Compliance-Breach (4)
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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 imposes penalties on Fast Track Finsec Private Limited (Merchant Banker) for multiple violations in IPO and takeover open offer … | |||||||||||||||
SEBI imposes penalties on Fast Track Finsec Private Limited (Merchant Banker) for multiple violations in IPO and takeover open offer processes during inspection period April 2020 to December 2021.
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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.
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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.
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