| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
360 ONE ALTERNATES ASSET MANAGEMENT LTD.
(PAN:AACCZ2983Q)
(Along with : 360 ONE PRIVATE EQUITY FUND)
|
|
|
|
SAKSHAM KOHLI
PAN:BQOPK0276P
|
|
ALLEGED ACCEPTANCE OF INVESTMENTS IN 360 ONE SEED VENTURES FUND 1 FROM OTHER ALTERNATIVE INVESTMENT FUNDS (AIFS) WHILE AT THE SAME TIME HAVING INVESTED IN UNITS OF OTHER AIFS VIOLATING REGULATIONS 15(1)(DA), 20(1) AND 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN MATTER OF 360 ONE PRIVATE EQUITY FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-AUG-2025
|
|
| 2 |
|
|
360 ONE PRIVATE EQUITY FUND
(PAN:AAATI9829H)
(Along with : 360 ONE ALTERNATES ASSET MANAGEMENT LTD.)
|
|
|
|
SAKSHAM KOHLI
PAN:BQOPK0276P
|
|
ALLEGED ACCEPTANCE OF INVESTMENTS IN 360 ONE SEED VENTURES FUND 1 FROM OTHER ALTERNATIVE INVESTMENT FUNDS (AIFS) WHILE AT THE SAME TIME HAVING INVESTED IN UNITS OF OTHER AIFS VIOLATING REGULATIONS 15(1)(DA), 20(1) AND 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN MATTER OF 360 ONE PRIVATE EQUITY FUND
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.14,62,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
28-AUG-2025
|
|
| 3 |
|
|
AGRICREST INVESTMENT ADVISORS PVT.LTD.
(PAN:AAHCG5202E)
|
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.62,88,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
06-MAR-2025
|
|
| 4 |
|
|
ANKURIT ADVISORS PVT.LTD.
(PAN:AANCA6209M)
|
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 25% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-JUL-2024
|
|
| 5 |
|
|
AREION ASSETS MANAGEMENT PVT.LTD.
(PAN:AARCA2450N)
|
|
|
ALLEGED FAILURE TO COMPLY WITH THE PROVISIONS OF AIF REGULATIONS AS ASSIS BREACHED THE CONCENTRATION LIMIT VIOLATING REGULATIONS 15(1)(C) READ WITH 20(1) AND 20(5) READ WITH CLAUSE 2(A) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,08,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-APR-2024
|
|
| 6 |
|
|
AREION SPECIAL SITUATION FUND
(PAN:AAGTA9439B)
|
|
|
ALLEGED TOOK EXPOSURE TO A SINGLE ENTITY BY ROUTING THROUGH FIVE DIFFERENT TRUSTS AND TOTAL INVESTMENT ACROSS 5 TRUSTS (WITH EXPOSURE TO SAME ENTITY) WAS 25.58% OF INVESTABLE FUNDS WHICH WAS BEYOND CONCENTRATION LIMIT VIOLATING REGULATIONS 15(1)(C) READ WITH 20(1) AND 20(5) READ WITH CLAUSE 2(A) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,08,750 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
29-APR-2024
|
|
| 7 |
|
|
BARING PRIVATE EQUITY INDIA INVESTMENT MANAGER LLP
|
|
|
ALLEGED VIOLATION OF REGULATIONS 15(1)(D) READ WITH REGULATION 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.16,57,500 VIDE CONSENT ORDER)
20-FEB-2023
|
|
| 8 |
|
|
CLEAN MAX ENERGY VENTURES PVT.LTD.
(PAN:AAECC5179P)
|
|
|
ALLEGED FAILURE IN OBTAINING APPROVAL FROM SEBI FOR CHANGE IN CONTROL OF SPONSOR AND ALSO INDIRECT CHANGE IN CONTROL OF INVESTMENT MANAGER VIOLATING REGULATION 20(13) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.17,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-DEC-2023
|
|
| 9 |
|
|
CLEAN MAX ENERGY VENTURES PVT.LTD.
(PAN:AAECC5179P)
|
|
|
|
KULDEEP JAIN
PAN:AEJPJ4284J
|
|
|
NIKUNJ GHODAWAT
PAN:AHCPG8170G
|
|
|
NITAI VIJAY
PAN:ABFPV5668P
|
|
ALLEGED APPOINTMENT AS INVESTMENT MANAGER INCLUDING IDENTIFYING INVESTMENT OPPORTUNITIES AND MAKING INVESTMENT DECISIONS VIOLATING REGULATIONS 15(1)(C) READ WITH 20(5) & 20(1) AND CLAUSE 2(A) OF CODE OF CONDUCT OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 IN MATTER OF CLEAN MAX RENEWABLE TRUST
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.19,30,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-OCT-2024
|
|
| 10 |
|
|
CLEAN MAX ENVIRO ENERGY SOLUTIONS PVT.LTD.
