Investment-Advisory (24)

DateCircularTags
General Remittance Order dated 09.09.2025 in Recovery Certificate No. 8831 of 2025 issued against Pranay Kumar, Proprietor of M/s Capital Gyan (PAN: BTFPK4872B) in the matter Unregistered Investment Advisory Activities
SEBI remittance order for recovery proceedings against Pranay Kumar, Proprietor of M/s Capital Gyan for unregistered investment advisory …
SEBI Compliance recovery-proceedings investment-advisory +1
Remittance Order against Mr. Manish Bhardwaj for Unregistered Investment Advisory Services
SEBI remittance order dated 09.09.2025 under RC No. 8823/2025 against Mr. Manish Bhardwaj (PAN: CEUPB0805G) for providing unregistered …
SEBI Compliance investment-advisory unregistered-services +1
Remittance Order dated 09.09.2025 issued under RC No. 8826/2025 drawn against Mr. Manish Bhardwaj (PAN: CEUPB0805G) in the matter of Unregistered Investment Advisory Services
SEBI remittance order for recovery certificate proceedings against Mr. Manish Bhardwaj for unregistered investment advisory services.
SEBI Compliance remittance-order recovery-certificate +1
Notice of Demand dated 05.09.2025 issued under RC No. 8890/2025 drawn against Mr. Rahul Goswami (PAN: AXUPG5665L) in the matter of Unregistered Investment Advisory Services
SEBI issues demand notice against Mr. Rahul Goswami for providing unregistered investment advisory services, requiring payment of penalties …
SEBI Compliance enforcement penalty +2
Notice of Demand dated 29.08.2025 issued under RC No. 8881 of 2025 against Thousand Keys, Proprietor – Tapas Das [PAN: ANKPD3883D] in the matter of Unregistered Investment Advisory Services
SEBI issues demand notice against Thousand Keys and its proprietor Tapas Das for operating unregistered investment advisory services.
SEBI Compliance enforcement-action investment-advisory +1
SEBI Cancellation Order for Recovery Certificate No. 8418 of 2024 against Heet Manish Bapna
SEBI cancels Recovery Certificate No. 8418 of 2024 issued against Heet Manish Bapna for unregistered investment advisory services.
SEBI Compliance recovery-certificate cancellation-order +1
SEBI Notice of Demand against Mr. Jitendra Bharbhuja for Unregistered Investment Advisory and Portfolio Management Services
SEBI issues Recovery Certificate No. 8883 of 2025 against Mr. Jitendra Bharbhuja (Proprietor of Maxx Innovation) for providing unregistered …
SEBI Compliance notice-of-demand recovery-certificate +3
SEBI Order for Compliance - Release Order for Recovery Certificate No. 8418 of 2024 against Heet Manish Bapna alias Heet Manish Bafna (Standard Chartist Proprietor) in the matter of Unregistered Investment Advisory Services
SEBI compliance release order for Recovery Certificate No. 8418 of 2024 against Heet Manish Bapna alias Heet Manish Bafna regarding …
SEBI Compliance compliance recovery-certificate +2
General Remittance Order – RC No. 8758 of 2025 against Rahul Rao Padamati, Mohammad Nasiruddin Ansari, and Golden Syndicate Ventures for Unregistered Investment Advisory Activities
SEBI remittance order against individuals and entity for providing unregistered investment advisory services through 'Baap of Chart' …
SEBI Compliance investment-advisory enforcement +1
General Remittance Order – RC No. 8759 of 2025 Jadav Vamshi (PAN – BJFPJ9368B) - Unregistered Investment Advisory Activities by Baap of Chart
SEBI General Remittance Order against Jadav Vamshi for conducting unregistered investment advisory activities through 'Baap of Chart'.
SEBI Compliance enforcement investment-advisory +1