| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
63 MOONS TECHNOLOGIES LTD.
(PAN:AAACF5737C)
|
|
|
NOT A FIT & PROPER PERSON TO PROVIDE STP SERVICES AS PER INTERMEDIARIES REGULATIONS READ WITH CLAUSE 3(2)(III) OF STP DIRECTIVES/INSTRUCTIONS/GUIDELINES, 2004
|
REJECTED APPLICATION FOR REGISTRATION AS STP SERVICE PROVIDER
03-DEC-2020
|
SAT: SAT VIDE ITS ORDER DATED 21/12/2020 ALLOWED THREE WEEKS TIME TO RESPONDENT TO FILE REPLY AND APPELLANT TO FILE REJOINDER TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 22/02/2021 REJECTED THE APPLICATION FOR REVIEWING UNDER SEBI (STP CENTRALIZED HUB & STP SERVICES PROVIDERS) GUIDELINES, 2004. DIRECTED TO EFFECT AND OPERATION OF IMPUGNED ORDER DATED 03/12/2020 REMAIN IN ABEYANCE TILL THE DELIVERY OF THE JUDGEMENT
SAT: SAT VIDE ITS ORDER DATED 15/04/2021 DISMISSED THE APPEAL AND PERMITTED APPELLANT TO PROVIDE NECESSARY SERVICES TILL 15/05/2021
SAT: SAT VIDE ITS ORDER DATED 26/04/2021 REJECTED THE APPLICATION FOR EXTEND THE TIME GRANTED
|
| 2 |
|
|
ANAND RATHI COMMODITIES LTD.
(PAN:AAACP6209K)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER
CEASED TO ACT DIRECTLY OR INDIRECTLY AS COMMODITY DERIVATIVES BROKER FROM 25-FEB-2019
25-FEB-2019
|
SAT: APPEAL DISMISSED AS WITHDRAWN
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 05/05/2021 ADJOURNED THE MATTER DIRECTING PARTIES TO EITHER FILE THE REPLIES IN THE APPEALS WHERE THEY HAVE NOT FILED, WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDERS PASSED BY WTM ALLOWED THE APPEALS MATTER REMITTED BACK TO WTM TO DECIDE MATTER AFRESH. THE APPEALS OF NSEL ALSO ALLOWED.
SEBI VIDE ITS ORDER DATED 29/11/2022 REJECTED THE APPLICATION AND DEBARRED FROM MAKING FRESH APPLICATION SEEKING REGISTRATION FOR SIX MONTHS FROM DATE OF THIS ORDER OR TILL ACQUITTAL BY COURTS PURSUANT TO THE CHARGE SHEET AND FIR FILED BY EOW, WHICHEVER EARLIER
|
| 3 |
|
|
GEOFIN COMTRADE LTD.
(PAN:AADCG3019R)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER
CEASED TO ACT DIRECTLY OR INDIRECTLY AS COMMODITY DERIVATIVES BROKER FROM 25-FEB-2019
25-FEB-2019
|
SAT: APPEAL DISMISSED AS WITHDRAWN
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 05/05/2021 ADJOURNED THE MATTER DIRECTING PARTIES TO EITHER FILE THE REPLIES IN THE APPEALS WHERE THEY HAVE NOT FILED, WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDERS PASSED BY WTM ALLOWED THE APPEALS MATTER REMITTED BACK TO WTM TO DECIDE MATTER AFRESH. THE APPEALS OF NSEL ALSO ALLOWED.
SEBI VIDE ITS ORDER DATED 29/11/2022 REJECTED THE APPLICATION AND DEBARRED FROM MAKING FRESH APPLICATION SEEKING REGISTRATION FOR SIX MONTHS FROM DATE OF THIS ORDER OR TILL ACQUITTAL BY COURTS PURSUANT TO THE CHARGE SHEET AND FIR FILED BY EOW, WHICHEVER EARLIER
|
| 4 |
|
|
GLOBAL LIFE INVESTMENT & ADVISORY SERVICES LTD.
|
|
|
NOT A FIT & PROPER PERSON TO GRANT REGISTRATION AS ALTERNATE INVESTMENT FUND
|
DIRECTED TO LIQUIDATE INVESTMENTS AND RETURN THE PROCEEDS TO ITS INVESTORS
DIRECTED TO FILE COMPLIANCE REPORT TO SEBI WITHIN FIFTEEN DAYS FROM EXPIRY OF THREE MONTHS
30-AUG-2019
|
|
| 5 |
|
|
INDIA INFOLINE COMMODITIES LTD.
