KOTAK ALTERNATE ASSET MANAGERS LIMITED of MUMBAI is an SEC-registered investment adviser (CRD 317952). Regulatory assets under management: $18.5B.
Compensation: % of AUM.
Clients served: Other.
| Name | Role | Location |
|---|---|---|
| Eshwar Karra | DEPUTY MANAGING DIRECTOR | MUMBAI, K7 |
| Jaimin Bhatt Mukund | DIRECTOR | Mumbai, K7 |
| Subramanian Nmn Sriniwasan | MANAGING DIRECTOR | — |
| Dipak Nmn Gupta | DIRECTOR | — |
| Oisharya Nmn Das | DIRECTOR | — |
| Gaurang Nmn Shah | DIRECTOR | — |
| Rajeev Nmn Saptarshi | CHIEF OPERATING OFFICER & WHOLE-TIME DIRECTOR | — |
| Uday Suresh Kotak | SHAREHOLDER | — |
| Lakshmi Venugopalan Iyer | DIRECTOR | — |
| Jaideep Nmn Hansraj | DIRECTOR | — |
| Sanjay Surajit Mitra | CHIEF COMPLIANCE OFFICER | — |
| GUPTA PARITOSH NMN | DIRECTOR | — |
| SHAH DEEP NMN | DIRECTOR | — |
| DAS JAYENDRA NMN | DIRECTOR | — |
| KOTAK UDAY SURESH | SHAREHOLDER | — |
| Khatri Vijayalaxmi | CHIEF COMPLIANCE OFFICER | — |
| Sriniwasan Subramanian NMN | MANAGING DIRECTOR | — |
| Mukund Jaimin Bhatt | DIRECTOR | — |
| Ekambaram Shanti nmn | DIRECTOR | — |
| Saptarshi Rajeev nmn | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER & WHOLE-TIME DIRECTOR; CHIEF OPERATING OFFICER & WHOLE-TIME DIRECTOR; CHIEF OPERATING OFFICER & WHOLE-TIME DIRECTOR & CCO | — |
| Iyer Lakshmi Venugopalan | DIRECTOR | — |
| Hansraj Jaideep NMN | DIRECTOR | — |
| Sharma Prakhar | CHIEF COMPLIANCE OFFICER | — |
| Tejal Apoorva Shah | PRINCIPAL OFFICER | — |
Showing 10 of 20 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-12-11 | regulatory | RBI HAD LEVIED A PENALTY FOR FOLLOWING: ACCESS TO BANKING SERVICES - BASIC SAVINGS BANK DEPOSIT ACCOUNT: THE BANK OPENED ANOTHER BSBD ACCOUNT OF CERTAIN CUSTOMERS WHO WERE ALREADY HOLDING BSBD ACCOUNT IN THE BANK; SCOPE OF ACTIVITIES TO BE UNDERTAKEN OF BUSINESS CORRESPONDENTS (BCS): THE BANK ENTERE… | Final | $65K |
| 2025-10-30 | regulatory | SEBI HAD INTRODUCED AN INDUSTRY WIDE SETTLEMENT SCHEME WHEREBY ALL VENTURE CAPITAL FUNDS (VCFS) WHICH HAVE MIGRATED TO THE AIF REGULATIONS COULD MAKE AN APPLICATION TO SETTLE THE EXTENSION OF TENURE BEYOND THE TERM MENTIONED IN THE PRIVATE PLACEMENT MEMORANDUM OF THE FUND. OUR FUND NAMED KOTAK INDIA… | Final | $5K |
| 2025-07-04 | regulatory | WE HAVE MADE A SETTLEMENT APPLICATION WITH SEBI IN RESPECT OF KOTAK INDIA GROWTH FUND - II, A VENTURE CAPITAL FUND, TO SETTLE THE EXTENSION OF TENURE BEYOND THE TERM MENTIONED IN THE PRIVATE PLACEMENT MEMORANDUM OF THE FUND. SEBI'S INTERNAL COMMITTEE AT THEIR MEETING HAD PROPOSED A SETTLEMENT AMOUNT… | Final | $11K |
