Merchant-Banker (7)
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SEBI settlement order against AK Capital Group entities for fraudulent practices in DHFL's NCD public issue involving providing guaranteed … | |||||||||||||||
SEBI settlement order against AK Capital Group entities for fraudulent practices in DHFL's NCD public issue involving providing guaranteed exit at profit to applicants.
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SEBI imposes penalty on Oneview Corporate Advisors Private Limited for violations during inspection including failure to exercise due … | |||||||||||||||
SEBI imposes penalty on Oneview Corporate Advisors Private Limited for violations during inspection including failure to exercise due diligence in 3 IPOs, maintain structural digital database, and comply with NISM certification requirements.
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SEBI confirms restraint orders against Synoptics Technologies Limited and its promoters from participating in securities market following … | |||||||||||||||
SEBI confirms restraint orders against Synoptics Technologies Limited and its promoters from participating in securities market following irregularities in IPO bidding process.
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SEBI suspends registration of First Overseas Capital Ltd. (Merchant Banker) for six months due to violation of minimum net worth requirement … | |||||||||||||||
SEBI suspends registration of First Overseas Capital Ltd. (Merchant Banker) for six months due to violation of minimum net worth requirement of INR 5 crores during FY 2019-2021.
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SEBI imposes penalty on Finshore Management Services Limited (Merchant Banker) for violations of ICDR Regulations and Merchant Banker Code … | |||||||||||||||
SEBI imposes penalty on Finshore Management Services Limited (Merchant Banker) for violations of ICDR Regulations and Merchant Banker Code of Conduct during inspection period April 2021 to April 2023.
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SEBI clarifies that Swaraj Shares and Securities Private Limited may complete ongoing open offer assignments despite registration … | |||||||||||||||
SEBI clarifies that Swaraj Shares and Securities Private Limited may complete ongoing open offer assignments despite registration suspension, subject to specific safeguards.
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SEBI final order under Section 12(3) against Swaraj Shares and Securities Pvt. Ltd. for violations of Merchant Banker regulations including … | |||||||||||||||
SEBI final order under Section 12(3) against Swaraj Shares and Securities Pvt. Ltd. for violations of Merchant Banker regulations including due diligence failures and investor grievance compliance issues.
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