| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
CAPITALAIM FINANCIAL ADVISORY PVT.LTD.
(PAN:AAFCC0828E)
|
|
|
|
ABHIJEET BAJPAI
DIN:06393590
PAN:AKOPB2348A
|
|
SOLD ADVISORY SERVICES PRIOR TO COMMUNICATION OF RISK PROFILE
SOLD HIGH-RISK PRODUCT/SERVICE TO CLIENT WITH MODERATE/LOW RISK APPETITE
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
CHARGED SERVICE FEES DISPROPORTIONATE TO ANNUAL INCOME/PROPOSED INVESTMENT
SOLD ADVISORY SERVICES/PACKAGES TO SAME CLIENTS ON MULTIPLE OCCASION AT DIFFERENT ARBITRARY PRICE FOR FUTURE/OVERLAPPING PERIOD WHILE EXISTING SUBSCRIPTION WAS ACTIVE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 08-FEB-2021 TO 07-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 08-FEB-2021 TO 07-FEB-2026
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 08-FEB-2021 TO 07-FEB-2026
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 08-FEB-2021 TO 07-FEB-2026
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 08-FEB-2021 TO 07-FEB-2026
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 08-FEB-2021 TO 07-FEB-2026
DIRECTED TO IMMEDIATELY REMOVE ALL CONTENTS FROM ITS WEBSITE AND DISPLAY ONLY CONTENT IN ITS WEBSITE THAT SEBI HAS PASSED VIDE ITS ORDER
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND CREDITS MADE IN DEMAT ACCOUNTS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
08-FEB-2021
|
SEBI VIDE ITS ORDER DATED 09/01/2023 DIRECTED TO A) CONTINUE TO BE PROHIBITED FROM ACCESSING SECURITIES MARKET AND FURTHER RESTRAINED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES IN ANY MANNER WHATSOEVER, EITHER DIRECTLY OR ON BEHALF OF ANY OF CLIENTS THROUGH THEIR ACCOUNTS FOR FIVE YEARS FROM DATE OF THIS ORDER B) RESOLVE THE COMPLAINTS PENDING ON THE SCORES PLATFORM AND OTHERWISE WITHIN 30 DAYS FROM DATE OF THIS ORDER AND FURNISH A REPORT TO SEBI C) DURING PERIOD OF RESTRAINT EXISTING HOLDING, INCLUDING UNITS OF MUTUAL FUNDS TO REMAIN FROZEN D) NOT TO DIVERT ANY FUNDS COLLECTED FROM INVESTORS, KEPT IN BANK ACCOUNT(S) AND/OR IN THEIR CUSTODY AND NOT TO ALIENATE ANY ASSETS, WHETHER MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE ON SUCH ASSETS HELD IN THE NAME OF NOTICEES INCLUDING MONEY LYING IN BANK ACCOUNTS, TO CONTINUE EXCEPT FOR MAKING REFUNDS TO CLIENTS, WITH PRIOR PERMISSION OF SEBI
SAT: SAT VIDE ITS ORDER DATED 04/05/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS FROM DATE OF THIS ORDER AND REJOINDER TO BE FILED ON OR BEFORE NEXT DATE. DIRECTED RESPONDENT TO DEFREEZE BANK AND DEMAT ACCOUNTS FORTHWITH
SAT: SAT VIDE ITS ORDER DATED 05/07/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 07/12/2023 CONDONED THE DELAY IN FILING OF APPEAL
|
| 82 |
|
|
CAPITALSTARS FINANCIAL RESEARCH PVT.LTD.
(PAN:AAECC5843N)
|
|
|
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
RECEIVED PAYMENT BEFORE DOING KNOW YOUR CLIENTS (KYC) AND RISK PROFILING OF CLIENTS
SOLD ADVISORY SERVICES/PACKAGES TO SAME CLIENTS ON MULTIPLE OCCASION AT DIFFERENT ARBITRARY PRICE FOR FUTURE/OVERLAPPING PERIOD WHILE EXISTING SUBSCRIPTION WAS ACTIVE
DID NOT OBTAIN AND/OR MAINTAIN ANY DOCUMENTS FOR KNOW YOUR CLIENTS (KYC), RISK PROFILING, SUITABILITY, ACKNOWLEDGEMENT FROM CLIENTS, COMMUNICATION WITH CLIENTS/INVESTORS, CALL RECORDING OF CARRYING OUT RISK PROFILING AND RATIONALE FOR ADVISORY SERVICES ETC.
