Inspection (46)
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NSE introduces a framework requiring trading members to submit Action Taken Reports within 2 months of internal audit report due dates to … | |||||||||||||||
NSE introduces a framework requiring trading members to submit Action Taken Reports within 2 months of internal audit report due dates to close non-compliances, applicable from September 30, 2025 audit period onwards.
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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.
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NSE extends deadlines for submission of Audit Plan and Preliminary Audit Report for stockbrokers using Algorithmic Trading for half-yearly … | |||||||||||||||
NSE extends deadlines for submission of Audit Plan and Preliminary Audit Report for stockbrokers using Algorithmic Trading for half-yearly period ending September 30, 2025.
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SEBI imposes penalty on Prithvi Finmart Private Limited (Stock Broker) for violations related to monitoring of trading terminals used by … | |||||||||||||||
SEBI imposes penalty on Prithvi Finmart Private Limited (Stock Broker) for violations related to monitoring of trading terminals used by Authorized Persons during inspection period January-June 2024.
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SEBI adjudication order against Fourdegreewater Services Private Limited and its directors for violations during inspection as Online Bond … | |||||||||||||||
SEBI adjudication order against Fourdegreewater Services Private Limited and its directors for violations during inspection as Online Bond Platform Provider (OBPP) for the period July 25, 2023 to June 30, 2024.
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NSE reminds all trading members to submit mandatory Risk Based Supervision (RBS) data for H1 FY2025-26 by November 30, 2025, with penalties … | |||||||||||||||
NSE reminds all trading members to submit mandatory Risk Based Supervision (RBS) data for H1 FY2025-26 by November 30, 2025, with penalties for non-compliance.
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NSE reminds all Trading Members to submit their Internal Audit Report for H1 FY2025-26 by November 30, 2025, to avoid penal charges and … | |||||||||||||||
NSE reminds all Trading Members to submit their Internal Audit Report for H1 FY2025-26 by November 30, 2025, to avoid penal charges and disciplinary action.
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NSE mandates trading members to submit FATF compliance actions through ENIT New Compliance module by December 5, 2025, following October … | |||||||||||||||
NSE mandates trading members to submit FATF compliance actions through ENIT New Compliance module by December 5, 2025, following October 2025 FATF Plenary updates on high-risk jurisdictions.
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SEBI imposes penalties on Angel One Limited for violations related to unauthorized users operating trading terminals mapped to authorized … | |||||||||||||||
SEBI imposes penalties on Angel One Limited for violations related to unauthorized users operating trading terminals mapped to authorized persons and failure to maintain proper records.
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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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