Enquiry-Order (4)
| Date | Circular | Tags | |||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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.
| |||||||||||||
SEBI issues enquiry order against research analyst for failing to cooperate during inspection and allowing third parties to use his license … | |||||||||||||
SEBI issues enquiry order against research analyst for failing to cooperate during inspection and allowing third parties to use his license inappropriately.
| |||||||||||||
SEBI enquiry order regarding Investment Adviser Manoj Jethanand Varyani recommending disposal without adverse action after investigating … | |||||||||||||
SEBI enquiry order regarding Investment Adviser Manoj Jethanand Varyani recommending disposal without adverse action after investigating alleged regulatory violations.
| |||||||||||||
SEBI disposes enquiry proceedings against Investment Adviser without adverse action after investigating alleged arm's length violations. | |||||||||||||
SEBI disposes enquiry proceedings against Investment Adviser without adverse action after investigating alleged arm's length violations.
| |||||||||||||