INDULGED IN INVESTMENT ADVISORY SERVICES WITHOUT POSSESSING REQUISITE QUALIFICATIONS
|
PROHIBITED FROM TAKING UP ANY NEW ASSIGNMENT OR CONTRACT OR LAUNCH A NEW SCHEME FROM 27-JAN-2023 TO 15-MAR-2023
27-JAN-2023
|
|
| 83 |
|
|
CAPITALSTARS FINANCIAL RESEARCH PVT.LTD.
(PAN:AAECC5843N)
|
|
|
|
ABHISHEK UPADHYAY
PAN:ABKPU2337H
|
|
|
AMIT SHARMA
PAN:BUKPS0563F
|
|
|
ANIRUDH YADAV
PAN:ABYPY8297L
|
|
|
RISHBHA BANTHIA
PAN:AMYPB9003A
|
|
DID NOT CARRY OUT RISK PROFILING OF CLIENTS
USED LEADING AND VAGUE QUESTIONS IN RISK PROFILING FORM
COLLECTED INSUFFICIENT AND INCOMPLETE INFORMATION WITHOUT SUPPORTING DOCUMENTS THROUGH RISK PROFILING QUESTIONNAIRE
OFFERED PRODUCTS/SERVICES WITHOUT ASSESSING APPROPRIATE RISK BEARING CAPACITY OF THE CLIENTS
CARRIED OUT IMPROPER RISK PROFILING OF CLIENTS
CHARGED SERVICE FEES DISPROPORTIONATE TO ANNUAL INCOME/PROPOSED INVESTMENT
SOLD ADVISORY SERVICES/PACKAGES TO SAME CLIENTS ON MULTIPLE OCCASION AT DIFFERENT ARBITRARY PRICE FOR FUTURE/OVERLAPPING PERIOD WHILE EXISTING SUBSCRIPTION WAS ACTIVE
DID NOT MAINTAIN RECORDS OF COMMUNICATION WITH CLIENTS DURING RISK PROFILING AND SUITABILITY ASSESSMENT OF ADVICE/SELECTION OF ADVISORY PRODUCT/SERVICES
DID NOT REPORT SUSPICIOUS TRANSACTIONS UNDER PMLA/AML PROVISONS
DID NOT HAVE REQUISITE NISM CERTIFICATES AT ALL TIMES TO PROVIDE INVESTMENT ADVICE
PROVIDED FALSE INFORMATION REGARDING DETAILS OF COMPLIANCE OFFICER
DID NOT OBTAIN NISM CERTIFICATION AS RESEARCH ANALYST
DID NOT COMMUNICATE RISK PROFILE TO CLIENTS
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 16-DEC-2022 TO 15-MAR-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 16-DEC-2022 TO 15-MAR-2023
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO UPDATE AML, PMLA POLICY AS PER SEBI MASTER CIRCULAR DATED 15/10/2019 AND APPOINT DESIGNATED DIRECTORS AS PER SEBI CIRCULAR DATED 12/03/2014 WITHIN THREE MONTHS
IMPOSED PENALTY RS.12,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-DEC-2022
|
|
| 84 |
|
|
CAPITALVIA GLOBAL RESEARCH LTD.
(PAN:AADCC5782H)
|
|
|
|
ANSHUL MANSINGKA
PAN:AGRPM3025A
|
|
|
KIRAN RAVINDRA KUMAR CHOUDHARY
PAN:AAEPK1536D
|
|
|
ROHIT GADIA
PAN:AGXPG1899A
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT UPDATE RISK PROFILE PERIODICALLY
DID NOT OBTAIN RELEVANT INFORMATION FROM CLIENTS
DID NOT ENSURE SUITABILITY ADVICE PROVIDE TO CLIENTS
DID NOT MAINTAIN RECORDS PERTAINING TO INVESTMENT ADVISORY SERVICES
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
DID NOT USE WORDS ‘INVESTMENT ADVISER’ IN ITS NAME
DID NOT MAKE DISCLOSURES TO CLIENTS
INVOLVED IN PROVIDING ADVISORY AND EXECUTION SERVICES WITHOUT ANY SEGREGATION AND MAINTAINED ARMS-LENGTH RELATIONSHIP BETWEEN INVESTMENT ADVISORY AND EXECUTION ACTIVITY
DID NOT ACT IN FIDUCIARY CAPACITY WITH DUE SKILL, CARE & DILIGENCE TOWARDS ITS CLIENTS AND DID NOT OBTAIN INFORMATION FROM CLIENTS WITH REGARD TO FINANCIAL SITUATION, INVESTMENT EXPERIENCE, INVESTMENT OBJECTIVES ETC.
