Adjudication-Order (13)
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SEBI imposes penalty on Motilal Oswal Financial Services Limited for non-compliance with stock broker regulations during inspection period … | |||||||||||||||
SEBI imposes penalty on Motilal Oswal Financial Services Limited for non-compliance with stock broker regulations during inspection period April 2022 to October 2023.
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SEBI imposes penalties on Motisons Shares Private Limited for violations of stock broker regulations, client fund handling, and compliance … | |||||||||||||||
SEBI imposes penalties on Motisons Shares Private Limited for violations of stock broker regulations, client fund handling, and compliance requirements during inspections from 2021-2024.
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SEBI imposes penalties on Trade Nexa Research Investment Advisor for charging fees without agreements and providing assurances of returns to … | |||||||||||||||
SEBI imposes penalties on Trade Nexa Research Investment Advisor for charging fees without agreements and providing assurances of returns to clients.
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SEBI adjudication order against Motisons Shares Private Limited with corrigendum notice for regulatory violations. | |||||||||||||||
SEBI adjudication order against Motisons Shares Private Limited with corrigendum notice for regulatory violations.
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SEBI adjudication order against compliance officer for failure to disgorge profits from designated person's insider trading violations. | |||||||||||||||
SEBI adjudication order against compliance officer for failure to disgorge profits from designated person's insider trading violations.
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SEBI adjudication order against GoldenPi Securities and its directors for violations of Stock Brokers Regulations and PFUTP Regulations … | |||||||||||||||
SEBI adjudication order against GoldenPi Securities and its directors for violations of Stock Brokers Regulations and PFUTP Regulations during inspection period November 2022 to June 2024.
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SEBI imposes penalties on research analyst Kumar Venkataramegowda Santhosh for providing return assurances, advertising past performance, … | |||||||||||||||
SEBI imposes penalties on research analyst Kumar Venkataramegowda Santhosh for providing return assurances, advertising past performance, and mis-selling practices.
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SEBI imposes penalty on Options King Research Analyst (Proprietor Sunil Suklal Pawar) for violations of qualification and certification … | |||||||||||||||
SEBI imposes penalty on Options King Research Analyst (Proprietor Sunil Suklal Pawar) for violations of qualification and certification requirements under Research Analysts Regulations.
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SEBI imposes penalty on ASL Enterprises Limited for failing to submit disclosure under Regulation 29(2) of SAST Regulations during open … | |||||||||||||||
SEBI imposes penalty on ASL Enterprises Limited for failing to submit disclosure under Regulation 29(2) of SAST Regulations during open offer proceedings.
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SEBI adjudication order against Rupesh Satish Dalal HUF for alleged insider trading violations in HDFC Ltd. and HDFC Bank Ltd. scrips … | |||||||||||||||
SEBI adjudication order against Rupesh Satish Dalal HUF for alleged insider trading violations in HDFC Ltd. and HDFC Bank Ltd. scrips related to merger announcement.
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