Code-of-Conduct (13)
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SEBI imposes penalties on Research Guru (INA000005507) and its associates for multiple violations of Investment Adviser Regulations … | |||||||||||||
SEBI imposes penalties on Research Guru (INA000005507) and its associates for multiple violations of Investment Adviser Regulations including fraudulent practices, unauthorized operations, and code of conduct breaches.
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SEBI order under Section 12(3) against Winway Research (Proprietor: Ankur Jain) for violations including operating without proper … | |||||||||||||
SEBI order under Section 12(3) against Winway Research (Proprietor: Ankur Jain) for violations including operating without proper registration, charging undisclosed fees, accepting payments in irregular accounts, and non-compliance with Investment Adviser regulations.
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SEBI adjudication order against Research Analyst Prerna Sharma (INH000006819) for alleged violations of RA Regulations, PFUTP Regulations, … | |||||||||||||
SEBI adjudication order against Research Analyst Prerna Sharma (INH000006819) for alleged violations of RA Regulations, PFUTP Regulations, and Intermediaries Regulations during inspection period April 2021 to March 2023.
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SEBI adjudication order against Fourdegreewater Services Private Limited and its directors for violations during inspection as Online Bond … | |||||||||||||
SEBI adjudication order against Fourdegreewater Services Private Limited and its directors for violations during inspection as Online Bond Platform Provider (OBPP) for the period July 25, 2023 to June 30, 2024.
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SEBI order under Section 12(3) of SEBI Act, 1992 against Capital Vraddhi Financial Services for multiple violations of Investment Advisers … | |||||||||||||
SEBI order under Section 12(3) of SEBI Act, 1992 against Capital Vraddhi Financial Services for multiple violations of Investment Advisers Regulations during inspection period April 2020 to March 2022.
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SEBI order under Section 12(3) of SEBI Act, 1992 against Investment Adviser Capital Vraddhi Financial Services for multiple regulatory … | |||||||||||||
SEBI order under Section 12(3) of SEBI Act, 1992 against Investment Adviser Capital Vraddhi Financial Services for multiple regulatory violations including lack of qualifications, non-compliance with fee structure, and fraudulent practices.
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SEBI order under Section 12(3) of SEBI Act, 1992 against registered Investment Adviser Podium Market Research for violations including … | |||||||||||||
SEBI order under Section 12(3) of SEBI Act, 1992 against registered Investment Adviser Podium Market Research for violations including breach of confidentiality and unauthorized GST collection.
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SEBI imposes penalty on Finshore Management Services Limited (Merchant Banker) for violations of ICDR Regulations and Merchant Banker Code … | |||||||||||||
SEBI imposes penalty on Finshore Management Services Limited (Merchant Banker) for violations of ICDR Regulations and Merchant Banker Code of Conduct during inspection period April 2021 to April 2023.
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SEBI imposes penalty on research analyst for violations of record maintenance, annual audit, and code of conduct requirements. | |||||||||||||
SEBI imposes penalty on research analyst for violations of record maintenance, annual audit, and code of conduct requirements.
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SEBI adjudication order against research analyst Amit Guruh Sachdeva for violations of record maintenance, audit requirements, and code of … | |||||||||||||
SEBI adjudication order against research analyst Amit Guruh Sachdeva for violations of record maintenance, audit requirements, and code of conduct provisions.
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