Authorized-Person (5)
| Date | Circular | Tags | |||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
RTI appeal dismissed where sub-broker sought information on dispute resolution mechanism; respondent adequately provided information on … | |||||||||||||||
RTI appeal dismissed where sub-broker sought information on dispute resolution mechanism; respondent adequately provided information on discontinuation of sub-broker registration and authorized person framework.
| |||||||||||||||
SEBI adjudication order imposing penalties on ANS Private Limited (Stock Broker, Registration No. INZ000196431) for violations of Stock … | |||||||||||||||
SEBI adjudication order imposing penalties on ANS Private Limited (Stock Broker, Registration No. INZ000196431) for violations of Stock Brokers Regulations during thematic inspection of their Authorized Person.
| |||||||||||||||
SEBI imposes penalty on Prithvi Finmart Private Limited (Stock Broker) for violations related to monitoring of trading terminals used by … | |||||||||||||||
SEBI imposes penalty on Prithvi Finmart Private Limited (Stock Broker) for violations related to monitoring of trading terminals used by Authorized Persons during inspection period January-June 2024.
| |||||||||||||||
SEBI imposes penalties on Angel One Limited for violations related to unauthorized users operating trading terminals mapped to authorized … | |||||||||||||||
SEBI imposes penalties on Angel One Limited for violations related to unauthorized users operating trading terminals mapped to authorized persons and failure to maintain proper records.
| |||||||||||||||
SEBI imposes penalties on Sunflower Broking Private Limited for violations related to stock broker regulations and authorized person … | |||||||||||||||
SEBI imposes penalties on Sunflower Broking Private Limited for violations related to stock broker regulations and authorized person oversight during March-August 2023.
| |||||||||||||||