CHARGED HUGE FEES FROM ITS CLIENTS WITHOUT JUSTIFICATION
PROVIDED INCORRECT INFORMATION WITH RESPECT TO SERVICE OFFERED ON ITS WEBSITE
SOLICITED CLIENTS THROUGH VARIOUS WEBSITES
|
IMPOSED PENALTY RS.70,00,000 ALONG WITH OTHER ENTITIES/PERSONS
19-OCT-2022
|
SEBI VIDE ITS NOTICE DATED 19/01/2023 DIRECTED TO PAY RS.1,04,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 25/04/2025 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6214 OF 2023 DATED 19/01/2023
|
| 85 |
|
|
CAPITALVIA GLOBAL RESEARCH LTD.
(PAN:AADCC5782H)
|
|
|
|
ANUSHIKA SHUKLA
PAN:HBJPS0767K
|
|
|
KIRAN RAVINDRA KUMAR CHOUDHARY
PAN:AAEPK1536D
|
|
|
PREM PRAKASH
PAN:AIAPP8261A
|
|
|
ROHIT GADIA
PAN:AGXPG1899A
|
|
REPRESENTATIVES/EMPLOYEES DID NOT HAVE REQUISITE QUALIFICATION AND CERTIFICATION
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
ENGAGED IN CONTRARY TRANSACTIONS WITH REFERENCE TO INVESTMENT ADVICE RENDERED WITHIN FIFTEEN DAYS FROM DATE OF ADVICE
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
DID NOT ASSESS SUITABILITY OF INVESTMENT ADVICE AND MAINTAIN APPROPRIATE STANDARDS OF CONDUCT
DID NOT MONITOR COMPLIANCES AS COMPLIANCE OFFICER
|
IMPOSED PENALTY RS.33,00,000 ALONG WITH OTHER ENTITIES/PERSONS
27-DEC-2024
|
SAT: SAT VIDE ITS ORDER DATED 17/04/2025 ALLOWED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO FILED WITHIN TWO WEEKS THEREAFTER. INTERIM ORDER OF STAY OF RECOVERY IS SUBJECT TO DEPOSIT 50% OF PENALTY AMOUNT
|
| 86 |
|
|
CAPITALVIA GLOBAL RESEARCH LTD.
(PAN:AADCC5782H)
|
|
|
|
ANSHUL MANSINGKA
PAN:AGRPM3025A
|
|
|
KIRAN RAVINDRA KUMAR CHOUDHARY
PAN:AAEPK1536D
|
|
|
ROHIT GADIA
PAN:AGXPG1899A
|
|
DID NOT ADHERE TO "KNOW YOUR CLIENT" DIRECTIVES/INSTRUCTIONS/GUIDELINES
DID NOT OBTAIN RELEVANT INFORMATION FROM CLIENTS
DID NOT COMMUNICATE RISK PROFILE TO CLIENTS
DID NOT UPDATE RISK PROFILE PERIODICALLY
DID NOT ENSURE WHETHER ADVICE PROVIDED TO THE CLIENT IS SUITABLE TO THEM OR NOT
DID NOT MAKE DISCLOSURES TO CLIENTS
INVOLVED IN PROVIDING ADVISORY AND EXECUTION SERVICES WITHOUT ANY SEGREGATION AND MAINTAINED ARMS-LENGTH RELATIONSHIP BETWEEN INVESTMENT ADVISORY AND EXECUTION ACTIVITY
DID NOT ACT IN FIDUCIARY CAPACITY WITH DUE SKILL, CARE & DILIGENCE TOWARDS ITS CLIENTS AND DID NOT OBTAIN INFORMATION FROM CLIENTS WITH REGARD TO FINANCIAL SITUATION, INVESTMENT EXPERIENCE, INVESTMENT OBJECTIVES ETC.
