Inspection (37)
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SEBI imposes adjudication proceedings against Choice Equity Broking Private Limited for violations related to Cyber Security & Cyber … | |||||||||||||
SEBI imposes adjudication proceedings against Choice Equity Broking Private Limited for violations related to Cyber Security & Cyber Resilience framework during inspection for period April 2023 to August 2024.
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SEBI issues enquiry order prohibiting Gretex Corporate Services Limited from taking new assignments for one month due to violations of … | |||||||||||||
SEBI issues enquiry order prohibiting Gretex Corporate Services Limited from taking new assignments for one month due to violations of merchant banker regulations including net worth maintenance and inadequate due diligence.
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NSE reiterates mandatory requirement for trading members to obtain prior instructions from clients before placing IPO bids, following … | |||||||||||||
NSE reiterates mandatory requirement for trading members to obtain prior instructions from clients before placing IPO bids, following inspection findings of non-compliance.
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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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