Compliance-Violation (8)
| Date | Circular | Tags | |||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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.
| |||||||||||||
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.
| |||||||||||||
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.
| |||||||||||||
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.
| |||||||||||||
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.
| |||||||||||||
SEBI issues Recovery Certificate no. 8789 of 2025 against Sarvesh Kumar, proprietor of Business Mart World, for conducting unregistered … | |||||||||||||
SEBI issues Recovery Certificate no. 8789 of 2025 against Sarvesh Kumar, proprietor of Business Mart World, for conducting unregistered investment advisory activities.
| |||||||||||||
SEBI adjudication order against Research Analyst Abhishek Kumar Singh for violations including promising assured returns, improper fee … | |||||||||||||
SEBI adjudication order against Research Analyst Abhishek Kumar Singh for violations including promising assured returns, improper fee solicitation, and inducing clients with misleading profit claims.
| |||||||||||||
SEBI imposes penalty on Research Analyst Abhishek Kumar Singh (Supreme Investrade) for promising assured returns, inducing clients, and … | |||||||||||||
SEBI imposes penalty on Research Analyst Abhishek Kumar Singh (Supreme Investrade) for promising assured returns, inducing clients, and violating research analyst regulations during February-November 2024.
| |||||||||||||