If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors
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
UPDATED TILL : 11-JUL-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.

FOREIGN INSTITUTIONAL INVESTORS: VIOLATIONS SPECIFIED IN EARLIER SEBI/NSE ORDERS/CIRCULARS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person CARDINAL CAPITAL PARTNERS  
  DID NOT FULFIL BROAD BASED CRITERIA VIOLATING REGULATIONS 7A AND 13A OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995

DID NOT INTIMATE BOARD ABOUT BROAD BASED FUND CRITERIA VIOLATING REGULATION 10(C) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) CORRESPONDING TO REGULATION 23(1) (C) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995

DID NOT FULFIL BROAD BASED FUND CRITERIA AS PER SEBI CIRCULAR CIR/IMD/FIIC/1/2010 DATED 15/04/2010   		IMPOSED PENALTY RS.3,00,000

19-SEP-2018 		 
2
History of entity/person EUROPEAN AMERICAN BANK AG  
  DID NOT FULFIL BROAD BASED CRITERIA VIOLATING REGULATIONS 7A AND 13A OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995

DID NOT INTIMATE BOARD ABOUT BROAD BASED FUND CRITERIA VIOLATING REGULATION 10(C) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) CORRESPONDING TO REGULATION 23(1) (C) OF SEBI (FOREIGN INSTITUTIONAL INVESTORS) REGULATIONS, 1995

DID NOT FULFIL BROAD BASED FUND CRITERIA AS PER SEBI CIRCULAR CIR/IMD/FIIC/1/2010 DATED 15/04/2010   		IMPOSED PENALTY RS.2,00,000

21-AUG-2018 		 
3
History of entity/person INDIA FOCUS CARDINAL FUND

(PAN:AABCI9518D)  
  DID NOT SATISFY THE CRITERIA OF BROAD BASED FUND VIOLATING REGULATION 6(1) (D) OF FII REGULATIONS, 1995

DID NOT ADHERE TO SEBI CIRCULAR CIR/IMD/1/2010 DATED 15/04/2010   		IMPOSED PENALTY RS.5,00,000

31-JUL-2018 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2025
No part of this site may be reproduced without the explicit permission of the owners.

top