Compliance-Violation (15)
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SEBI final order against Raghunandan Capital Private Limited for violations of Stock Brokers Regulations following thematic inspection | |||||||||||||||
SEBI final order against Raghunandan Capital Private Limited for violations of Stock Brokers Regulations following thematic inspection
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SEBI adjudication proceedings against Capital Stroke Investment Services Pvt. Ltd. and its directors for non-compliance with investment … | |||||||||||||||
SEBI adjudication proceedings against Capital Stroke Investment Services Pvt. Ltd. and its directors for non-compliance with investment adviser regulations during 2019-2020.
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SEBI regulatory certificate/order against Sahadev Paik HUF (PAN: AAUHS4894Q) in the matter of illiquid stock options violations under Appeal … | |||||||||||||||
SEBI regulatory certificate/order against Sahadev Paik HUF (PAN: AAUHS4894Q) in the matter of illiquid stock options violations under Appeal Nos. 14860 and 14861 of 2025.
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SEBI issues enquiry order against Research Analyst Nikhil Dayanand Baljekar for failing to cooperate during inspection and allowing third … | |||||||||||||||
SEBI issues enquiry order against Research Analyst Nikhil Dayanand Baljekar for failing to cooperate during inspection and allowing third parties to misuse his registration.
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SEBI enquiry order against Research Analyst Nikhil Dayanand Baljekar for failing to cooperate during inspection and allowing third parties … | |||||||||||||||
SEBI enquiry order against Research Analyst Nikhil Dayanand Baljekar for failing to cooperate during inspection and allowing third parties to misuse his registration.
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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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SEBI notice of attachment against P. Krishnakumar for unregistered investment advisory services through YM Forecast. | |||||||||||||||
SEBI notice of attachment against P. Krishnakumar for unregistered investment advisory services through YM Forecast.
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SEBI imposed sanctions on Research Analyst Parag Salot for mis-selling services, fraudulent fund collection, and multiple regulatory … | |||||||||||||||
SEBI imposed sanctions on Research Analyst Parag Salot for mis-selling services, fraudulent fund collection, and multiple regulatory compliance failures.
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SEBI imposes penalty on Motilal Oswal Financial Services Limited for non-compliance with stock broker regulations during inspection period … | |||||||||||||||
SEBI imposes penalty on Motilal Oswal Financial Services Limited for non-compliance with stock broker regulations during inspection period April 2022 to October 2023.
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SEBI order addressing violations of substantial acquisition and takeover regulations by promoter group members of Patels Airtemp India … | |||||||||||||||
SEBI order addressing violations of substantial acquisition and takeover regulations by promoter group members of Patels Airtemp India Limited.
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