Intermediary-Regulations (10)

DateCircularTags
SEBI issues final order under Section 12(3) against Research Analyst Punit Kumar (INH000008844) for violations including guaranteed returns, …
SEBI issues final order against Gogia Capital Services Limited for violations including net worth shortfall, improper maintenance of books, …
SEBI imposes final order against Gogia Capital Services Limited (Stock Broker) for violations including net worth shortfall, improper …
SEBI final order against DGS Capital Management for non-compliance with minimum net worth requirements, reporting obligations, and NISM …
SEBI final order against Raghunandan Capital Private Limited for violations of Stock Brokers Regulations following thematic inspection
SEBI issues enquiry order against Research Analyst Nikhil Dayanand Baljekar (INH000009001) for failing to cooperate during inspection and …
SEBI issues order under Section 12(3) against Research Analyst Parag Salot for mis-selling services, fraudulent fund collection, and …
SEBI issues disciplinary order against Research Analyst Parag Salot (Registration No. INH000000115) for mis-selling services, fraudulent …
SEBI cancels Portfolio Manager registration of Amrapali Aadya Trading and Investment Private Limited for non-compliance with regulatory …
SEBI suspends broker registration of Raima Equities for one month due to unauthorized investments in group companies violating SCR Rules.