CHARGED HUGE FEES FROM ITS CLIENTS WITHOUT JUSTIFICATION
SOLICITED CLIENTS THROUGH VARIOUS WEBSITES
PROVIDED INCORRECT INFORMATION WITH RESPECT TO SERVICE OFFERED ON ITS WEBSITE
DID NOT ADHERE TO CERTIFICATION REQUIREMENTS AS SPECIFIED IN INVESTMENT ADVISORY REGULATIONS, 2013
DID NOT USE WORDS ‘INVESTMENT ADVISER’ IN ITS NAME
|
DIRECTED TO REDRESS INVESTOR GRIEVANCES
DIRECTED NOT TO SOLICIT OR UNDERTAKE ANY FRESH ADVISORY BUSINESS FROM 11-NOV-2016 TILL FURTHER ORDERS
11-NOV-2016
|
SAT: SAT VIDE ITS ORDER DATED 06/01/2017 DIRECTED WTM OF SEBI TO HEAR THE APPELLANT ON 16/01/2017 AND PASS ORDER BY 20/01/2017 AND COMMUNICATE THE SAME TO THE APPELLANT ON 20/01/2017 ITSELF. NO COSTS
SEBI VIDE ITS ORDER DATED 20/01/2017 DIRECTED I) NOT TO SOLICIT OR UNDERTAKE ANY FRESH ADVISORY BUSINESS FOR ANOTHER PERIOD OF FOUR MONTHS FROM DATE OF THIS ORDER II) DISCONTINUE ACCEPTANCE OF FUNDS FROM CLIENTS INCLUDING BY WAY OF DEACTIVATION OF ONLINE REMITTANCES, WITH IMMEDIATE EFFECT DURING THIS FOUR MONTHS PERIOD AND III) DISCLOSE CONTENTS OF THESE DIRECTIONS PROMINENTLY ON ITS WEBSITE(S) IMMEDIATELY
|
| 87 |
|
|
CAPPROIN FINANCIAL ADVISORY SERVICES
(PAN:AAJFC0166C)
|
|
|
|
JASMEET KAUR BAGGA (AKA.JASMEET KAUR SANDHU)
PAN:BNTPB7100D
|
|
|
SOURABH RAI
PAN:AVUPR3304B
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 26-DEC-2022 TO 25-DEC-2025
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 26-DEC-2022 TO 25-DEC-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-DEC-2022 TO 25-DEC-2025
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 26-DEC-2022 TO 25-DEC-2025
26-DEC-2022
|
|
| 88 |
|
|
CAPQUEST RESEARCH PVT.LTD.
(CIN:U74140DL2015PTC279589
PAN:AAGCC0137R)
|
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 11-DEC-2017 TO 10-DEC-2021
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-DEC-2017 TO 10-DEC-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-DEC-2017 TO 10-DEC-2021
04-JUL-2017
|
SEBI VIDE ITS ORDER DATED 11/12/2017 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM THE CLIENTS IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES AND SUBMIT A CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANT WHO IS IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION WITHIN A PERIOD OF THREE MONTHS B) NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS, KEPT IN BANK ACCOUNTS AND/OR IN THEIR CUSTODY, EXCEPT FOR THE PURPOSE OF REFUNDS TO THE CLIENTS C) REPAYMENT TO THE CLIENTS THROUGH BANK DEMAND DRAFT OR PAY ORDER D) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY AND INDIRECTLY IN WHATSOEVER MANNER, FOR A PERIOD OF FOUR YEARS DATE OF COMPLETION OF REFUNDS TO INVESTORS E) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION FROM SEBI EXPIRY OF PERIOD OF DEBARMENT
SEBI VIDE ITS NOTICE DATED 08/01/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
|
| 89 |
|
|
CAPQUEST RESEARCH PVT.LTD.
