Compliance-Violation (26)
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SEBI settles adjudication proceedings against BofA Securities India Limited for failure to maintain Structured Digital Database (SDD) as … | |||||||||||||||
SEBI settles adjudication proceedings against BofA Securities India Limited for failure to maintain Structured Digital Database (SDD) as required under PIT Regulations, with settlement amount of INR 58,50,000.
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SEBI settles enforcement proceedings against Unicorn India Ventures Debt Fund-I and associated entities for temporarily investing uninvested … | |||||||||||||||
SEBI settles enforcement proceedings against Unicorn India Ventures Debt Fund-I and associated entities for temporarily investing uninvested funds in a non-liquid mutual fund scheme in violation of AIF Regulations.
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SEBI adjudication order against Ortem Securities Limited for multiple compliance violations found during a thematic inspection of Authorized … | |||||||||||||||
SEBI adjudication order against Ortem Securities Limited for multiple compliance violations found during a thematic inspection of Authorized Persons, including terminal misuse and failure to conduct AP inspections.
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SEBI issues adjudication order against Pawan Kumar Malsaria for alleged violations of LODR Regulations 17(8) and 33(2)(a) related to … | |||||||||||||||
SEBI issues adjudication order against Pawan Kumar Malsaria for alleged violations of LODR Regulations 17(8) and 33(2)(a) related to manipulation of books of accounts of Golden Tobacco Limited during FY 2009-10 to FY 2020-21.
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SEBI issues final order against Basan Financial Services Limited (Merchant Banker) for multiple compliance violations found during … | |||||||||||||||
SEBI issues final order against Basan Financial Services Limited (Merchant Banker) for multiple compliance violations found during inspection covering April 2022 to June 2023, including failure to maintain dedicated complaint email ID and non-submission of half-yearly reports.
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SEBI issues order against AFCO Capital India Private Limited (SEBI Reg. No. INM000012555) for violations of Merchant Bankers Regulations, … | |||||||||||||||
SEBI issues order against AFCO Capital India Private Limited (SEBI Reg. No. INM000012555) for violations of Merchant Bankers Regulations, Intermediaries Regulations, PFUTP and PIT Regulations following inspection for April 2022 to August 2024.
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SEBI settlement order against SBICAP Trustee Company Limited for failure to create encumbrance on securities through the depository system … | |||||||||||||||
SEBI settlement order against SBICAP Trustee Company Limited for failure to create encumbrance on securities through the depository system while acting as Debenture Trustee for JM Financial Asset Reconstruction Company Limited NCD issuances.
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SEBI adjudication order imposing penalty on First Global Stockbroking Private Limited for violations related to algorithmic trading platform … | |||||||||||||||
SEBI adjudication order imposing penalty on First Global Stockbroking Private Limited for violations related to algorithmic trading platform TradeTron, including offering assured returns and non-compliance with SEBI circular on algo trading.
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SEBI adjudication order imposing penalty on ITI Securities Broking Limited for violations related to association with TradeTron algorithmic … | |||||||||||||||
SEBI adjudication order imposing penalty on ITI Securities Broking Limited for violations related to association with TradeTron algorithmic trading platform offering assured returns.
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SEBI issues final order against Rajiv Kumar Singh, proprietor of Elite Investment Advisory Services, cancelling registration after … | |||||||||||||||
SEBI issues final order against Rajiv Kumar Singh, proprietor of Elite Investment Advisory Services, cancelling registration after inspection revealed multiple violations of Investment Adviser Regulations including fraud, non-cooperation, and promising assured returns.
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