Compliance-Violation (13)
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SEBI settlement order against Nexus Select Mall Management Private Limited for failing to maintain required net worth and not intimating … | |||||||||||||||
SEBI settlement order against Nexus Select Mall Management Private Limited for failing to maintain required net worth and not intimating SEBI about material changes in net worth under REIT Regulations. Settled for ₹24,37,500.
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SEBI adjudication order against investment adviser Chenthil R Iyer for continuing investment advisory activities after registration expiry … | |||||||||||||||
SEBI adjudication order against investment adviser Chenthil R Iyer for continuing investment advisory activities after registration expiry and operating without a valid NISM certificate.
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SEBI settles enforcement proceedings against Kerala Ayurveda Limited for failure to obtain prior shareholder approval for material related … | |||||||||||||||
SEBI settles enforcement proceedings against Kerala Ayurveda Limited for failure to obtain prior shareholder approval for material related party transactions, with a settlement amount of ₹5.80 lakhs.
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SEBI order under Sections 11(1), 11(4), 11(4A), 11A and 11B against KKP Marketing India Limited and 11 individuals for fraudulent public … | |||||||||||||||
SEBI order under Sections 11(1), 11(4), 11(4A), 11A and 11B against KKP Marketing India Limited and 11 individuals for fraudulent public issue, misappropriation of funds, and non-compliance with regulatory requirements.
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SEBI order against KKP Marketing India Limited and its directors for fraudulent public issue of equity shares, misappropriation of funds, … | |||||||||||||||
SEBI order against KKP Marketing India Limited and its directors for fraudulent public issue of equity shares, misappropriation of funds, and violation of securities laws.
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SEBI adjudication proceedings against Research Guru and its associates for multiple violations including unauthorized franchising of … | |||||||||||||||
SEBI adjudication proceedings against Research Guru and its associates for multiple violations including unauthorized franchising of investment advisory services, fraudulent practices, and non-compliance with IA Regulations.
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SEBI adjudication order imposing penalties on Research Guru (Registration No. INA000005507) and its associates for multiple violations of … | |||||||||||||||
SEBI adjudication order imposing penalties on Research Guru (Registration No. INA000005507) and its associates for multiple violations of Investment Advisers Regulations including fraudulent practices and unauthorized operations.
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SEBI suspends registration of Investment Adviser Winway Research (INA000007492) for multiple violations including operating without proper … | |||||||||||||||
SEBI suspends registration of Investment Adviser Winway Research (INA000007492) for multiple violations including operating without proper registration, accepting payments through third-party accounts, and charging duplicate fees.
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SEBI order suspending registration of Investment Adviser Winway Research (INA000007492) for violations including unauthorized fee … | |||||||||||||||
SEBI order suspending registration of Investment Adviser Winway Research (INA000007492) for violations including unauthorized fee collection, improper payment practices, and non-compliance with registration requirements.
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SEBI imposed penalty on Samdhyan Commodities Brokers Private Limited for violations related to unverified trading terminals at Authorized … | |||||||||||||||
SEBI imposed penalty on Samdhyan Commodities Brokers Private Limited for violations related to unverified trading terminals at Authorized Person locations during inspection conducted on January 6, 2025.
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