| 2025-04-11 | regulatory | RBI HAD LEVIED A PENALTY FOR FOLLOWING: (A)THE BANK FAILED TO ENSURE THAT THE OUTSTANDING 'LOAN COMPONENT' WAS AT LEAST THE SPECIFIED PERCENTAGE OF THE SANCTIONED FUND-BASED WORKING CAPITAL LIMIT FOR CERTAIN BORROWERS IN LINE WITH RBI GUIDELINES ON LOAN SYSTEM FOR DELIVERY OF BANK CREDIT. (B)THE BAN… | Final | $65K |
| 2024-08-06 | regulatory | KOTAK SECURITIES LIMITED ("KSL OR THE COMPANY") HAD RECEIVED SHOW CAUSE NOTICE FROM NATIONAL STOCK EXCHANGE OF INDIA LIMITED ("NSE") FOR THE MATTERS OF MATCH & REVERSAL OF TRADES TRANSACTIONS BEARING REFERENCE NO: NSE/INVG/2024/136511 DATED AUGUST 06, 2024. THE 2 CLIENTS HAD EXECUTED SYNCHRONIZED /… | Final | $3K |
| 2023-12-07 | regulatory | KOTAK ALTERNATE ASSET MANAGERS LIMITED (KAAML), KOTAK SEAF INDIA FUND AND KOTAK MAHINDRA TRUSTEESHIP SERVICES LIMITED (KMTSL) HAD RECEIVED A SHOW CAUSE NOTICE DATED DECEMBER 07, 2023 FROM SEBI IN THE MATTER OF INDIA GROWTH FUND ("IGF"), A SCHEME OF KOTAK SEAF INDIA FUND (VENTURE CAPITAL FUND) MANAGE… | Final | $3K |
| 2023-10-17 | regulatory | RBI HAD IMPOSED A PENALTY OF INR 3.95 CRORE ON THE BANK FOR FOLLOWING CONTRAVENTIONS: A) FAILURE TO CARRY OUT ANNUAL REVIEW/DUE DILIGENCE OF THE SERVICE PROVIDER B) FAILURE TO ENSURE THAT CUSTOMERS ARE NOT CONTACTED AFTER 7 PM AND BEFORE 7 AM C) LEVYING INTEREST FROM THE DISBURSEMENT DUE DATE INSTEA… | Final | $417K |
| 2023-10-12 | regulatory | KOTAK OPTIMUS MODERATE SCHEME ("THE SCHEME"), A SCHEME OF KOTAK ALTERNATE ASSETS FUND III ('THE FUND') BEING A CATEGORY III ALTERNATIVE INVESTMENT FUND HAVING SEBI REGISTRATION NO. IN/AIF3/18-19/0604 DATED OCTOBER 19, 2018. THE OBJECTIVE OF THE SCHEME IS TO ACHIEVE MODERATE CAPITAL APPRECIATION OF A… | Final | $8K |
| 2022-07-04 | regulatory | 1.THE RESERVE BANK OF INDIA HAS LEVIED PENALTIES FOR FAILURE TO COMPLY WITH THE FOLLOWING PROVISIONS/ACT A.FOR NON-COMPLIANCE WITH DIRECTIONS ON 'CUSTOMER PROTECTION - LIMITING LIABILITY OF CUSTOMERS IN UNAUTHORISED ELECTRONIC BANKING TRANSACTIONS. B.FOR CONTRAVENTION OF THE PROVISIONS OF SUBSECTION… | Final | $111K |
| 2022-07-04 | regulatory | RBI VIDE ITS LETTER DATED JULY 4, 2022 HAS LEVIED A PENALTY OF INR 10.50 MILLION (USD 131250) FOR FAILURE TO COMPLY WITH THE FOLLOWING PROVISIONS/ACT: ?INR 3 MILLION (USD 37500) FOR NON-COMPLIANCE WITH DIRECTIONS ON 'CUSTOMER PROTECTION - LIMITING LIABILITY OF CUSTOMERS IN UNAUTHORISED ELECTRONIC BA… | Final | $131K |