(PAN:AAECC1568J)
|
|
|
ALLEGED FAILURE IN OBTAINING APPROVAL FROM SEBI FOR CHANGE IN CONTROL OF SPONSOR AND ALSO INDIRECT CHANGE IN CONTROL OF INVESTMENT MANAGER VIOLATING REGULATION 20(13) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.17,40,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
11-DEC-2023
|
|
| 11 |
|
|
CLEAN MAX RENEWABLE TRUST
(PAN:AACTC5665M)
|
|
|
|
KULDEEP JAIN
PAN:AEJPJ4284J
|
|
|
NIKUNJ GHODAWAT
PAN:AHCPG8170G
|
|
|
NITAI VIJAY
PAN:ABFPV5668P
|
|
ALLEGED EXCEEDING LIMIT OF 25% IN THREE INVESTMENTS NAMELY CLEAN MAX PLUTO SOLAR POWER LLP, CLEAN MAX POWER 3 LLP AND KAS ONSITE POWER SOLUTIONS LLP BY INVESTING RS.6.5 CRORE IN EACH OF INVESTEE COMPANY/VENTURE VIOLATING REGULATION 15(1)(C) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.19,30,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-OCT-2024
|
|
| 12 |
|
|
DIVINION ADVISORY SERVICES PVT.LTD.
(PAN:AAICD0429P)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 20(1), 20(2) AND 20(5) READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT AS SPECIFIED IN FOURTH SCHEDULE OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-MAY-2024
|
|
| 13 |
|
|
DIVINION ALTERNATIVE INDIA FUND
(PAN:AADTD8416E)
|
|
|
ALLEGED INVESTED IN THE CATEGORY OF SECURITIES OTHER THAN PERMITTED CATEGORY VIOLATING REGULATIONS 18(A), 20(1) READ WITH 1(A) OF CODE OF CONDUCT AS SPECIFIED IN FOURTH SCHEDULE OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
15-MAY-2024
|
|
| 14 |
|
|
EAST LANE CAPITAL LLP
(PAN:AAIFE2914K)
|
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUND
ALLEGED DELAY IN ISSUANCE OF UNITS IN DEMATERIALISATION FORM
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.23,40,000 VIDE CONSENT ORDER)
25-OCT-2024
|
|
| 15 |
|
|
EDELWEISS ALTERNATIVE ASSET ADVISORS LTD.
(PAN:AABCE9810G)
|
|
|
ALLEGED FAILURE TO CARRY OUT ACTIVITIES OF ALTERNATIVE INVESTMENT FUND IN ACCORDANCE WITH PRIVATE PLACEMENT MEMORANDUM
ALLEGED FAILURE IN IMPLEMENTING POLICIES AND PROCEDURES TO APPROPRIATELY MITIGATE CONFLICT OF INTEREST AND SUBMITTED INACCURATE INFORMATION TO TRUSTEE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.61,42,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE
RESTRAINED FROM ENGAGING OR ASSOCIATING WITH COMPANY IN ANY MANNER)
FROM 30-SEP-2025 TO 29-SEP-2026
30-SEP-2025
|
|
| 16 |
|
|
FEDSEC TRUSTEESHIP SERVICES PVT.LTD.
(PAN:AAECF3106B)
(Along with : VENTURE GURUKOOL INVESTMENT TRUST)
|
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 25% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,25,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
31-JUL-2024
|
|
| 17 |
|
|
FIDUCIELLE CAPITAL ADVISORS LLP
(PAN:AAEFF6658B)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 15(1)(C), 20(1), 20(2) AND 20(5) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012 READ WITH CLAUSES 2(A) AND 2(C) OF CODE OF CONDUCT IN MATTER OF INDIAN SCHOOL FINANCE CO.PVT.LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
13-SEP-2024
|
|
| 18 |
|
|
FINIDEAS GROWTH FUND
(PAN:AAATF9250H)
|
|
|
|
GOVIND JHAWAR
PAN:AAUPJ2894H
|
|
|
UDIPTH TALERA
PAN:AAIPT4559R
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-APR-2025
|
|
| 19 |
|
|
FINIDEAS INVESTMENT ADVISOR PVT.LTD.
(PAN:AAECF9909Q)
|
|
|
|
GOVIND JHAWAR
PAN:AAUPJ2894H
|
|
|
UDIPTH TALERA
PAN:AAIPT4559R
|
|
ALLEGED VIOLATION OF CONCENTRATION LIMIT OF 10% OF INVESTABLE FUNDS IN A SINGLE INVESTEE COMPANY
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.12,75,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-APR-2025
|
|
| 20 |
|
|
FULCRUM VENTURE INDIA LLP
(PAN:AADFF0557G)
|
|
|
ALLEGED FAILURE TO WIND UP FUND/SCHEME AND DISTRIBUTE PROCEEDS TO INVESTORS PURSUANT TO THE COMPLETION OF ITS TENURE AS DISCLOSED IN PRIVATE PLACEMENT MEMORANDUM
ALLEGED MISREPORTING OF QUARTERLY REPORT FOR QUARTER ENDING SEPTEMBER, 2022
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.32,17,500 VIDE CONSENT ORDER)
14-MAR-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 1 of 3
|
