Compliance-Failure (4)
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SEBI imposes penalties on 5Paisa Capital Limited and its officials for multiple violations related to Online Bond Platform Provider (OBPP) … | |||||||||||||
SEBI imposes penalties on 5Paisa Capital Limited and its officials for multiple violations related to Online Bond Platform Provider (OBPP) operations during inspection period June 2023 to March 2024.
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SEBI imposes final order against Gogia Capital Services Limited (Stock Broker) for violations including net worth shortfall, improper … | |||||||||||||
SEBI imposes final order against Gogia Capital Services Limited (Stock Broker) for violations including net worth shortfall, improper maintenance of books of accounts, engaging in unauthorized business, and non-settlement of clients' funds and securities.
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SEBI final order under Section 12(3) of SEBI Act, 1992 against Research Analyst Punit Kumar for violations including guaranteed returns, … | |||||||||||||
SEBI final order under Section 12(3) of SEBI Act, 1992 against Research Analyst Punit Kumar for violations including guaranteed returns, misleading clients, and non-compliance with disclosure and record-keeping requirements.
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SEBI cancels Portfolio Manager registration of Amrapali Aadya Trading and Investment Private Limited for non-compliance with regulatory … | |||||||||||||
SEBI cancels Portfolio Manager registration of Amrapali Aadya Trading and Investment Private Limited for non-compliance with regulatory requirements.
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