MOTILAL OSWAL CAPITAL LIMITED of PRABHADEVI, MUMBAI is an SEC-registered investment adviser (CRD 286146). Regulatory assets under management: $116.1M.
Compensation: Other.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| AGARWAL RAHUL NAVIN | DIRECTOR | — |
| SOMAIYAA AASHISH | DIRECTOR AND CHAIRMAN | — |
| KARMASE APARNA | CHIEF COMPLIANCE OFFICER | — |
| OSWAL MOTILAL | DIRECTOR; SHAREHOLDER | — |
| DEL AGRAWAL RAAM | SHAREHOLDER | — |
| MARWAH KARUN | CHIEF EXECUTIVE OFFICER | — |
| SONTHALIA MANISH | PORTFOLIO MANAGER | — |
| DOLIA YATIN DHIRAJLAL | CHIEF OPERATING OFFICER | — |
| THAKER UMANG | CHIEF EXECUTIVE OFFICER | — |
| CHATURVEDI AKHIL | DIRECTOR | — |
| PAYAMEL LOUIS PAUL | CHIEF EXECUTIVE OFFICE | — |
| Dala Juzer | CHIEF OPERATING OFFICER | — |
| JOSHI PRASHANT | CHIEF EXECUTIVE OFFICER | — |
| AGRAWAL VAIBHAV RAAMDEO | PORTFOLIO MANAGER | — |
| AGRAAWAL RAAMDEO | SHAREHOLDER | — |
| Aparna Karmase | CHIEF COMPLIANCE OFFICER | — |
| Raamdeo Agraawal | SHAREHOLDER | — |
| Motilal Oswal | DIRECTOR | — |
| Akhil Chaturvedi | DIRECTOR | — |
| Juzer Dala | CHIEF OPERATING OFFICER | — |
| Vaibhav Raamdeo Agrawal | PORTFOLIO MANAGER | — |
| Deepak Kvenugopal Nair | CHIEF EXECUTIVE OFFICER | — |
| Abhishek Anand | PORTFOLIO MANAGER | — |
Showing 10 of 14 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-03-23 | regulatory | MOTILAL OSWAL FINANCIAL SERVICES LIMITED (MOFSL) HAS RECEIVED SHOW CAUSE NOTICE UNDER SECTIONS 11(1), 11(4), 11(4A), 11B(1) AND 11B (2) OF SEBI ACT, R/W RULE 4(1) OF SEBI (PROCEDURE FOR HOLDING INQUIRY AND IMPOSING PENALTY ) RULES, 1995, IN THE MATTER OF CNBC AWAZ SHOW CO-HOSTED BY MR. HEMANT GHAI.… | Final | $5K |
| 2025-02-20 | regulatory | MOTILAL OSWAL FINANCIAL SERVICES LIMITED (MOFSL) RECEIVED A SHOW CAUSE NOTICE DATED FEBRUARY 20, 2025, FROM SEBI UNDER SECTION 11B(2) CONCERNING THE DEALINGS OF CLIENT RAJNI CHATURVEDI WHEREIN SEBI HAD ALLEGED THAT PRE TRADE CONSENT / ORDER INSTRUCTIONS WERE NOT MAINTAINED BY AP OF MOFSL - OM SECURI… | Final | $37K |
| 2025-01-28 | regulatory | SECURITY EXCHANGE BOARD OF INDIA CONDUCTED AN INSPECTION OF THE MOTILAL OSWAL ASSET MANAGEMENT COMPANY LIMITED - AIF FOR FY 2022-23 VIDE ITS LETTER DATED SEPTEMBER 10, 2024, UNDER REGULATION 30 OF THE SEBI (AIF) REGULATIONS, 2012. PURSUANT TO THE SAME, MOAMC SUBMITTED A VOLUNTARY SETTLEMENT APPLICAT… | Final | $41K |
