Disciplinary-Action (6)
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BSE introduces standardized penalty framework for trading member violations across inspection-related non-compliances, covering financial … | |||||||||||||
BSE introduces standardized penalty framework for trading member violations across inspection-related non-compliances, covering financial violations, client fund misuse, net worth shortfalls, and data submission requirements.
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BSE releases detailed methodology and categorization framework for inspection of Authorised Persons (APs), covering violations related to … | |||||||||||||
BSE releases detailed methodology and categorization framework for inspection of Authorised Persons (APs), covering violations related to unauthorized trading, fund movements, dabba trading, and compliance requirements.
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NSE prescribes categorized violations (A, B, C) and indicative disciplinary actions that Trading Members must apply against Authorised … | |||||||||||||
NSE prescribes categorized violations (A, B, C) and indicative disciplinary actions that Trading Members must apply against Authorised Persons based on non-compliance identified during inspections.
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NSE introduces standardized penalty framework for trading member violations including client fund misuse, net worth shortfalls, securities … | |||||||||||||
NSE introduces standardized penalty framework for trading member violations including client fund misuse, net worth shortfalls, securities misuse, and inspection non-compliance with differentiated actions for first-time and repeat offenders.
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SEBI final order under Section 12(3) of SEBI Act, 1992 against Research Analyst Punit Kumar for violations of RA Regulations and PFUTP … | |||||||||||||
SEBI final order under Section 12(3) of SEBI Act, 1992 against Research Analyst Punit Kumar for violations of RA Regulations and PFUTP Regulations including guaranteed returns and misleading clients.
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SEBI issues disciplinary order against Research Analyst Parag Salot (Registration No. INH000000115) for mis-selling services, fraudulent … | |||||||||||||
SEBI issues disciplinary order against Research Analyst Parag Salot (Registration No. INH000000115) for mis-selling services, fraudulent fund collection, and multiple compliance violations.
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