Inspection (34)
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NSE mandates trading members to conduct system audit for period ending September 30, 2025 using only empaneled auditors, with specific … | |||||||||||||||
NSE mandates trading members to conduct system audit for period ending September 30, 2025 using only empaneled auditors, with specific submission deadlines and geo-location tracking requirements.
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SEBI imposes penalties on 5Paisa Capital Limited and its officials for multiple violations related to Online Bond Platform Provider (OBPP) … | |||||||||||||||
SEBI imposes penalties on 5Paisa Capital Limited and its officials for multiple violations related to Online Bond Platform Provider (OBPP) operations during inspection period June 2023 to March 2024.
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BSE announces rationalized and standardized penalty framework for violations and non-compliances observed during Trading Member inspections, … | |||||||||||||||
BSE announces rationalized and standardized penalty framework for violations and non-compliances observed during Trading Member inspections, including financial implications and compliance requirements.
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BSE introduces standardized framework for penalties on trading members covering violations with financial implications, net worth … | |||||||||||||||
BSE introduces standardized framework for penalties on trading members covering violations with financial implications, net worth shortfalls, client fund misuse, and inspection non-compliance with differentiated actions for first-time and repeat offenses.
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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 modifies enforcement circular by retrospectively deleting provisions related to penalties for non-maintenance of pre-order confirmation … | |||||||||||||||
NSE modifies enforcement circular by retrospectively deleting provisions related to penalties for non-maintenance of pre-order confirmation evidence for client trades.
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NSE updates the process for filing review, appeal or waiver of penalty requests against actions taken by the Exchange and Member Committee, … | |||||||||||||||
NSE updates the process for filing review, appeal or waiver of penalty requests against actions taken by the Exchange and Member Committee, implementing new Review Panel mechanism for post-MC appeals.
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SEBI imposes penalty on Oneview Corporate Advisors Private Limited for violations during inspection including failure to exercise due … | |||||||||||||||
SEBI imposes penalty on Oneview Corporate Advisors Private Limited for violations during inspection including failure to exercise due diligence in 3 IPOs, maintain structural digital database, and comply with NISM certification requirements.
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