTAGE OF COMMITMENT ACROSS ALL CLASSES OF UNITS FOR INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME
ALLEGED FAILURE TO ADHERE CONCENTRATION LIMITS IN INVESTEE COMPANY IN CASE OF BOTH SCHEMES INDIABULLS REAL ESTATE FUND (IBREF) AND INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME
ALLEGED FAILURE IN ENSURING PROPER VALUATION FREQUENCY OF INVESTMENTS FOR BOTH SCHEMES INDIABULLS REAL ESTATE FUND (IBREF) AND INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND
ALLEGED MISREPRESENTATION OF FINANCIAL INFORMATION AND DISCLOSED INACCURATE FINANCIAL INFORMATION RELATED TO VALUATION OF INDIABULLS DUAL ADVANTAGE REAL ASSET (IBDARA) FUND SCHEME TO INVESTORS
ALLEGED FAILURE TO COMPLY WITH DEFICIENCY LETTER DATED 12/05/2017 ISSUED POST INSPECTION HELD IN FY 2015 ADVISING FUND TO CONDUCT VALUATION OF ITS SECURITIES BI-ANNUALLY
ALLEGED FAILURE IN SUBMITTING INACCURATE INFORMATION IN CTR FILED WITH TRUSTEE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,43,32,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
17-SEP-2025
|
|
| 31 |
|
|
INVESTCORP INDIA ASSET MANAGERS PVT.LTD.
(PAN:AAFCI0227D)
|
|
|
|
AJAY KUMAR
PAN:APLPK8439D
|
|
|
GAURAV SHARMA
PAN:AYZPS1019G
|
|
|
NIRAJ SIRSALEWAL
PAN:AAJPS5097A
|
|
|
RITESH VOHRA
PAN:ABBPV4200D
|
|
ALLEGED DELAY IN LIQUIDATION AND DISTRIBUTION OF ASSETS OF THE FUND VIOLATING REGULATIONS 13(5) AND 29(7) READ WITH 20(1) AND 20(5) AND CLAUSES 2(A), 2(C) AND 3(B) OF CODE OF CONDUCT SPECIFIED IN FOURTH SCHEDULE OF (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF INVESTCORP REAL ESTATE YIELD FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-MAR-2025
|
|
| 32 |
|
|
INVESTCORP REAL ESTATE YIELD FUND
(PAN:AABTI0798Q)
|
|
|
|
AJAY KUMAR
PAN:APLPK8439D
|
|
|
GAURAV SHARMA
PAN:AYZPS1019G
|
|
|
NIRAJ SIRSALEWAL
PAN:AAJPS5097A
|
|
|
RITESH VOHRA
PAN:ABBPV4200D
|
|
ALLEGED DELAY IN LIQUIDATION AND DISTRIBUTION OF ASSETS OF THE FUND VIOLATING REGULATIONS 13(5) AND 29(7) READ WITH 20(1) AND 20(5) AND CLAUSES 2(A), 2(C) AND 3(B) OF CODE OF CONDUCT SPECIFIED IN FOURTH SCHEDULE OF (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF INVESTCORP REAL ESTATE YIELD FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-MAR-2025
|
|
| 33 |
|
|
IROHA EMERGING INDIA FUND
(PAN:AACTI2000G)
(Along with : IROHA INVESTMENT MANAGEMENT PVT.LTD.)
|
|
|
|
CHANDRASHEKAR SHEKAR
PAN:BMTPS0481H
|
|
|
JAIRAM JANARDHANAN
PAN:AMRPJ9564D
|
|
|
KIRTI CHOPRA
PAN:ADRPC8713G
|
|
|
NAVEEN LOHIYA
PAN:AHWPL2078C
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-JUL-2025
|
|
| 34 |
|
|
IROHA INVESTMENT MANAGEMENT PVT.LTD.
(PAN:AAFCI2658Q)
(Along with : IROHA EMERGING INDIA FUND)
|
|
|
|
CHANDRASHEKAR SHEKAR
PAN:BMTPS0481H
|
|
|
JAIRAM JANARDHANAN
PAN:AMRPJ9564D
|
|
|
KIRTI CHOPRA
PAN:ADRPC8713G
|
|
|
NAVEEN LOHIYA
PAN:AHWPL2078C
|
|
ALLEGED FAILURE TO ENSURE PROPER CARE AND DUE DILIGENCE IN COMPLYING WITH CONCENTRATION NORMS AND SUBMITTED INACCURATE INFORMATION TO THE TRUSTEE IN COMPLIANCE TEST REPORT VIOLATING REGULATIONS 20(1), 20(5) AND CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT READ WITH REGULATION 15(1)(D)OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF IROHA EMERGING INDIA FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-JUL-2025
|
|
| 35 |
|
|
KOTAK ALTERNATE ASSET MANAGERS LTD.
(PAN:AAACK5933H)
|
|
|
|
GAURAV AGGARWAL
PAN:BHUPA5595E
|
|
|
PARAG SUKHIJA
PAN:DDDPS8579F
|
|
|
SHOBHIT MATHUR
PAN:ANRPM0696C
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,87,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JAN-2024
|
|
| 36 |
|
|
KOTAK ALTERNATE ASSETS FUND III
(PAN:AADTK5968J)
|
|
|
|
GAURAV AGGARWAL
PAN:BHUPA5595E
|
|
|
PARAG SUKHIJA
PAN:DDDPS8579F
|
|
|
SHOBHIT MATHUR
PAN:ANRPM0696C
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.7,87,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JAN-2024
|
|
| 37 |
|
|
OMNIVORE CAPITAL MANAGEMENT ADVISORS PVT.LTD.
(PAN:AABCO4285F)
|
|
|
ALLEGED DELAY IN WINDING UP ITS SCHEME VIOLATING REGULATION 23(1) READ WITH REGULATIONS 23(3) AND 24(2) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996 READ WITH REGULATION 39(2)(B) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-JUN-2025
|
|
| 38 |
|
|
OMNIVORE INDIA CAPITAL TRUST
(PAN:AAATO3113E)
|
|
|
ALLEGED DELAY IN WINDING UP ITS SCHEME VIOLATING REGULATION 23(1) READ WITH REGULATIONS 23(3) AND 24(2) OF SEBI (VENTURE CAPITAL FUNDS) REGULATIONS, 1996 READ WITH REGULATION 39(2)(B) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-JUN-2025
|
|
| 39 |
|
|
ONEIL CAPITAL MANAGEMENT INDIA PVT.LTD.
(PAN:AADFW1831G)
|
|
|
|
ANUPAM SINGHI
CIN:ANKPD7583J
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JAN-2024
|
|
| 40 |
|
|
ONEIL CAPITAL TRUST
(PAN:AAATW5453D)
|
|
|
|
ANUPAM SINGHI
CIN:ANKPD7583J
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JAN-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 3
|
