| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ACACIA BANYAN PARTNERS
(PAN:AAGCA6900N)
|
|
|
ALLEGED FAILURE IN MAKING WRONG STATEMENTS THAT ‘CONIFER CAPITAL MANAGEMENT LLC’ NOT CONTROLLED BY BENEFICIAL OWNER VIOLATING CLAUSE 6 OF CODE OF CONDUCT
AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 2 |
|
|
ACACIA CONSERVATION FUND LP
(PAN:ABCFA8290P)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 3 |
|
|
ACACIA II PARTNERS, LP
(PAN:AALFA7270M)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 4 |
|
|
ACACIA INSTITUTIONAL PARTNERS, LP
(PAN:AALFA7287Q)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 5 |
|
|
ACACIA PARTNERS, LP
(PAN:AALFA7272K)
|
|
|
ALLEGED FAILURE TO IDENTIFY BENEFICIAL OWNER BY CONTROL AND MAKING WRONG STATEMENTS IN ITS BENEFICIAL OWNER DECLARATION VIOLATING CLAUSE 6 OF CODE OF CONDUCT AS REQUIRED IN SCHEDULE THIRD READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 AND CLAUSE 4 OF PART B OF MASTER CIRCULAR READ WITH REGULATION 22(1)(A) OF SEBI (FPI) REGULATIONS, 2019 READ WITH SUB-RULE 3 OF RULE 9 OF PML RULES, 2005 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FURNISHING WRONG AND MISLEADING BENEFICIAL OWNER AND GROUPING DECLARATIONS VIOLATING CLAUSES 1, 2 AND 5 OF THIRD SCHEDULE OF CODE OF CONDUCT READ WITH REGULATION 23 OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED BREACH OF INVESTMENT LIMIT OF 10% OF PAID CAPITAL OF INVESTEE COMPANY VIZ., MCDOWELL HOLDINGS LTD. VIOLATING REGULATION 20(7) OF SEBI (FPI) REGULATIONS, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.78,00,000 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 6 |
|
|
BNP PARIBAS
(PAN:AAACB4868Q)
|
|
|
ALLEGED INDULGENCE IN GRANTING CATEGORY II LICENSE TO SIX FPIS INELIGIBLE TO BE REGISTERED AS CATEGORY II FPI VIOLATING REGULATIONS 5(B) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014 AND REGULATION 45(2) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019
ALLEGED FAILURE TO IDENTIFY THAT SIX FPIS NOT REGULATED BY THE UK-FCA AT THE TIME OF CONVERSION AND INCORRECTLY RE-CATEGORISED SIX FPIS AS CATEGORY I UNDER FPI REGULATIONS 2019 VIOLATING REGULATIONS 45(2)(B) READ WITH 5(A) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 AND PARA 2(V) OF PART A OF OPERATIONAL GUIDELINES FOR FPIS, DDPS DATED 05/11/2019
ALLEGED INDULGENCE IN GRANTING CATEGORY I REGISTRATION TO ANOTHER FPI VIOLATING REGULATION 7(1) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 AND PARA 2(V) OF PART A OF OPERATIONAL GUIDELINES FOR FPIS, DDPS DATED 05/11/2019
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.39,97,500 VIDE CONSENT ORDER)
11-NOV-2025
|
|
| 7 |
|
|
CITIBANK N.A.
(PAN:AAACC0462F)
|
|
|
ALLEGED VIOLATION OF REGULATION 32(1) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019
ALLEGED VIOLATION OF CLAUSE 3 OF CODE OF CONDUCT OF THIRD SCHEDULE UNDER REGULATION 37 OF SEBI (DEPOSITORIES & PARTICIPANT) REGULATIONS, 2018 AND PARA 2 OF PART A & PARA 8 OF PART A OF OPERATIONAL GUIDELINES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.40,20,000 VIDE CONSENT ORDER)
27-AUG-2024
|
|
| 8 |
|
|
CITIBANK N.A.
(PAN:AAACC0462F)
|
|
|
ALLEGED GRANT REGISTRATION/RENEWAL TO CERTAIN INELIGIBLE FOREIGN PORTFOLIO INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.8,25,000 VIDE CONSENT ORDER)
29-FEB-2024
|
|
| 9 |
|
|
CITICORP INVESTMENT BANK (SINGAPORE) LTD.
