Compliance-Officer (5)
| Date | Circular | Tags | |||||||||||||
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SEBI settlement order against Kalyani Steels Limited, BF Utilities Limited, and Mrs. Deepti R Puranik for alleged fund diversion and misuse … | |||||||||||||||
SEBI settlement order against Kalyani Steels Limited, BF Utilities Limited, and Mrs. Deepti R Puranik for alleged fund diversion and misuse through investments in promoter group companies with nil operations and negative net worth.
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SEBI mandates NISM Series-III-C certification for Compliance Officers of AIF Managers, effective January 01, 2027. | |||||||||||||||
SEBI mandates NISM Series-III-C certification for Compliance Officers of AIF Managers, effective January 01, 2027.
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SEBI adjudication proceedings against Dr. Anil Arora (erstwhile CFO), Mr. Bharat Bhushan Mehta (then CFO), and Mr. Ashok Kumar Shukla (then … | |||||||||||||||
SEBI adjudication proceedings against Dr. Anil Arora (erstwhile CFO), Mr. Bharat Bhushan Mehta (then CFO), and Mr. Ashok Kumar Shukla (then Company Secretary) for alleged insider trading violations in Mawana Sugars Limited during September 2017 to February 2018.
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SEBI settlement order against Mr. M. Manohar (Compliance Officer) and Mr. M. Vijaya Bhasker Reddy (Independent Director) for violations … | |||||||||||||||
SEBI settlement order against Mr. M. Manohar (Compliance Officer) and Mr. M. Vijaya Bhasker Reddy (Independent Director) for violations related to disclosure failures and financial statement irregularities at Brightcom Group Limited.
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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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