(PAN:AABCI2930D)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER
CEASED TO ACT DIRECTLY OR INDIRECTLY AS COMMODITY DERIVATIVES BROKER FROM 22-FEB-2019
22-FEB-2019
|
SAT: APPEAL DISMISSED AS WITHDRAWN
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 26/04/2021 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDER DATED 12/04/2018. DISCIPLINARY ACTION COMMITTEE TO ISSUE A FRESH SHOW CAUSE NOTICE
SAT: SAT VIDE ITS ORDER DATED 05/05/2021 ADJOURNED THE MATTER DIRECTING PARTIES TO EITHER FILE THE REPLIES IN THE APPEALS WHERE THEY HAVE NOT FILED, WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 16/06/2021 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 22/02/2019. DIRECTED TO DISCIPLINARY ACTION COMMITTEE TO ISSUED A FRESH SHOW CAUSE NOTICE WITHIN TWO MONTHS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDERS PASSED BY WTM ALLOWED THE APPEALS MATTER REMITTED BACK TO WTM TO DECIDE MATTER AFRESH. THE APPEALS OF NSEL ALSO ALLOWED.
SEBI VIDE ITS ORDER DATED 29/11/2022 REJECTED THE APPLICATION AND DEBARRED FROM MAKING FRESH APPLICATION SEEKING REGISTRATION FOR SIX MONTHS FROM DATE OF THIS ORDER OR TILL ACQUITTAL BY COURTS PURSUANT TO THE CHARGE SHEET AND FIR FILED BY EOW, WHICHEVER EARLIER
|
| 6 |
|
|
JERMYN CAPITAL LLC
|
|
|
CEASED TO BE FIT AND PROPER PERSON TO CONTINUE IN SECURITIES MARKET
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-JAN-2006 TO 30-NOV-2010
13-JAN-2006
|
SAT: APPEAL DISMISSED
RESTRICTION IMPOSED VIDE INTERIM ORDER DATED 13/01/2006 RESTRAINING FORM ACCESSING INDIAN SECURITIES MARKET AND FROM BUYING, SELLING AND DEALING IN SECURITIES IN INDIAN MARKET SHALL CONTINUE TILL 30/11/2010, SUBJECT TO THE ORDERS DATED 15/12/2008 AND 14/05/2009
SAT: APPEAL DISMISSED AS WITHDRAWN
|
| 7 |
|
|
LIFE FUND
|
|
|
NOT A FIT & PROPER PERSON TO GRANT REGISTRATION AS ALTERNATE INVESTMENT FUND
|
PROHIBITED FROM TAKING UP ANY NEW CLIENTS AND ANY NEW CONTRACTS INCLUDING CONTRACTS FROM EXISTING CLIENTS
CANCELLED REGISTRATION AS ALTERNATE INVESTMENT FUND FROM 30-AUG-2019
30-AUG-2019
|
SAT: APPEAL DISMISSED
|
| 8 |
|
|
MOTILAL OSWAL COMMODITIES BROKER PVT.LTD.
(PAN:AAACP3147N)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER
CEASED TO ACT DIRECTLY OR INDIRECTLY AS COMMODITY DERIVATIVES BROKER FROM 22-FEB-2019
22-FEB-2019
|
SAT: APPEAL DISMISSED AS WITHDRAWN
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 05/05/2021 ADJOURNED THE MATTER DIRECTING PARTIES TO EITHER FILE THE REPLIES IN THE APPEALS WHERE THEY HAVE NOT FILED, WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDERS PASSED BY WTM ALLOWED THE APPEALS MATTER REMITTED BACK TO WTM TO DECIDE MATTER AFRESH. THE APPEALS OF NSEL ALSO ALLOWED.
