Compliance-Violations (7)
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SEBI imposes penalty on Oneview Corporate Advisors Private Limited for violations during inspection including failure to exercise due … | |||||||||||||||
SEBI imposes penalty on Oneview Corporate Advisors Private Limited for violations during inspection including failure to exercise due diligence in 3 IPOs, maintain structural digital database, and comply with NISM certification requirements.
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SEBI order under Section 12(3) of SEBI Act, 1992 following inspection of Stockholding Services Limited (formerly SHCIL Services Limited) for … | |||||||||||||||
SEBI order under Section 12(3) of SEBI Act, 1992 following inspection of Stockholding Services Limited (formerly SHCIL Services Limited) for violations during April 2021 to October 2022.
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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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