Intermediaries (6)
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SEBI order under Section 12(3) against Winway Research (Proprietor: Ankur Jain) for violations including operating without proper … | |||||||||||||
SEBI order under Section 12(3) against Winway Research (Proprietor: Ankur Jain) for violations including operating without proper registration, charging undisclosed fees, accepting payments in irregular accounts, and non-compliance with Investment Adviser regulations.
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SEBI adjudication order against Research Analyst Prerna Sharma (INH000006819) for alleged violations of RA Regulations, PFUTP Regulations, … | |||||||||||||
SEBI adjudication order against Research Analyst Prerna Sharma (INH000006819) for alleged violations of RA Regulations, PFUTP Regulations, and Intermediaries Regulations during inspection period April 2021 to March 2023.
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Comprehensive regulatory framework governing intermediaries in the securities market, including definitions, registration requirements, … | |||||||||||||
Comprehensive regulatory framework governing intermediaries in the securities market, including definitions, registration requirements, inspection provisions, and compliance obligations for market intermediaries.
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Comprehensive regulations governing merchant bankers in India, including registration requirements, definitions, and regulatory framework … | |||||||||||||
Comprehensive regulations governing merchant bankers in India, including registration requirements, definitions, and regulatory framework for issue management and corporate advisory services.
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SEBI consolidates and amends regulatory provisions for registration of Registrars to an Issue and Share Transfer Agents, defining their … | |||||||||||||
SEBI consolidates and amends regulatory provisions for registration of Registrars to an Issue and Share Transfer Agents, defining their obligations and responsibilities.
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SEBI order under Section 12(3) of SEBI Act and Regulation 27, 35 of Intermediaries Regulations and Regulation 32 of Research Analyst … | |||||||||||||
SEBI order under Section 12(3) of SEBI Act and Regulation 27, 35 of Intermediaries Regulations and Regulation 32 of Research Analyst Regulations concerning Mr. Purooskhan (Registration No. INH200006008) regarding misuse of his registration number by unauthorized entities.
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