| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
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
|
|
| 82 |
|
|
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
|
|
| 83 |
|
|
PARANJAPE PLUTUS FUND-1
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
CANCELLED REGISTRATION AS ALTERNATE INVESTMENT FUND FROM 16-FEB-2024
16-FEB-2024
|
|
| 84 |
|
|
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
|
|
| 85 |
|
|
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
|
|
| 86 |
|
|
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
|
|
| 87 |
|
|
PLUTUS FUND ADVISORS PVT.LTD.
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2022
|
|
| 88 |
|
|
QUANT FIRST ALTERNATE INVESTMENT TRUST
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
CANCELLED REGISTRATION AS ALTERNATE INVESTMENT FUND FROM 16-FEB-2024
16-FEB-2024
|
|
| 89 |
|
|
QUANT FIRST ASSET ADVISORS INDIA LTD.
(PAN:AAACQ2925P)
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 10/08/2023 DIRECTED TO PAY RS.2,23,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 13/09/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 12/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,27,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
SEBI VIDE ITS ORDER DATED 28/01/2026 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY, ALONG WITH ORIGINAL TITLE DEEDS PERTAINING TO THE PROPERTIES, WITHIN TWO WEEKS FROM DATE OF THIS ORDER AT SEBI, SOUTHERN REGIONAL OFFICE, CHENNAI D) DEFAULTERS AND INSPECTOR GENERAL OF REGISTRATION OF ALL THE STATES AND UNION TERRITORIES AND SPECIFICALLY TO THE CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS IN THE STATE OF KARNATAKA E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED / HELD BY THE DEFAULTER, INCLUDING THE SAID PROPERTIES, IF PRESENTED FOR REGISTRATION
|
| 90 |
|
|
SAVEDA VENTURE CAPITAL FUND
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
SUSPENDED REGISTRATION AS ALTERNATE INVESTMENT FUND FROM 16-FEB-2024 TO 15-AUG-2024
16-FEB-2024
|
|
| 91 |
|
|
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
|
|
| 92 |
|
|
SREI ALTERNATIVE INVESTMENT MANAGERS LTD.
(PAN:AAGCS5232F)
|
|
|
INVESTED MORE THAN 25% OF TOTAL INVESTIBLE FUNDS COLLECTED FROM INVESTORS IN A SINGLE INVESTEE COMPANY VIOLATING REGULATION 15(1) (C) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
DID NOT MAINTAIN SPECIFIED CONTINUING INTEREST VIOLATING REGULATION 10(D) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
DIT NOT COMPLY WITH INVESTMENT COMMITTEE’S DECISION AND DID NOT FOLLOW INVESTMENT STRATEGY SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM (PPM) VIOLATING SEBI CIRCULAR NO.CIR/IMD/DF/7/2/2015 DATED 01/10/2015
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-NOV-2017
|
SAT: SAT VIDE ITS ORDER DATED 04/05/2018 GRANTED APPROVAL UNDER REGULATION 16(2) OF SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATION, 2014 FOR SETTLEMENT OF PROCEEDINGS. NO COSTS
|
| 93 |
|
|
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
|
|
| 94 |
|
|
SREI MULTIPLE ASSET INVESTMENT TRUST
(PAN:AANTS4505M)
|
|
|
INVESTED MORE THAN 25% OF TOTAL INVESTIBLE FUNDS COLLECTED FROM INVESTORS IN A SINGLE INVESTEE COMPANY VIOLATING REGULATION 15(1) (C) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
DID NOT MAINTAIN SPECIFIED CONTINUING INTEREST VIOLATING REGULATION 10(D) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
DIT NOT COMPLY WITH INVESTMENT COMMITTEE’S DECISION AND DID NOT FOLLOW INVESTMENT STRATEGY SPECIFIED IN PRIVATE PLACEMENT MEMORANDUM (PPM) VIOLATING SEBI CIRCULAR NO.CIR/IMD/DF/7/2/2015 DATED 01/10/2015
|
IMPOSED PENALTY RS.30,00,000 ALONG WITH OTHER ENTITIES/PERSONS
29-NOV-2017
|
SAT: SAT VIDE ITS ORDER DATED 04/05/2018 GRANTED APPROVAL UNDER REGULATION 16(2) OF SEBI (SETTLEMENT OF ADMINISTRATIVE AND CIVIL PROCEEDINGS) REGULATION, 2014 FOR SETTLEMENT OF PROCEEDINGS. NO COSTS
|
| 95 |
|
|
SRS ALTERNATIVE INVESTMENT FUND
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
CANCELLED REGISTRATION AS ALTERNATE INVESTMENT FUND FROM 16-FEB-2024
16-FEB-2024
|
|
| 96 |
|
|
SRS FINANCE LTD.
(PAN:AAICS7755D)
|
|
|
DID NOT FILE QUARTERLY REPORTS TO SEBI
|
IMPOSED PENALTY RS.2,00,000
30-SEP-2022
|
SEBI VIDE ITS NOTICE DATED 12/05/2023 DIRECTED TO PAY RS.2,19,000.00 IN MATTER OF NON-COMPLIANCE OF SEBI (AIF) REGULATIONS, 2012
SEBI VIDE ITS ORDER DATED 28/08/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 05/10/2023 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.2,29,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 97 |
|
|
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
|
|
| 98 |
|
|
TRINITY ALTERNATIVE INVESTMENT MANAGERS LTD.
(PAN:AAGCS5232F)
|
|
|
REPAID INDIRECTLY LOANS TO THE COMPANY ASSOCIATED WITH THE SPONSOR VIOLATING REGULATION 2(1)(B) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
DID NOT MAKE DISCLOSURE OF OBJECTIVE (REPAYMENT OF LOAN TO SREI EQUIPMENT FINANCE PVT.LTD.) TO INVESTMENT COMMITTEE AND DID NOT PRODUCE AND RECORD COMPLETE DUE-DILIGENCE BEFORE INVESTMENT COMMITTEE VIOLATING REGULATIONS 21, 22 AND 24(E) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
DID NOT DO PROPER DUE DILIGENCE AND DID NOT COMPLY WITH STATEMENTS IN PLACEMENT MEMORANDUM VIOLATING REGULATION 11 OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
IMPOSED PENALTY RS.50,00,000
18-AUG-2023
|
SAT: SAT VIDE ITS ORDER DATED 20/10/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. DIRECTED APPELLANT TO DEPOSIT RS.10 LAC BEFORE RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER. IF AMOUNT DEPOSITED, BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
|
| 99 |
|
|
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
|
| 100 |
|
|
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
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 6
|
