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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
UPDATED TILL : 16-DEC-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.

PORTFOLIO MANAGERS: ALLOW CLIENTS OR INVESTORS TO WITHDRAW OR TRANSFER THEIR SECURITIES OR FUNDS HELD IN CUSTODY OR TO WITHDRAW ANY ASSIGNMENT GIVEN TO WITHOUT ANY ADDITIONAL COST

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person SCIENT CAPITAL PVT.LTD.

(PAN:AAWCS3001J)  
  DID NOT MAINTAIN MINIMUM NETWORTH

SUBMITTED INCORRECT AND MISLEADING COMPLIANCE REPORT

AUTHORISED PERSONS DID NOT HAVE NISM CERTIFICATION   		PROHIBITED FROM TAKING ON-BOARDING ANY NEW CLIENTS AND ACCEPTING ADDITIONAL FUNDS OR SECURITIES FROM ITS EXISTING CLIENTS FROM 06-OCT-2025 TILL DIRECTION COMPLIED

ALLOW CLIENTS OR INVESTORS TO WITHDRAW OR TRANSFER THEIR SECURITIES OR FUNDS HELD IN CUSTODY OR TO WITHDRAW ANY ASSIGNMENT GIVEN TO WITHOUT ANY ADDITIONAL COST FROM 06-OCT-2025 TILL DIRECTION COMPLIED

IMPOSED PENALTY RS.6,00,000

06-OCT-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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