Disciplinary-Action (12)
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SEBI order under Section 12(3) against Winway Research (Proprietor: Ankur Jain) for violations including operating without proper … | |||||||||||||
SEBI order under Section 12(3) against Winway Research (Proprietor: Ankur Jain) for violations including operating without proper registration, charging undisclosed fees, accepting payments in irregular accounts, and non-compliance with Investment Adviser regulations.
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BSE reminds trading members to submit Action Taken Reports closing non-compliances identified in internal audit reports for H1 FY2025-26 by … | |||||||||||||
BSE reminds trading members to submit Action Taken Reports closing non-compliances identified in internal audit reports for H1 FY2025-26 by January 31, 2026, or face monetary penalties and disciplinary actions.
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BSE reminds trading members to close non-compliances reported in internal audit reports and submit Action Taken Reports by January 31, 2026, … | |||||||||||||
BSE reminds trading members to close non-compliances reported in internal audit reports and submit Action Taken Reports by January 31, 2026, or face monetary penalties and disciplinary actions.
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BSE announces immediate expulsion of Abbott Wealth Management Limited (Member No. 6820) following MCX expulsion, effective December 10, … | |||||||||||||
BSE announces immediate expulsion of Abbott Wealth Management Limited (Member No. 6820) following MCX expulsion, effective December 10, 2025.
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BSE has expelled Abbott Wealth Management Limited (Member No. 6820) from trading with immediate effect following MCX's expulsion of the same … | |||||||||||||
BSE has expelled Abbott Wealth Management Limited (Member No. 6820) from trading with immediate effect following MCX's expulsion of the same member on December 10, 2025.
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BSE announces expulsion of Abbott Wealth Management Limited as a corporate trading member with immediate effect, following MCX's expulsion … | |||||||||||||
BSE announces expulsion of Abbott Wealth Management Limited as a corporate trading member with immediate effect, following MCX's expulsion decision.
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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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