Intermediary-Regulations (10)
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SEBI issues final order under Section 12(3) against Research Analyst Punit Kumar (INH000008844) for violations including guaranteed returns, … | |||||||||||||
SEBI issues final order under Section 12(3) against Research Analyst Punit Kumar (INH000008844) for violations including guaranteed returns, misleading clients, and non-compliance with disclosure and record-keeping requirements.
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SEBI issues final order against Gogia Capital Services Limited for violations including net worth shortfall, improper maintenance of books, … | |||||||||||||
SEBI issues final order against Gogia Capital Services Limited for violations including net worth shortfall, improper maintenance of books, engaging in non-securities business, and non-settlement of client funds and securities.
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SEBI imposes final order against Gogia Capital Services Limited (Stock Broker) for violations including net worth shortfall, improper … | |||||||||||||
SEBI imposes final order against Gogia Capital Services Limited (Stock Broker) for violations including net worth shortfall, improper maintenance of books of accounts, engaging in unauthorized business, and non-settlement of clients' funds and securities.
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SEBI final order against DGS Capital Management for non-compliance with minimum net worth requirements, reporting obligations, and NISM … | |||||||||||||
SEBI final order against DGS Capital Management for non-compliance with minimum net worth requirements, reporting obligations, and NISM certification requirements under Portfolio Managers Regulations.
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SEBI final order against Raghunandan Capital Private Limited for violations of Stock Brokers Regulations following thematic inspection | |||||||||||||
SEBI final order against Raghunandan Capital Private Limited for violations of Stock Brokers Regulations following thematic inspection
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SEBI issues enquiry order against Research Analyst Nikhil Dayanand Baljekar (INH000009001) for failing to cooperate during inspection and … | |||||||||||||
SEBI issues enquiry order against Research Analyst Nikhil Dayanand Baljekar (INH000009001) for failing to cooperate during inspection and allowing third parties to misuse his license.
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SEBI issues order under Section 12(3) against Research Analyst Parag Salot for mis-selling services, fraudulent fund collection, and … | |||||||||||||
SEBI issues order under Section 12(3) against Research Analyst Parag Salot for mis-selling services, fraudulent fund collection, and multiple regulatory violations.
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SEBI issues disciplinary order against Research Analyst Parag Salot (Registration No. INH000000115) for mis-selling services, fraudulent … | |||||||||||||
SEBI issues disciplinary order against Research Analyst Parag Salot (Registration No. INH000000115) for mis-selling services, fraudulent fund collection, and multiple compliance violations.
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SEBI cancels Portfolio Manager registration of Amrapali Aadya Trading and Investment Private Limited for non-compliance with regulatory … | |||||||||||||
SEBI cancels Portfolio Manager registration of Amrapali Aadya Trading and Investment Private Limited for non-compliance with regulatory requirements.
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SEBI suspends broker registration of Raima Equities for one month due to unauthorized investments in group companies violating SCR Rules. | |||||||||||||
SEBI suspends broker registration of Raima Equities for one month due to unauthorized investments in group companies violating SCR Rules.
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