| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
PENBROOK CAPITAL ADVISORS PVT.LTD.
(PAN:AAGCP3459B)
|
|
|
|
ANUJ RANJAN
PAN:AUTPR5763Q
|
|
|
CHETAN DESAI
PAN:AACPD5693G
|
|
|
NARENDRA ANEJA
PAN:AADPA5229J
|
|
|
PRASHANT SAGWEKAR
PAN:AVUPS1958E
|
|
|
RAJEEV ASHOK PIRAMAL
PAN:AAEPP7727R
|
|
|
SRIDHAR RENGAN
PAN:ACZPR2381L
|
|
|
URVI ASHOK PIRAMAL
PAN:AAJPP8861F
|
|
ALLEGED FAILURE IN CONTINUING INTEREST OF RS.5.0 CRORE IN FORM OF INVESTMENT AND EXTENSION OF TENURE OF FUND MORE THAN PERMISSIBLE PERIOD (4 YEARS + 1 YEAR) IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 7(1)(A) READ WITH SEBI CIRCULAR NO.CIR/IMD/DF/14/2014 DATED 19/06/2014
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.63,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JAN-2022
|
|
| 42 |
|
|
PENINSULA BROOKFIELD TRUSTEE PVT.LTD.
(PAN:AAGCP3469D)
|
|
|
ALLEGED FAILURE IN CONTINUING INTEREST OF RS.5.0 CRORE IN FORM OF INVESTMENT AND EXTENSION OF TENURE OF FUND MORE THAN PERMISSIBLE PERIOD (4 YEARS + 1 YEAR) IN PRIVATE PLACEMENT MEMORANDUM VIOLATING REGULATION 7(1)(A) READ WITH SEBI CIRCULAR NO.CIR/IMD/DF/14/2014 DATED 19/06/2014
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.63,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-JAN-2022
|
|
| 43 |
|
|
PIRAMAL INVESTMENT ADVISORY SERVICES PVT.LTD.
(PAN:AAHCP2291G)
|
|
|
|
JAYESH RAMNIKLAL DESAI
PAN:AAMPD4038P
|
|
|
LEONARD PETER D’SOUZA
PAN:AADPD1290N
|
|
|
PARVEZ KEKI UMRIGAR
PAN:AAAPU5744M
|
|
|
RAJESH RATANLAL LADDHA
PAN:ABOPL3015F
|
|
ALLEGED VIOLATION OF REGULATIONS 10(D), 13, 27 (1) (D) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 AND SEBI MASTER CIRCULAR NO.CIR/ISD/AML/3/2010 DATED 31/12/2010 IN MATTER OF PIRAMAL INVESTMENT OPPORTUNITIES FUND
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.76,50,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
30-JUN-2021
|
|
| 44 |
|
|
SREI ALTERNATIVE INVESTMENT MANAGERS LTD.
(PAN:AAGCS5232F)
|
|
|
ALLEGED USING PART OF CONTRIBUTION OF INVESTORS FOR THE PURPOSE OF GIVING LOANS VIOLATING REGULATION 2(1)(B) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,17,89,431 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-JUL-2018
|
|
| 45 |
|
|
SREI MULTIPLE ASSET INVESTMENT TRUST
(PAN:AANTS4505M)
|
|
|
ALLEGED USING PART OF CONTRIBUTION OF INVESTORS FOR THE PURPOSE OF GIVING LOANS VIOLATING REGULATION 2(1)(B) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,17,89,431 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
25-JUL-2018
|
|
| 46 |
|
|
TCG ADVISORY SERVICES PVT.LTD.
(PAN:AAACW4907B)
|
|
|
ALLEGED FAILURE IN WINDING UP OF THE SCHEME WITH IN 90 DAYS AFTER THE CORPUS OF THE FUND FALL BELOW RS.20 CRORE VIOLATING REGULATION 10(D) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,00,000 VIDE CONSENT ORDER)
10-OCT-2024
|
|
| 47 |
|
|
UNIFI CAPITAL PVT.LTD.
(PAN:AAACU5196J)
|
|
|
ALLEGED INVESTMENT IN MUTUAL FUNDS CATEGORIZED AS LARGE CAPITAL FUNDS
ALLEGED FAILURE IN MAKING DISCLOSURE TO INVESTORS THE LEVEL OF LEVERAGE ARISING FROM POSITION HELD IN FUTURES
ALLEGED DELAY IN OBTAINING SCORES LOGIN AND PASSWORD
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.49,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
01-AUG-2023
|
SEBI VIDE ITS ORDER DATED 18/12/2023 DISPOSED OF THE APPEAL AS THE SETTLEMENT AMOUNT OF RS.49.40 LAC HAS BEEN PAID AS PER THE SETTLEMENT ORDER DATED 01/08/2023 READ WITH ADDENDUM DATED 05/12/2023
|
| 48 |
|
|
UTTHISHTA MANAGEMENT ADVISORS LLP
(PAN:AADFU2183P)
|
|
|
|
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
|
|
| 49 |
|
|
UTTHISHTA VIRAT FUND
(PAN:AAATU8228J)
|
|
|
|
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
|
|
| 50 |
|
|
VENTURE GURUKOOL INVESTMENT TRUST
(PAN:AADTV0339A)
(Along with : FEDSEC TRUSTEESHIP SERVICES PVT.LTD.)
|
|
|
|
ANKHI DAS
PAN:ADQPD6606A
|
|
|
MAHENDRA SWARUP
PAN:AAMPS6405M
|
|
|
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
|
|
| 51 |
|
|
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
|
|
| 52 |
|
|
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
|
|
| 53 |
|
|
WHITESPACE ALPHA TRUST
(PAN:AAATW5453D)
|
|
|
|
PRAVEEN DWARAKANATH
PAN:ANKPD7583J
|
|
|
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
|
|
| 54 |
|
|
WHITESPACE FUND LLP
(PAN:AADFW1831G)
|
|
|
|
PRAVEEN DWARAKANATH
PAN:ANKPD7583J
|
|
|
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. |
| |
|
|
| Page 3 of 3
|
