Intermediaries (31)
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NSE circular mandating phase-wise adoption of 1600-series telephone numbers by SEBI-regulated intermediaries for all service and … | |||||||||||||
NSE circular mandating phase-wise adoption of 1600-series telephone numbers by SEBI-regulated intermediaries for all service and transactional voice calls to prevent UCC, spoofing and impersonation frauds.
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SEBI order under Section 12(3) of SEBI Act, 1992 addressing multiple violations by Investment Adviser Capital Vraddhi Financial Services … | |||||||||||||
SEBI order under Section 12(3) of SEBI Act, 1992 addressing multiple violations by Investment Adviser Capital Vraddhi Financial Services during inspection period April 2020 to March 2022.
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SEBI order under Section 12(3) of SEBI Act, 1992 against Investment Adviser Capital Vraddhi Financial Services for multiple regulatory … | |||||||||||||
SEBI order under Section 12(3) of SEBI Act, 1992 against Investment Adviser Capital Vraddhi Financial Services for multiple regulatory violations including lack of qualifications, non-compliance with fee structure, and fraudulent practices.
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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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