| 2024-10-10 | regulatory | MOTILAL OSWAL FINANCIAL SERVICES LIMITED (MOFSL) HAS RECEIVED SHOW CAUSE NOTICE DATED OCTOBER 10, 2024 UNDER RULE 4 OF SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING INQUIRY AND IMPOSING PENALTIES) RULES, 1995 IN THE MATTER OF MOFSL FOR THEMATIC INSPECTION CONDUCTED UNDER THE THEME CO… | Final | $5K |
| 2024-10-08 | regulatory | MOTILAL OSWAL FINANCIAL SERVICES LIMITED (MOFSL)HAS RECEIVED SHOW CAUSE NOTICE DATED OCTOBER 8, 2024 UNDER RULE 4(1) OF SECURITIES AND EXCHANGE BOARD OF INDIA (PROCEDURE FOR HOLDING INQUIRY AND IMPOSING PENALTIES) RULES, 1995 IN THE MATTER OF TRADETRON AND OTHER ALGO PLATFORMS WHEREIN IT WAS ALLEGED… | Final | $1K |
| 2024-09-27 | regulatory | MOTILAL OSWAL FINANCIAL SERVICES LIMITED (MOFSL)HAS RECEIVED SHOW CAUSE NOTICE DATED SEPTEMBER 27, 2024 UNDER RULE 4(1) OF THE SEBI (PROCEDURE FOR HOLDING INQUIRY AND IMPOSING PENALTIES) RULES, 1995. SEBI HAS INITIATED ADJUDICATION PROCEEDINGS UNDER SECTION 15HB OF SEBI ACT, 1992 AND IN RESPECT OF M… | Final | $12K |
| 2024-08-27 | regulatory | MOTILAL OSWAL FINANCIAL SERVICES LIMITED (MOFSL)HAS RECEIVED SHOW CAUSE NOTICE DATED AUGUST 27, 2024 UNDER RULE 4(1) OF THE SEBI (PROCEDURE FOR HOLDING INQUIRY AND IMPOSING PENALTIES) RULES, 1995. SEBI HAS INITIATED ADJUDICATION PROCEEDINGS UNDER SECTION 15-I OF SEBI ACT, 1992 IN RESPECT OF MOFSL FO… | Final | $3K |
| 2024-07-04 | regulatory | MOTILAL OSWAL FINANCIAL SERVICES LIMITED (MOFSL)HAS RECEIVED SHOW CAUSE NOTICE DATED JULY 4, 2024 UNDER RULE 4 OF THE SEBI (PROCEDURE FOR HOLDING INQUIRY AND IMPOSING PENALTIES) RULES, 1995 AND RULE 4 OF SECURITIES CONTRACTS REGULATIONS (PROCEDURE FOR HOLDING INQUIRY AND IMPOSING PENALTIES) RULES, 2… | Final | $7K |
| 2023-03-23 | regulatory | SECURITY EXCHANGE BOARD OF INDIA (SEBI) VIDE ITS E-MAIL DATED MARCH 3, 2023 HAS SOUGHT CERTAIN DATA AND RESPONSES FROM MOAMC REGARDING SCHEME EXPENSES CHARGED TO THE AMC BOOKS, BASED ON THE DATA PROVIDED BY ASSOCIATION OF MUTUAL FUNDS IN INDIA. THE TRUSTEE SUPPORT OFFICER HAS PROVIDED ITS DETAILED R… | Final | $900K |
| 2021-11-01 | regulatory | SEBI HAS ISSUED ORDER BEARING NO. ORDER/BM/LD/2022-23/16301 DATED 29TH APRIL, 2022 ON JOINT INSPECTION CONDUCTED WHEREIN CERTAIN DISCREPANCIES WERE FOUND IN ROUTINE COURSE OF BUSINESS AND SEBI IMPOSED PENALTY OF INR 25,00,000 (RUPEES TWENTY FIVE LAKHS ONLY) ON MOFSL. THE SAID PENALTY AMOUNT WAS PAID… | Final | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| MO ALTERNATIVE IFSC TRUST | Other Private Fund | India | 7 | $116.1M | $150K |