(CIN:U74140DL2015PTC279589
PAN:AAGCC0137R)
|
|
|
|
GITESH MALIK
DIN:07159286
PAN:BJVPM8516J
|
|
|
PRASHANT KUMAR
PAN:BTDPK3372G
DIN:07159278
|
|
|
SHANSHANKA SHARMA
PAN:EFHPS5052E
DIN:07159273
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 11-DEC-2017 TO 10-NOV-2021
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 11-DEC-2017 TO 10-NOV-2021
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 11-DEC-2017 TO 10-NOV-2021
DIRECTED TO FILE CERTIFICATE OF COMPLETION OF PROCESS WITH SEBI FROM TWO INDEPENDENT PEER REVIEWED CHARTERED ACCOUNTANTS
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 11-DEC-2017 TO 10-NOV-2021
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 11-DEC-2017 TO 10-NOV-2021
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 11-DEC-2017 TO 10-NOV-2021
04-JUL-2017
|
SEBI VIDE ITS ORDER DATED 11/12/2017 DIRECTED TO A) REFUND THE MONEY RECEIVED FROM THE CLIENTS IN RESPECT OF UNREGISTERED INVESTMENT ADVISORY ACTIVITIES AND SUBMIT A CERTIFICATE FROM PEER REVIEWED CHARTERED ACCOUNTANT WHO IS IN THE PANEL OF ANY PUBLIC AUTHORITY OR PUBLIC INSTITUTION WITHIN A PERIOD OF THREE MONTHS B) NOT TO DIVERT ANY FUNDS RAISED FROM INVESTORS, KEPT IN BANK ACCOUNTS AND/OR IN THEIR CUSTODY, EXCEPT FOR THE PURPOSE OF REFUNDS TO THE CLIENTS C) REPAYMENT TO THE CLIENTS THROUGH BANK DEMAND DRAFT OR PAY ORDER D) NOT TO, DIRECTLY OR INDIRECTLY, ACCESS SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN THE SECURITIES MARKET, DIRECTLY AND INDIRECTLY IN WHATSOEVER MANNER, FOR A PERIOD OF FOUR YEARS DATE OF COMPLETION OF REFUNDS TO INVESTORS E) NOT TO UNDERTAKE, EITHER DIRECTLY OR INDIRECTLY, INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN THE SECURITIES MARKET WITHOUT OBTAINING A CERTIFICATE OF REGISTRATION FROM SEBI EXPIRY OF PERIOD OF DEBARMENT
SEBI VIDE ITS NOTICE DATED 08/01/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS 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
|
| 90 |
|
|
CAPVISION INVESTMENT ADVISOR
(PAN:AAJFC0782A)
|
|
|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
IMPOSED PENALTY RS.75,00,000
06-OCT-2016
|
SAT: APPEAL DISMISSED. DIRECTED APPELLANT TO PAY COST TO SEBI RS.1 LAC
SEBI VIDE ITS NOTICE DATED 01/01/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.44,44,378.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 91 |
|
|
CAPVISION INVESTMENT ADVISOR
(PAN:AAJFC0782A)
|
|
|
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 27-MAR-2023
27-MAR-2023
|
|
| 92 |
|
|
CAPVISION INVESTMENT ADVISOR
(PAN:AAJFC0782A)
|
|
|
|
REKHA MISHRA
PAN:CFQPM0385H
|
|
ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
28-FEB-2023
|
|
| 93 |
|
|
CAPVISION INVESTMENT ADVISOR
(PAN:AAJFC0782A)
|
|
|
SENT FALSE TRADING MESSAGES AND LURED COMPLAINANT TO DEPOSIT RS.3.37 LACS ITS ACCOUNT VIOLATING REGULATION 15(9) READ WITH CALUSES 1 & 2 OF CODE OF CONDUCT PROVID IN SCHEDULE THIRD OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013
DELAY IN REDRESSING INVESTOR COMPLAINTS VIOLATING REGULATION 21(1) OF SEBI (INVESTMENT ADVISORS) REGULATIONS, 2013
|
IMPOSED PENALTY RS.8,00,000
28-NOV-2017
|
SAT: SAT VIDE ITS ORDER DATED 25/09/2019 PARTLY ALLOWED THE APPEAL BY REDUCING PENALTY TO RS.8.00 LACS FROM RS.16.00 LACS. NO COSTS
SEBI VIDE ITS NOTICE DATED 01/01/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.27,05,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
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| 94 |
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CAPVISION INVESTMENT ADVISOR
(PAN:AAJFC0782A)
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PUSHPENDRA CHOURASIYA
PAN:DCFFP0828H
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RAVI PRAKASH MISHRA
PAN:AWDPM5709M
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ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
ALLOWED HBJ CAPITAL SERVICES PVT.LTD., AN ENTITY RESTRAINED BY SEBI FROM ACTING AS AN ADVISOR, TO PROVIDE INVESTMENT ADVISORY SERVICES USING HIS SEBI REGISTRATION AND ALSO IN HIS PROPRIETORY CONCERN OSAR CAPITAL
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY AS INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET FROM DATE OF ORDER FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-FEB-2023 TO 27-FEB-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
IMPOSED PENALTY RS.12,00,000
28-FEB-2023
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| 95 |
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CAPVISION INVESTMENT ADVISOR LTD.
