Intermediary-Regulations (11)
| Date | Circular | Tags | |||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
SEBI enquiry order against Prabhudas Lilladher Private Limited for multiple violations including misuse of client funds, non-settlement of … | |||||||||||||
SEBI enquiry order against Prabhudas Lilladher Private Limited for multiple violations including misuse of client funds, non-settlement of accounts, incorrect margin reporting, and other regulatory breaches during inspection period April 2021 to October 2022.
| |||||||||||||
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.
| |||||||||||||
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.
| |||||||||||||
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.
| |||||||||||||
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.
| |||||||||||||
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
| |||||||||||||
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.
| |||||||||||||
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.
| |||||||||||||
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.
| |||||||||||||
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.
| |||||||||||||