Inspection (34)

DateCircularTags
NSE mandates trading members to conduct system audit for period ending September 30, 2025 using only empaneled auditors, with specific …
SEBI imposes penalties on 5Paisa Capital Limited and its officials for multiple violations related to Online Bond Platform Provider (OBPP) …
BSE announces rationalized and standardized penalty framework for violations and non-compliances observed during Trading Member inspections, …
BSE introduces standardized framework for penalties on trading members covering violations with financial implications, net worth …
BSE introduces standardized penalty framework for trading member violations across inspection-related non-compliances, covering financial …
BSE releases detailed methodology and categorization framework for inspection of Authorised Persons (APs), covering violations related to …
NSE prescribes categorized violations (A, B, C) and indicative disciplinary actions that Trading Members must apply against Authorised …
NSE modifies enforcement circular by retrospectively deleting provisions related to penalties for non-maintenance of pre-order confirmation …
NSE updates the process for filing review, appeal or waiver of penalty requests against actions taken by the Exchange and Member Committee, …
SEBI imposes penalty on Oneview Corporate Advisors Private Limited for violations during inspection including failure to exercise due …