Net-Worth-Violation (5)
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SEBI final order against Gogia Capital Services Limited (Stock Broker, Reg. No. INZ000202733) for violations including net worth shortfall, … | |||||||||||||
SEBI final order against Gogia Capital Services Limited (Stock Broker, Reg. No. INZ000202733) for violations including net worth shortfall, improper book maintenance, engaging in unauthorized business, and non-settlement of client funds and securities.
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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.
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SEBI final order against Scient Capital Private Limited for violations including failure to maintain minimum net worth requirements and NISM … | |||||||||||||
SEBI final order against Scient Capital Private Limited for violations including failure to maintain minimum net worth requirements and NISM certification non-compliance.
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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.
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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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