Compliance-Violations (12)
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SEBI enquiry order against Prabhudas Lilladher Private Limited for multiple violations including misuse of client funds, non-settlement of … | |||||||||||||||
SEBI enquiry order against Prabhudas Lilladher Private Limited for multiple violations including misuse of client funds, non-settlement of accounts, incorrect margin reporting, and other regulatory breaches during inspection period April 2021 to October 2022.
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SEBI imposes penalty on AFCO Capital India Private Limited for violations in managing open offer for Standard Shoe Sole And Mould (India) … | |||||||||||||||
SEBI imposes penalty on AFCO Capital India Private Limited for violations in managing open offer for Standard Shoe Sole And Mould (India) Limited, including failure to open separate acquisition window and compliance delays.
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SEBI order under Section 12(3) of SEBI Act, 1992 against Capital Vraddhi Financial Services for multiple violations of Investment Advisers … | |||||||||||||||
SEBI order under Section 12(3) of SEBI Act, 1992 against Capital Vraddhi Financial Services for multiple violations of Investment Advisers Regulations during inspection period April 2020 to March 2022.
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SEBI order under Section 12(3) of SEBI Act, 1992 against Investment Adviser Capital Vraddhi Financial Services for multiple regulatory … | |||||||||||||||
SEBI order under Section 12(3) of SEBI Act, 1992 against Investment Adviser Capital Vraddhi Financial Services for multiple regulatory violations including lack of qualifications, non-compliance with fee structure, and fraudulent practices.
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SEBI issues enquiry order prohibiting Gretex Corporate Services Limited from taking new assignments for one month due to violations of … | |||||||||||||||
SEBI issues enquiry order prohibiting Gretex Corporate Services Limited from taking new assignments for one month due to violations of merchant banker regulations including net worth maintenance and inadequate due diligence.
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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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