(PAN:AAACC5806F)
|
|
|
ALLEGED TO ISSUE OFFSHORE DERIVATIVE INSTRUMENT TO SYMMETRY MASTER FUND LTD. WITHOUT COMPLYING WITH ‘KNOW YOUR CLIENTS’ NORMS VIOLATING REGULATION 21(1)(C) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATION, 2019 READ WITH PARAGRAPH 2 OF PART D OF MASTER CIRCULAR
ALLEGED DELAY IN DEPOSITING REGULATORY FEE COLLECTED FROM SUBSCRIBER OF OFFSHORE DERIVATIVE INSTRUMENT VIOLATING REGULATION 21(4) SEBI (FPI) REGULATIONS READ WITH CLAUSE 1 OF PART C OF II SCHEDULE OF (FPI) REGULATIONS, 2019
ALLEGED FAILURE TO PUT IN PLACE NECESSARY SYSTEMS, CONTROLS AND PROCEDURES WITH RESPECT TO ISSUANCE OF OFFSHORE DERIVATIVE INSTRUMENT AND ‘KNOW YOUR CLIENTS’ REQUIREMENTS VIOLATING PARAGRAPH 3(III) OF PART D OF MASTER CIRCULAR
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.36,00,000 VIDE CONSENT ORDER)
05-MAR-2025
|
|
| 10 |
|
|
CONIFER MANAGEMENT, LLC
(PAN:AAHCC4006E)
|
|
|
ALLEGED FAILURE TO ENSURE MAINTENANCE OF ACCURATE GROUPING DETAILS WITH ITS DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING REGULATION 22(1)(I) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
ALLEGED DELAY IN INTIMATING MATERIAL INFORMATION TO BOARD AND DESIGNATED DEPOSITORY PARTICIPANTS VIOLATING CLAUSE 14 OF PART A OF MASTER CIRCULAR READ WITH REGULATION 22(1)(C) OF SEBI (FPI) REGULATION, 2019 IN MATTER OF ACACIA GROUP OF FPIS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.24,37,500 VIDE CONSENT ORDER)
20-MAR-2025
|
|
| 11 |
|
|
DEUTSCHE BANK AG
(PAN:AAACD1390F)
|
|
|
ALLEGED GRANT REGISTRATION/RENEWAL TO CERTAIN INELIGIBLE FOREIGN PORTFOLIO INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.11,05,000 VIDE CONSENT ORDER)
29-FEB-2024
|
|
| 12 |
|
|
EMERGING INDIA FOCUS FUNDS
(PAN:AACCE0596N)
|
|
|
ALLEGED VIOLATION OF REGULATION 22(1)(C) AND (H) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019
ALLEGED VIOLATION OF CLAUSE 6 OF THIRD SCHEDULE OF CODE OF CONDUCT OF REGULATION 23 OF SEBI(FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019
ALLEGED VIOLATION OF CLAUSE 6 READ WITH CLAUSE 3(B)(III) OF SCHEDULE II READ WITH REGULATION 7 OF SEBI (INTERMEDIARIES) REGULATIONS, 2008
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.64,35,000 VIDE CONSENT ORDER)
18-NOV-2024
|
|
| 13 |
|
|
GOLDMAN SACHS (SINGAPORE) PTE.
(PAN:AAFCG0345N)
|
|
|
ALLEGED MISMATCH OF INVESTMENT MANAGERS FOR MULTI-MANAGED CLIENTS WITH
RESPECT TO FOUR ODI SUBSCRIBERS VIOLATING REGULATION 21(3) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 R/W PARAGRAPH 3(IV) OF PART D OF OPERATIONAL GUIDELINES FOR FOREIGN PORTFOLIO INVESTORS, DESIGNATED DEPOSITORY PARTICIPANTS AND ELIGIBLE FOREIGN INVESTORS
ALLEGED FAILURE IN PROVIDING DETAILS OF INVESTMENT MANAGERS/BENEFICIAL OWNERS INFORMATION OF THREE ODI SUBSCRIBERS ANNEXURE-D OF MONTHLY ODI REPORTING VIOLATING REGULATION 21(3) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 R/W PARAGRAPH 3(IV) OF PART D OF OPERATIONAL GUIDELINES FOR FOREIGN PORTFOLIO INVESTORS, DESIGNATED DEPOSITORY PARTICIPANTS AND ELIGIBLE FOREIGN INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.26,44,500 VIDE CONSENT ORDER)
18-SEP-2023
|
|
| 14 |
|
|
HDFC BANK LTD.