SEBI VIDE ITS ORDER DATED 29/11/2022 REJECTED THE APPLICATION AND DEBARRED FROM MAKING FRESH APPLICATION SEEKING REGISTRATION FOR THREE MONTHS FROM DATE OF THIS ORDER OR TILL DISPOSAL OF FIR FILED WITH EOW, WHICHEVER IS EARLIER
|
| 9 |
|
|
MULTIBAGGER SECURITIES RESEARCH & ADVISORY PVT.LTD.
(PAN:AAKCM8779K)
|
|
|
|
MANISH GOEL (AKA.MANISH KUMAR GOYAL)
PAN:AHWPG4252B
|
|
|
MANISH KUMARR GOYAL (AKA.MANISH GOEL)
PAN:AHWPG4252B
|
|
|
SHAILESH GOYAL
PAN:ALHPG8755E
|
|
NOT A FIT & PROPER PERSON TO GRANT REGISTRATION AS PORTFOLIO MANAGER
|
REJECTED APPLICATION FOR REGISTRATION AS PORTFOLIO MANAGER
DIRECTED NOT TO APPLY FOR FRESH REGISTRATION AS PORTFOLIO MANAGER FROM 18-NOV-2022 TO 17-NOV-2027
18-NOV-2022
|
SAT: SAT VIDE ITS ORDER DATED 24/01/2025 DISMISSED THE APPEAL. NO COSTS
|
| 10 |
|
|
NIRMAL BANG COMMODITIES PVT.LTD.
(PAN:AAACE1479L)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
CANCELLED REGISTRATION AS STOCK BROKER FROM 27-DEC-2023
27-DEC-2023
|
SAT: SAT VIDE ITS ORDER DATED 05/01/2024 STAYED THE EFFECT AND OPERATION OF IMPUGNED ORDER TILL FURTHER ORDERS
SAT: SAT VIDE ITS ORDER DATED 20/06/2024 STAYED THE IMPUGNED ORDER 27/12/2023
SAT: SAT VIDE ITS ORDER DATED 12/07/2024 GRANTED EXTENSION OF SIX MONTHS TO COMPLETE THE ENTIRE PROCEEDINGS AND COME OUT WITH A SCHEME UNDER THE SETTLEMENT REGULATIONS
SAT: SAT VIDE ITS ORDER DATED 12/03/2025 GRANTED EXTENSION FOR FOUR MONTHS TO COMPLY WITH ORDER DATED 12/12/2023
|
| 11 |
|
|
PARSOLI CORPORATE SERVICES LTD.
|
|
|
CEASED TO BE FIT AND PROPER PERSON TO CONTINUE IN SECURITIES MARKET
|
REJECTED APPLICATION FOR REGISTRATION AS MERCHANT BANKER
02-NOV-2010
|
|
| 12 |
|
|
PHILLIP COMMODITIES INDIA PVT.LTD.
(PAN:AACCR6675H)
|
|
|
NOT A FIT & PROPER PERSON TO BE GRANTED REGISTRATION/TO OPERATE AS COMMODITY DERIVATIVES BROKER
|
REJECTED APPLICATION FOR REGISTRATION AS COMMODITY DERIVATIVES BROKER
CEASED TO ACT DIRECTLY OR INDIRECTLY AS COMMODITY DERIVATIVES BROKER FROM 27-FEB-2019
27-FEB-2019
|
SAT: APPEAL DISMISSED AS WITHDRAWN
SAT: APPEAL DISMISSED. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 05/05/2021 ADJOURNED THE MATTER DIRECTING PARTIES TO EITHER FILE THE REPLIES IN THE APPEALS WHERE THEY HAVE NOT FILED, WITHIN TWO WEEKS FROM THE DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 09/06/2022 ALLOWED THE APPEAL AND QUASHED THE IMPUGNED ORDERS PASSED BY WTM ALLOWED THE APPEALS MATTER REMITTED BACK TO WTM TO DECIDE MATTER AFRESH. THE APPEALS OF NSEL ALSO ALLOWED.
