Compliance-Violation (22)
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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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SEBI suspends the certificate of registration of Seema Jain (INH100006667), a registered Research Analyst, for one month following enquiry … | |||||||||||||
SEBI suspends the certificate of registration of Seema Jain (INH100006667), a registered Research Analyst, for one month following enquiry proceedings that found multiple regulatory violations during April 2021 to October 2022.
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SEBI cancels the Investment Adviser registration of CapitalVia Global Research Limited (INA200001512) following an enquiry that found … | |||||||||||||
SEBI cancels the Investment Adviser registration of CapitalVia Global Research Limited (INA200001512) following an enquiry that found multiple violations including guaranteed returns, qualification non-compliance, and fraudulent trade practices.
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Securities Appellate Tribunal (SAT) order dated March 13, 2026 on Appeal No. 402 of 2023, concerning SEBI's five-year debarment of … | |||||||||||||
Securities Appellate Tribunal (SAT) order dated March 13, 2026 on Appeal No. 402 of 2023, concerning SEBI's five-year debarment of Capitalaim Financial Advisory Pvt. Ltd. and its director for violations including failure to conduct risk profiling, charging unreasonable fees, and defrauding clients.
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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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