Inspection (25)
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NSE announces updated list of Qualified Stock Brokers (QSBs) based on SEBI-defined parameters, and invites voluntary QSB designation … | |||||||||||||
NSE announces updated list of Qualified Stock Brokers (QSBs) based on SEBI-defined parameters, and invites voluntary QSB designation applications by April 30, 2026.
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NSE directs trading members to update FATF compliance actions in ENIT New Compliance module by April 23, 2026, following the February 2026 … | |||||||||||||
NSE directs trading members to update FATF compliance actions in ENIT New Compliance module by April 23, 2026, following the February 2026 FATF Plenary on jurisdictions under increased monitoring.
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SEBI issues order against AFCO Capital India Private Limited (SEBI Reg. No. INM000012555) for violations of Merchant Bankers Regulations, … | |||||||||||||
SEBI issues order against AFCO Capital India Private Limited (SEBI Reg. No. INM000012555) for violations of Merchant Bankers Regulations, Intermediaries Regulations, PFUTP and PIT Regulations following inspection for April 2022 to August 2024.
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Common Violations/Deficiencies Observed During Inspections of Trading Members and Authorised Persons NSE circular summarizing common violations observed during inspections of Trading Members and Authorised Persons for October 2024 to March … | |||||||||||||
NSE circular summarizing common violations observed during inspections of Trading Members and Authorised Persons for October 2024 to March 2025 and April 2025 to September 2025, advising members to strengthen compliance systems.
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NSE revises the STP IFN515 format by modifying the remarks for Mandatory Subsequence D3 (Amounts) column 19A to include 'other permissible … | |||||||||||||
NSE revises the STP IFN515 format by modifying the remarks for Mandatory Subsequence D3 (Amounts) column 19A to include 'other permissible charges' alongside brokerage, following ISF discussions and SEBI consultation.
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SEBI issues final order against Rajiv Kumar Singh, proprietor of Elite Investment Advisory Services, cancelling registration after … | |||||||||||||
SEBI issues final order against Rajiv Kumar Singh, proprietor of Elite Investment Advisory Services, cancelling registration after inspection revealed multiple violations of Investment Adviser Regulations including fraud, non-cooperation, and promising assured returns.
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NSE reminds trading members to submit Action Taken Reports (ATR) for non-compliances identified in System Audit (Type III) for the … | |||||||||||||
NSE reminds trading members to submit Action Taken Reports (ATR) for non-compliances identified in System Audit (Type III) for the half-yearly audit period April–September 2025, with a deadline of March 31, 2026.
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SEBI issued an order against Motisons Shares Limited (formerly Motisons Shares Private Limited), a registered stock broker, following … | |||||||||||||
SEBI issued an order against Motisons Shares Limited (formerly Motisons Shares Private Limited), a registered stock broker, following inspections and adjudication proceedings, recommending a 15-day prohibition from taking new assignments and levying a penalty of Rs. 12 Lakhs.
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Revised schedule for reporting holding statements due to live trading session on Sunday, February 01, 2026 during Union Budget presentation. | |||||||||||||
Revised schedule for reporting holding statements due to live trading session on Sunday, February 01, 2026 during Union Budget presentation.
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SEBI adjudication order against Research Guru (Investment Adviser) and its operator Abhishek Sharma for multiple violations of Investment … | |||||||||||||
SEBI adjudication order against Research Guru (Investment Adviser) and its operator Abhishek Sharma for multiple violations of Investment Advisers Regulations, Code of Conduct, and fraudulent trade practices.
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