SEBI VIDE ITS ORDER DATED 29/11/2022 REJECTED THE APPLICATION AND DEBARRED FROM MAKING FRESH APPLICATION SEEKING REGISTRATION FOR THREE MONTHS FROM DATE OF THIS ORDER OR TILL DISPOSAL OF FIR FILED WITH EOW, WHICHEVER IS EARLIER
|
| 13 |
|
|
SAHARA ASSET MANAGEMENT CO.PVT.LTD.
(PAN:AAACF1696A)
|
|
|
|
A.K.THAKUR
|
|
|
D.P.SHASTRI
|
|
|
P.V.RAO
|
|
|
S.R.HEGDE
|
|
NOT A FIT & PROPER PERSON TO CARRY OUT BUSINESS OF MUTUAL FUND
|
DIRECTED NOT TO TAKE NEW SUBSCRIPTION FROM INVESTORS (INCLUDING EXISTING INVESTOR IN SYSTEMATIC INVESTMENT PLANS (SIP) / SYSTEMATIC TRANSFER PLANS (STP) AND NOT TO CHARGE ANY PENALTIES / LOADS FOR NOT DEPOSITING INSTALLMENTS
28-JUL-2015
|
SAT: APPEAL DISMISSED. NO COSTS
SEBI VIDE ITS ORDER DATED 27/03/2018 A) DIRECTED TRUSTEES OF SAHARA MF AND THE REGISTRAR AND TRANSFER AGENT KARVY COMPUTERSHARE PVT.LTD. TO ENSURE THAT CONTACT DETAILS AND THE BANK DETAILS OF ALL THE INVESTORS OF ‘SAHARA TAX GAIN FUND’ ARE UPDATED SO THAT REDEMPTION PROCEEDS CAN BE SENT TO THE INVESTORS WITHOUT ANY DELAY B) FILE A MONTHLY REPORT TO SEBI UPDATING STATUS OF REDEMPTION PROCESS FROM APRIL, 2018 TILL WINDING UP OF ALL THE SCHEMES
SAT: SAT VIDE ITS ORDER DATED 26/04/2018 PERMITTED APPEALLANTS TO WITHDRAW THE APPEAL. NO COSTS
SAT: SAT VIDE ITS ORDER DATED 03/05/2018 DIRECTED ONE LIFE CAPITAL ADVISORS LTD. TO MAKE FRESH APPLICATION ON OR BEFORE 10/05/2018 SEEKING APPROVAL OF SEBI FOR BEING SPONSOR BY PURCHASING 100% EQUITY CAPITAL OF SAHARA ASSET MANAGEMENT CO.PVT.LTD. NO COSTS
|
| 14 |
|
|
SATYSHIV SHARES & SECURITIES LTD.
|
|
|
PROVIDED FALSE AND MISLEADING INFORMATION ABOUT EXPERIENCE OF DESIGNATED DIRECTORS
|
REJECTED APPLICATION FOR REGISTRATION AS STOCK BROKER
19-APR-2011
|
|
| 15 |
|
|
SHARES BAZAAR AIF
|
|
|
SUBMITTED FALSE INFORMATION ALONG WITH APPLICATION FOR REGISTRATION AS ALTERNATIVE INVESTMENT FUND
NOT A FIT & PROPER PERSON TO GRANT REGISTRATION AS ALTERNATE INVESTMENT FUND
|
RESTRAINED FROM TAKING NEW COMMITMENTS/INVESTMENTS FROM ANY INVESTORS FROM 01-FEB-2024 UNTIL FURTHER ORDERS
RESTRAINED FROM DRAWING DOWN FUNDS FROM INVESTORS FOR COMMITMENTS ALREADY RECEIVED FROM 01-FEB-2024 UNTIL FURTHER ORDERS
01-FEB-2024
|
SEBI VIDE ITS ORDER DATED 30/10/2024 CONFIRMED THE DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 01/02/2024
SAT: SAT VIDE ITS ORDER DATED 30/01/2025 CONDONED THE DELAY OF 11 DAYS IN FILING OF APPEAL. GRANTED RESPONDENT FOUR WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 20/03/2025 RESPONDENT SOUGHT TWO WEEKS TO FILE REPLY AND REJOINDER, IF ANY, BE FILED WITHIN TWO WEEKS THEREAFTER
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
