Investment-Adviser (156)
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BSE advises Investment Advisers to review and revise their SEBI-mandated deposit requirements based on the maximum number of clients … | |||||||||||||
BSE advises Investment Advisers to review and revise their SEBI-mandated deposit requirements based on the maximum number of clients serviced on any single day during F.Y. 2025-26, with revised deposits due by April 30, 2026.
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SEBI issues final order against Rajiv Kumar Singh, proprietor of Elite Investment Advisory Services, cancelling registration after … | |||||||||||||
SEBI issues final order against Rajiv Kumar Singh, proprietor of Elite Investment Advisory Services, cancelling registration after inspection revealed multiple violations of Investment Adviser Regulations including fraud, non-cooperation, and promising assured returns.
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SEBI cancels the Investment Adviser registration of CapitalVia Global Research Limited (INA200001512) following an enquiry that found … | |||||||||||||
SEBI cancels the Investment Adviser registration of CapitalVia Global Research Limited (INA200001512) following an enquiry that found multiple violations including guaranteed returns, qualification non-compliance, and fraudulent trade practices.
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Securities Appellate Tribunal (SAT) order dated March 13, 2026 on Appeal No. 402 of 2023, concerning SEBI's five-year debarment of … | |||||||||||||
Securities Appellate Tribunal (SAT) order dated March 13, 2026 on Appeal No. 402 of 2023, concerning SEBI's five-year debarment of Capitalaim Financial Advisory Pvt. Ltd. and its director for violations including failure to conduct risk profiling, charging unreasonable fees, and defrauding clients.
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SEBI issues enquiry order against registered Investment Adviser Sai Proficient Research Investment Advisory (INA000002504) for multiple … | |||||||||||||
SEBI issues enquiry order against registered Investment Adviser Sai Proficient Research Investment Advisory (INA000002504) for multiple violations including fraud, unfair client dealings, and non-cooperation with SEBI.
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SEBI adjudication order against investment adviser Chenthil R Iyer for continuing investment advisory activities after registration expiry … | |||||||||||||
SEBI adjudication order against investment adviser Chenthil R Iyer for continuing investment advisory activities after registration expiry and operating without a valid NISM certificate.
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SEBI issues a Notice of Demand under Recovery Certificate No. 9039 of 2026 dated February 18, 2026 against Equity Express Market and … | |||||||||||||
SEBI issues a Notice of Demand under Recovery Certificate No. 9039 of 2026 dated February 18, 2026 against Equity Express Market and Research Services, Proprietor Mr. Rahul Arya (PAN: ANPPA2906H), for recovery of outstanding dues.
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SEBI imposes penalties on Research Guru (INA000005507) and its associates for multiple violations of Investment Adviser Regulations … | |||||||||||||
SEBI imposes penalties on Research Guru (INA000005507) and its associates for multiple violations of Investment Adviser Regulations including fraudulent practices, unauthorized operations, and code of conduct breaches.
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SEBI adjudication proceedings against Research Guru and its associates for multiple violations including unauthorized franchising of … | |||||||||||||
SEBI adjudication proceedings against Research Guru and its associates for multiple violations including unauthorized franchising of investment advisory services, fraudulent practices, and non-compliance with IA Regulations.
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SEBI adjudication order imposing penalties on Research Guru (Registration No. INA000005507) and its associates for multiple violations of … | |||||||||||||
SEBI adjudication order imposing penalties on Research Guru (Registration No. INA000005507) and its associates for multiple violations of Investment Advisers Regulations including fraudulent practices and unauthorized operations.
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