(PAN:AAACH2702H)
|
|
|
ALLEGED PERMIT INELIGIBLE FOREIGN PORTFOLIO INVESTORS TO TRANSACT IN INDIAN SECURITIES MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.9,18,750 VIDE CONSENT ORDER)
29-FEB-2024
|
|
| 15 |
|
|
HONGKONG & SHANGHAI BANKING CORP.LTD.,THE
(PAN:AAACT2786P)
|
|
|
ALLEGED GRANT REGISTRATION/RENEWAL TO CERTAIN INELIGIBLE FOREIGN PORTFOLIO INVESTORS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.10,87,500 VIDE CONSENT ORDER)
29-FEB-2024
|
|
| 16 |
|
|
JP MORGAN CHASE BANK,N.A.
(PAN:AAACT5545N)
|
|
|
ALLEGED FAILURE IN PREVENTING FIDELITY MANAGEMENT & RESEARCH CO.LLC (FMRC) FROM TRADING IN SECURITIES MARKET DESPITE KNOWING THAT FIDELITY INVESTMENTS MONEY MANAGEMENT INC. (FIMM) HAD MERGED INTO FMRC AND FMRC DID NOT HAVE VALID REGISTRATION
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.22,10,000 VIDE CONSENT ORDER)
07-JUL-2023
|
|
| 17 |
|
|
JP MORGAN CHASE BANK,N.A.
(PAN:AAACT5545N)
|
|
|
ALLEGED GRANTING CATEGORY II FPI LICENSES TO FOUR UK-BASED FPIS THAT WERE NOT REGISTERED OR REGULATED BY FINANCIAL CONDUCT AUTHORITY (UK-FCA) VIOLATING REGULATION 7(1) READ WITH 5(B) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014
ALLEGED RE-CATEGORIZED AS CATEGORY I WITHOUT IDENTIFYING THAT THEY WERE NOT REGULATED BY UK-FINANCIAL CONDUCT AUTHORITY (UK-FCA) VIOLATING REGULATION 5(A) READ WITH 45(2)(B) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2014
ALLEGED FAILURE TO REASSESS ELIGIBILITY OF FPI AND DELAY IN OBTAINING FRESH REGISTRATION VIOLATING REGULATION 31(1)(A) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 READ WITH CLAUSE 14(II) OF PART A OF MASTER CIRCULAR DATED 30/05/2024 AS AMENDED BY SEBI CIRCULAR NO.SEBI/HO/AFD/AFD-POD-2/P/CIR/2024 DATED 05/06/2024
ALLEGED PERMITTING FPI TO CONTINUE MAKING ADDITIONAL PURCHASES EVEN AFTER BEING INFORMED OF A TYPE I MATERIAL CHANGE VIOLATING REGULATION 31(1)(A) OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 READ WITH CLAUSE 14(II) OF PART A OF MASTER CIRCULAR DATED 30/05/2024 AS AMENDED BY SEBI CIRCULAR NO.SEBI/HO/AFD/AFD-POD-2/P/CIR/2024 DATED 05/06/2024
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.34,42,500 VIDE CONSENT ORDER)
20-MAR-2026
|
|
| 18 |
|
|
MERRILL LYNCH MARKETS SINGAPORE PTE LTD.
(PAN:AAJCM5878Q)
|
|
|
ALLEGED INCORRECT REPORTING OF OFFSHORE DERIVATIVE INSTRUMENTS (ODI) IN MONTHLY REPORTS VIOLATING REGULATION 21 OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 AND DIRECTIVES/INSTRUCTIONS/GUIDELINES DATED 05/11/2019
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,35,000 VIDE CONSENT ORDER)
26-JUL-2021
|
|
| 19 |
|
|
NOMURA SINGAPORE LTD.
(PAN:AADCN2750N)
|
|
|
ALLEGED INCORRECT REPORTING OF OFFSHORE DERIVATIVE INSTRUMENTS (ODI) IN MONTHLY REPORTS VIOLATING REGULATION 21 OF SEBI (FOREIGN PORTFOLIO INVESTORS) REGULATIONS, 2019 AND DIRECTIVES/INSTRUCTIONS/GUIDELINES DATED 05/11/2019
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.25,35,000 VIDE CONSENT ORDER)
03-MAR-2021
|
|
| 20 |
|
|
RASELLE CAPITAL VCC
(PAN:AALCR6438D)
|
|
|
ALLEGED VIOLATION OF REGULATION 22(1)(C) OF SEBI (FPI) REGULATIONS, 2019
ALLEGED VIOLATION OF CLAUSE 12 OF PART A OF MASTER CIRCULAR FOR FOREIGN PORTFOLIO INVESTORS AND DESIGNATED DEPOSITORY PARTICIPANTS (DDPS) DATED 19/12/2022
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,23,50,000 VIDE CONSENT ORDER)
02-JUL-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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