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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 14-APR-2026

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 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 		 
22
History of entity/person SIXTEENTH STREET ASIAN GEMS FUND

(PAN:AAZCS3903L)  
  ALLEGED APPLICANT WAS CONTROLLED BY OVERSEAS CITIZEN OF INDIA VIOLATING REGULATION 4(C)(IV) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 AND CLAUSE 1(II)(C) UNDER PART A OF SEBI MASTER CIRCULAR

ALLEGED MAKING FRESH PURCHASES AND SALES OF SECURITIES FROM 01/01/2021 TO 07/08/2025 VIOLATING REGULATION 4(C)(IV) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 AND CLAUSE 1(II)(E) UNDER PARTA OF SEBI MASTER CIRCULAR

ALLEGED DELAY IN INFORMING DESIGNATED DEPOSITORY PARTICIPANT ABOUT RECEIVING OVERSEAS CITIZEN OF INDIA (OCI) CARD VIOLATING REGULATIONS 22(1)(B) AND22(1)(C) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 AND CLAUSE 14(I) UNDER PART A OF SEBI MASTER CIRCULAR AND PARA 3 OF SEBI CIRCULAR SEBI/HO/AFD/AFD-POD-2/P/CIR/2024/76 DATED 05/06/2024

ALLEGED MAKING INCORRECT STATEMENT IN ITS BENEFICIAL OWNER DECLARATION DATED 24/06/2022, THAT NO OVERSEAS CITIZEN OF INDIA EXERCISED CONTROL OVER THE APPLICANT VIOLATING REGULATION 23 OF FPI REGULATIONS, 2019 AND CLAUSES 2 AND 6 OF CODE OF CONDUCT AS SPECIFIED IN THIRD SCHEDULE OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019   		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.72,87,500 VIDE CONSENT ORDER)

20-MAR-2026 		 
23
History of entity/person STANDARD CHARTERED BANK

(PAN:AABCS4681D)  
  ALLEGED DELAY IN INTIMATING MATERIAL CHANGES IN BENEFICIAL OWNERSHIP TO SEBI IN RESPECT OF CERTAIN FOREIGN PORTFOLIO INVESTORS

ALLEGED DELAY IN PROCESSING OF INVESTOR GROUPING CHANGES AND IN CERTAIN CASES TAKING AS MUCH AS 19 TO 20 DAYS TO INTIMATE NSDL AFTER RECEIPT OF COMPLETE DOCUMENTS FROM FOREIGN PORTFOLIO INVESTORS

ALLEGED GRANTED EXEMPTIONS FROM GRANULAR DISCLOSURE REQUIREMENTS TO CERTAIN BENEFICIAL OWNERS OF FPIS WITHOUT ENSURING COMPLIANCE WITH APPLICABLE REGULATORY FRAMEWORK

ALLEGED FAILURE IN EXERCISING DUE DILIGENCE TO ASCERTAIN INVESTOR GROUPING OF FPIS   		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.57,20,000 VIDE CONSENT ORDER)

17-MAR-2026 		 
24
History of entity/person WAAREE ENERGIES LTD.

(PAN:AAACA4043J)  
  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 		 
25
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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