Compliance-Violation (7)
| Date | Circular | Tags | |||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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.
| |||||||||||||||
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.
| |||||||||||||||
SEBI imposes penalty on Options King Research Analyst (Proprietor Sunil Suklal Pawar) for violations of qualification and certification … | |||||||||||||||
SEBI imposes penalty on Options King Research Analyst (Proprietor Sunil Suklal Pawar) for violations of qualification and certification requirements under Research Analysts Regulations.
| |||||||||||||||
SEBI issues confirmatory order against Gensol Engineering Limited and its directors for allegedly providing falsified documents to credit … | |||||||||||||||
SEBI issues confirmatory order against Gensol Engineering Limited and its directors for allegedly providing falsified documents to credit rating agencies and corporate governance lapses.
| |||||||||||||||
SEBI imposes penalty on Vardhman Trusteeship for non-compliance with debenture trustee regulations including failure to verify Recovery … | |||||||||||||||
SEBI imposes penalty on Vardhman Trusteeship for non-compliance with debenture trustee regulations including failure to verify Recovery Expense Fund creation and inadequate monitoring procedures.
| |||||||||||||||
SEBI suspends broker registration of Raima Equities for one month due to unauthorized investments in group companies violating SCR Rules. | |||||||||||||||
SEBI suspends broker registration of Raima Equities for one month due to unauthorized investments in group companies violating SCR Rules.
| |||||||||||||||
SEBI issues Notice of Demand against Chetan Yashwant Shukla for providing unregistered investment advisory services. | |||||||||||||||
SEBI issues Notice of Demand against Chetan Yashwant Shukla for providing unregistered investment advisory services.
| |||||||||||||||