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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 (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
41
History of entity/person UTTHISHTA MANAGEMENT ADVISORS LLP

(PAN:AADFU2183P)  
Click here to view complete history of this specific entity/person P.RAMA KRISHNA

PAN:AFDPR6468M
  		ALLEGED FAILURE IN MAINTAINING 2.5% OF INVESTIBLE CORPUS AS CONTINUING INTEREST VIOLATING REGULATIONS 10(D) AND 20(1) READ WITH CLAUSE 1(E) OF CODE OF CONDUCT AS MENTIONED IN FOURTH SCHEDULE OF (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 AND CLAUSE 13.3.2 (II) OF MASTER CIRCULAR DATED 07/05/2024   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

20-DEC-2024 		 
42
History of entity/person UTTHISHTA VIRAT FUND

(PAN:AAATU8228J)  
Click here to view complete history of this specific entity/person P.RAMA KRISHNA

PAN:AFDPR6468M
  		ALLEGED FAILURE IN MAINTAINING 2.5% OF INVESTIBLE CORPUS AS CONTINUING INTEREST VIOLATING REGULATIONS 10(D) AND 20(1) READ WITH CLAUSE 1(E) OF CODE OF CONDUCT AS MENTIONED IN FOURTH SCHEDULE OF (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 AND CLAUSE 13.3.2 (II) OF MASTER CIRCULAR DATED 07/05/2024   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.28,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

20-DEC-2024 		 
43
History of entity/person VENTURE GURUKOOL INVESTMENT TRUST

(PAN:AADTV0339A)

(Along with : FEDSEC TRUSTEESHIP SERVICES PVT.LTD.)  
Click here to view complete history of this specific entity/person ANKHI DAS

PAN:ADQPD6606A
Click here to view complete history of this specific entity/person MAHENDRA SWARUP

PAN:AAMPS6405M
Click here to view complete history of this specific entity/person NTASHA BERRY

PAN:AWMPB3253G
  		ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 25% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

31-JUL-2024 		 
44
History of entity/person VISTRA ITCL (INDIA) LTD.

(PAN:AAACI6832K)  
  ALLEGED VIOLATION OF CLAUSES 15.2.3 AND 15.2.4 OF MASTER CIRCULAR DATED 07/05/2024 READ WITH CIRCULAR CIR/IMD/DF/14/2014 DATED 19/06/2014 READ WITH REGULATIONS 20(1) AND 20(2) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSE 3(B) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012IN MATTER OF INDIAN SCHOOL FINANCE CO.PVT.LTD.   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

13-SEP-2024 		 
45
History of entity/person VISTRA ITCL (INDIA) LTD.

(PAN:AAACI6832K)  
  ALLEGED FAILURE TO WIND UP FUND/SCHEME AND DISTRIBUTE PROCEEDS TO INVESTORS PURSUANT TO THE COMPLETION OF ITS TENURE AS DISCLOSED IN PRIVATE PLACEMENT MEMORANDUM   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,13,750 VIDE CONSENT ORDER)

14-MAR-2024 		 
46
History of entity/person WHITESPACE ALPHA TRUST

(PAN:AAATW5453D)  
Click here to view complete history of this specific entity/person PRAVEEN DWARAKANATH

PAN:ANKPD7583J
Click here to view complete history of this specific entity/person RAMASWAMY SHIVARAMAN

PAN:BZOPS3579J
  		ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

15-FEB-2024 		 
47
History of entity/person WHITESPACE FUND LLP

(PAN:AADFW1831G)  
Click here to view complete history of this specific entity/person PRAVEEN DWARAKANATH

PAN:ANKPD7583J
Click here to view complete history of this specific entity/person RAMASWAMY SHIVARAMAN

PAN:BZOPS3579J
  		ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)

15-FEB-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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