Disciplinary-Action (6)

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BSE introduces standardized penalty framework for trading member violations across inspection-related non-compliances, covering financial …
BSE releases detailed methodology and categorization framework for inspection of Authorised Persons (APs), covering violations related to …
NSE prescribes categorized violations (A, B, C) and indicative disciplinary actions that Trading Members must apply against Authorised …
NSE introduces standardized penalty framework for trading member violations including client fund misuse, net worth shortfalls, securities …
SEBI final order under Section 12(3) of SEBI Act, 1992 against Research Analyst Punit Kumar for violations of RA Regulations and PFUTP …
SEBI issues disciplinary order against Research Analyst Parag Salot (Registration No. INH000000115) for mis-selling services, fraudulent …