Intermediaries (28)
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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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BSE reiterates requirement for trading members to obtain prior instructions (physical or electronic) from clients before placing IPO bids on … | |||||||||||||
BSE reiterates requirement for trading members to obtain prior instructions (physical or electronic) from clients before placing IPO bids on their behalf.
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BSE reiterates that trading members must obtain prior physical or electronic instructions from clients before placing IPO bids on their … | |||||||||||||
BSE reiterates that trading members must obtain prior physical or electronic instructions from clients before placing IPO bids on their behalf, following inspection findings of non-compliance.
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BSE circular mandating SEBI registered intermediaries to adopt standardised, validated and exclusive UPI IDs for collecting payments from … | |||||||||||||
BSE circular mandating SEBI registered intermediaries to adopt standardised, validated and exclusive UPI IDs for collecting payments from investors to enhance transparency and reduce fraudulent transactions.
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BSE issues standard operating procedure (Version 1.1) for requesting and managing 'At Valid' UPI IDs by SEBI registered intermediaries … | |||||||||||||
BSE issues standard operating procedure (Version 1.1) for requesting and managing 'At Valid' UPI IDs by SEBI registered intermediaries including brokers, DPs, IAs and RAs for payment collection from investors.
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SEBI directive requiring registered intermediaries to adopt standardized, validated and exclusive UPI IDs for collecting payments from … | |||||||||||||
SEBI directive requiring registered intermediaries to adopt standardized, validated and exclusive UPI IDs for collecting payments from investors to enhance security and prevent fraud.
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RTI appeal regarding information on vanishing companies, FIRs, and associated intermediaries rejected as information not available with … | |||||||||||||
RTI appeal regarding information on vanishing companies, FIRs, and associated intermediaries rejected as information not available with SEBI.
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SEBI imposes penalties on M/s Alliance Research (Proprietor: Mudassir Hasan) for violations of Investment Advisers Regulations, PFUTP … | |||||||||||||
SEBI imposes penalties on M/s Alliance Research (Proprietor: Mudassir Hasan) for violations of Investment Advisers Regulations, PFUTP Regulations, and non-redressal of investor grievances during inspection period April 2018 to February 2020.
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SEBI final order under Section 12(3) of SEBI Act, 1992 against Research Analyst Punit Kumar for violations of RA Regulations and PFUTP … | |||||||||||||
SEBI final order under Section 12(3) of SEBI Act, 1992 against Research Analyst Punit Kumar for violations of RA Regulations and PFUTP Regulations including guaranteed returns and misleading clients.
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SEBI order under Section 12(3) against registered Investment Adviser Alliance Research and its proprietor Mudassir Hasan following … | |||||||||||||
SEBI order under Section 12(3) against registered Investment Adviser Alliance Research and its proprietor Mudassir Hasan following inspection findings and interim order dated January 6, 2021.
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