| 2024-03-07 | regulatory | SEBI HAS PRIMA FACIE OBSERVED THAT THE ACTIONS OF JM FINANCIAL LIMITED ("JMFL") APPEAR TO BE AN UNFAIR TRADE PRACTICE UNDER REGULATION 4(1) OF THE SEBI (PROHIBITION OF FRAUDULENT AND UNFAIR TRADE PRACTICES RELATING TO THE SECURITIES MARKET) REGULATION, 2003 AND IN CONTRAVENTION OF CLAUSES 2, 3, 9, 1… | Pending | — |
| 2024-03-05 | regulatory | THE PRINCIPAL ALLEGATIONS ARE: DEFICIENCIES IN RESPECT OF LOANS SANCTIONED BY JMFPL TO ITS CLIENTS/BORROWERS FOR SUBSCRIBING TO THE INITIAL PUBLIC OFFERINGS BY THE ISSUER COMPANIES INCLUDING FOR SUBSCRIPTIONS OF THE NON-CONVERTIBLE DEBENTURES; CREDIT APPRAISAL PROCESS. | Final | — |
| 2023-05-25 | regulatory | SEBI HAD ISSUED A SHOW-CAUSE NOTICE DATED MAY 25,2023 ("SCN") IN THE MATTER OF VOLUNTARY DELISTING OFFER BY ONE OF THE CLIENTS OF JM FINANCIAL LIMITED ("JMFL") TO CERTAIN ENTITIES, INCLUDING JMFL. IT WAS ALLEGED IN THE SCN THAT JMFL FAILED TO EXERCISE DUE DILIGENCE, CARE AND PROFESSIONAL JUDGEMENT A… | Final | $18K |
| 2022-11-15 | regulatory | JM FINANCIAL TRUSTEE COMPANY PRIVATE LIMITED ("JMFTCPL") WAS ALLEGED TO HAVE VIOLATED THE PROVISIONS OF CLAUSE 2 OF FIFTH SCHEDULE TO THE SEBI (MUTUAL FUNDS) REGULATIONS, 1996 | Final | $12K |
| 2022-11-15 | regulatory | JM FINANCIAL ASSET MANAGEMENT LIMITED ("JMFAML") WAS ALLEGED TO HAVE ACTED IN CONTRAVENTION OF THE SEBI CIRCULAR DATED NOVEMBER 17, 2016 AND VIOLATED THE PROVISIONS OF CLAUSE 2 OF FIFTH SCHEDULE TO THE SEBI (MUTUAL FUNDS) REGULATIONS, 1996. | Final | $30K |
| 2010-07-12 | civil | PLEASE REFER TO DETAILS IN POINT 14 OF PART II OF CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (ADV) | On Appeal | — |