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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
PERIOD COVERED : 30-NOV-2007 TO 21-NOV-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.

PERSONS: REACHED SETTLEMENT (CONSENT ORDER) AGREED CLAWING BACK OF 43,310.73 UNITS ALLOTTED TO MR.DEEPAK AGRAWAL REDEEMED AND AMOUNT BE CREDITED TO SCHEMES (I.E. 38,342.684 UNITS HELD IN AXIS QUANT FUND AND 4,968.044 UNITSHELD IN AXIS VALUE FUND)

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person DEEPAK AGRAWAL

(PAN:AESPA5728F)  
  ALLEGED INDULGENCE IN PROVIDING STOCK TIPS AND DIVULGED SPECIFIC INFORMATION ABOUT SCRIPS IN WHICH SCHEMES OF AXIS MUTUAL FUND TOOK AND/OR SQUARED OFF POSITION VIOLATING REGULATION 25(6B)(B) READ WITH CLAUSE 2(F) OF PART-B OF FIFTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 AND PARA 6.6.2.2 OF SEBI MASTER CIRCULAR DATED 19/05/2023

ALLEGED FAILURE IN MAKING DISCLOSURE OF DIRECTORSHIP IN PRIVATE LIMITED COMPANY VIOLATING REGULATION25(6B)(B) READ WITH CLAUSES 1(H), 1(J), 2(C) AND 2(F) OF PART-B OF FIFTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF AXIS MUTUAL FUND

ALLEGED PASS INFORMATION TO EMPLOYEES OF LISTED EQUITY ALTERNATIVES INDUCING THEM TO BUY/SELL SECURITIES WHICH WERE BEING BOUGHT AND/OR SOLD BY MUTUAL FUND VIOLATING REGULATION 25(6B)(B) READ WITH CLAUSES 1(B), 1(E), 1(F) AND 1(G) OF PART-B OF FIFTH SCHEDULE OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF AXIS MUTUAL FUND   		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.85,80,000 VIDE CONSENT ORDER)

REACHED SETTLEMENT (CONSENT ORDER) AGREED CLAWING BACK OF 43,310.73 UNITS ALLOTTED TO MR.DEEPAK AGRAWAL REDEEMED AND AMOUNT BE CREDITED TO SCHEMES (I.E. 38,342.684 UNITS HELD IN AXIS QUANT FUND AND 4,968.044 UNITSHELD IN AXIS VALUE FUND)

15-SEP-2025 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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