(PAN:AAGCC2325P)
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GOVIND SINGH THAKUR
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PUSHPENDRA CHOURASIYA
PAN:DCFFP0828H
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SAHARSH MISHRA
PAN:CSAPM7641F
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ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY AS INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET FROM DATE OF ORDER FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-FEB-2023 TO 27-FEB-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
28-FEB-2023
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| 96 |
|
|
CAPVISION,M/S
(PAN:DCFFP0828H)
|
|
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PUSHPENDRA CHOURASIYA
PAN:DCFFP0828H
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ENGAGED IN NON-GENUINE AND DECEPTIVE ACTIVITY OF OBTAINING PAYMENTS FROM CLIENTS TO THIRD PARTY BANK ACCOUNTS VIOLATING SECTIONS 12(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CAPVISION INVESTMENT ADVISOR
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
PROVIDED INVESTMENT ADVICE ON FREE TRIALS TO CLIENTS
DID NOT DISPLAY COMPLAINTS STATUS ON WEBSITE
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 28-FEB-2023 TO 27-FEB-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
RESTRAINED FROM ASSOCIATED WITH ANY OTHER LISTED COMPANY OR SEBI REGISTERED INTERMEDIARY IN ANY CAPACITY INCLUDING DIRECTOR OR KEY MANAGERIAL PERSON DIRECTLY OR INDIRECTLY FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY AS INVESTMENT ADVISORY SERVICES OR ANY ACTIVITY IN SECURITIES MARKET FROM DATE OF ORDER FROM 28-FEB-2023 TO 27-FEB-2026
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO ACCEPT REFUND CLAIMS/REQUESTS FROM THE PUBLIC
DIRECTED TO DEPOSIT REMAINING BALANCE AMOUNT WITH SEBI TO BE KEPT IN ESCROW ACCOUNT
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 28-FEB-2023 TO 27-FEB-2026
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
28-FEB-2023
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| 97 |
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CARE INVESTMENT SERVICES PVT.LTD.
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|
ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
CEASED & DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET INCLUDING ACTIVITY OF ACTING AND REPRESENTING THROUGH ANY MEDIA (PHYSICAL OR DIGITAL) AS AN INVESTMENT ADVISOR, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DIRECTED TO CEASE & DESIST FROM ACTING AS AN INVESTMENT ADVISOR AND/OR RESEARCH ANALYST AND CEASE TO SOLICIT OR UNDERTAKE SUCH ACTIVITIES OR ANY OTHER UNREGISTERED ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DIRECTED NOT TO DIVERT ANY FUNDS RAISED FROM PUBLIC AT LARGE KEPT IN BANK ACCOUNT AND/OR IN THE CUSTODY OF THE COMPANY FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO IMMEDIATELY WITHDRAW AND REMOVE ALL ADVERTISEMENTS, REPRESENTATIONS, LITERATURES, BROCHURES, MATERIALS, PUBLICATIONS, DOCUMENTS, WEBSITE, ETC. IN RELATION TO THOSE SCHEMES / ACTIVITIES (INVESTMENT ADVISER AND ALTERNATIVE INVESTMENT FUND, AND/OR RESEARCH ANALYST) OR ANY UNREGISTERED ACTIVITIES FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 07-FEB-2020 UNTIL FURTHER ORDERS
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT NOT TRANSFERRED SECURITIES HELD JOINTLY OR SEVERALLY
07-FEB-2020
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| 98 |
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CASH COW BROKING & ADVISORY SOLUTIONS
(PAN:AAIFC2855R)
|
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SHAILENDRA SEN
PAN:BUXPS9559Q
|
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 18-JAN-2022 TO 17-JAN-2024
