Compliance-Violations (8)
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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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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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