Compliance-Violations (5)
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SEBI imposes penalties on Capital Stroke Investment Services Pvt. Ltd. and its directors for non-compliance with investment adviser … | |||||||||||||
SEBI imposes penalties on Capital Stroke Investment Services Pvt. Ltd. and its directors for non-compliance with investment adviser regulations during 2019-2020.
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SEBI imposes penalties on research analyst Amit Guruh Sachdeva for violations of research analyst regulations and record maintenance … | |||||||||||||
SEBI imposes penalties on research analyst Amit Guruh Sachdeva for violations of research analyst regulations and record maintenance failures.
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SEBI order against Research Analyst Parag Salot for mis-selling services, fraudulent fund collection, and multiple regulatory violations. | |||||||||||||
SEBI order against Research Analyst Parag Salot for mis-selling services, fraudulent fund collection, and multiple regulatory violations.
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SEBI imposes penalties on Motisons Shares Private Limited for violations of stock broker regulations, client fund handling, and compliance … | |||||||||||||
SEBI imposes penalties on Motisons Shares Private Limited for violations of stock broker regulations, client fund handling, and compliance requirements during inspections from 2021-2024.
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SEBI settlement order addressing NSE violations including data outsourcing without proper contracts, unauthorized penalty waivers, and … | |||||||||||||
SEBI settlement order addressing NSE violations including data outsourcing without proper contracts, unauthorized penalty waivers, and inadequate client code modification controls.
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