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 18-JAN-2022 TO 17-JAN-2024
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 18-JAN-2022 TO 17-JAN-2024
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-JAN-2022 TO 17-JAN-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-JAN-2022 TO 17-JAN-2024
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 18-JAN-2022 TO 17-JAN-2024
18-JAN-2022
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| 99 |
|
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CASH COW BROKING & ADVISORY SOLUTIONS
(PAN:AAIFC2855R)
|
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AMIT JAIN
PAN:AGSPJ3021G
|
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CHIRAG SHARMA
PAN:ASWPS7685C
|
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ACTED AS INVESTMENT ADVISER WITHOUT SEBI REGISTRATION
|
DIRECTED TO REFUND MONEY TO THE INVESTORS
DIRECTED TO ISSUE PUBLIC NOTICE, IN ALL EDITIONS OF TWO NATIONAL DAILIES IN CONNECTION WITH THE REFUND OF MONEY
DIRECTED TO MAKE REFUND THROUGH BANKING CHANNELS SUCH AS DEMAND DRAFT AND/OR PAY ORDER AND/OR ELECTRONIC MODE OF TRANSFER
DIRECTED BANKS NOT TO ALLOW ANY DEBITS/WITHDRAWLS AND CREDITS FROM ACCOUNT WITHOUT PERMISSION OF SEBI FROM 18-JAN-2022 TO 17-JAN-2023
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 18-JAN-2022 TO 17-JAN-2023
DIRECTED TO SUBMIT COMPLETION REPORT OF REPAYMENT TO SEBI CERTIFIED BY INDEPENDENT CHARTERED ACCOUNTANT
DIRECTED NOT TO UNDERTAKE EITHER DIRECTLY OR INDIRECTLY INVESTMENT ADVISORY SERVICES AND/OR RESEARCH ANALYST ACTIVITY IN SECURITIES MARKET WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI FROM 18-JAN-2022 TO 17-JAN-2023
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 18-JAN-2022 TO 17-JAN-2023
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 18-JAN-2022 TO 17-JAN-2023
RESTRAINED FROM ASSOCIATING WITH ANY LISTED PUBLIC COMPANY AND ANY PUBLIC COMPANY WHICH INTENDS TO RAISE MONEY FROM PUBLIC FROM 18-JAN-2022 TO 17-JAN-2023
18-JAN-2022
|
SAT: SAT VIDE ITS ORDER DATED 31/05/2022 CONDONED THE DELAY IN FILING OF APPEAL. ALLOWED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANTS TO FILE REJOINDER THREE WEEKS THEREAFTER. DIRECTED APPELLANTS TO DEPOSIT RS.30 LAC BEFORE THE RESPONDENT WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 29/08/2022 REJECTED MODIFICATION APPLICATION. ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 27/04/2023 DISMISSED THE APPEAL
SEBI VIDE ITS NOTICE DATED 17/01/2024 DIRECTED TO PAY RS.1,29,68,616.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 14/06/2024 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 15/07/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.1,35,91,062.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 08/08/2024 GRANTED APPELLANTS EXTENSION OF TIME TO DEPOSIT DEMAND DRAFT OF RS.30 LAC TODAY AND RS.10 LAC WITHIN A WEEK FROM DATE OF THIS ORDER
SEBI VIDE ITS NOTICE DATED 13/09/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 14/06/2024
SEBI VIDE ITS NOTICE DATED 13/09/2024 CANCELLED RECOVERY CERTIFICATE NO.7511 OF 2024 DATED 17/01/2024
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| 100 |
|
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COFAGR INVESTMENT ADVISOR
(PAN:AKJPT1053B)
|
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|
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ASHISH SINGH
PAN:AKJPT1053B
|
|
DID NOT PAY RENEWAL FEES AS AN INVESTMENT ADVISER
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR
27-NOV-2025
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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| Page 5 of 27
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