Penalties (12)
| Date | Circular | Tags | |||||||||||
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SEBI imposes penalties on Capital Stroke Investment Services Pvt. Ltd. and its directors for non-compliance with investment adviser … | |||||||||||||
SEBI imposes penalties on Capital Stroke Investment Services Pvt. Ltd. and its directors for non-compliance with investment adviser regulations during 2019-2020.
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SEBI imposes penalties on research analyst Amit Guruh Sachdeva for violations of research analyst regulations and record maintenance … | |||||||||||||
SEBI imposes penalties on research analyst Amit Guruh Sachdeva for violations of research analyst regulations and record maintenance failures.
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SEBI imposes penalties on Capital Stroke Investment Services Pvt. Ltd. and its three directors for non-compliance with investment adviser … | |||||||||||||
SEBI imposes penalties on Capital Stroke Investment Services Pvt. Ltd. and its three directors for non-compliance with investment adviser regulations during 2019-2020.
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SEBI adjudication order imposing penalties on research analyst Amit Guruh Sachdeva for violations of record maintenance and regulatory … | |||||||||||||
SEBI adjudication order imposing penalties on research analyst Amit Guruh Sachdeva for violations of record maintenance and regulatory compliance requirements.
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SEBI imposes penalties on Eqwires Research Analyst and its partners for violations of Research Analyst and Investment Adviser regulations … | |||||||||||||
SEBI imposes penalties on Eqwires Research Analyst and its partners for violations of Research Analyst and Investment Adviser regulations during 2020-2021.
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SEBI imposes penalties on Eqwires Research Analyst and its partners for violations of research analyst regulations and acting as … | |||||||||||||
SEBI imposes penalties on Eqwires Research Analyst and its partners for violations of research analyst regulations and acting as unregistered investment adviser.
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SEBI imposes penalties on Eqwires Research Analyst and its partners for violations of Research Analyst and Investment Adviser regulations … | |||||||||||||
SEBI imposes penalties on Eqwires Research Analyst and its partners for violations of Research Analyst and Investment Adviser regulations during 2020-2021 inspection period.
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SEBI imposes penalties on Eqwires Research Analyst and partners for acting as investment adviser without registration and other regulatory … | |||||||||||||
SEBI imposes penalties on Eqwires Research Analyst and partners for acting as investment adviser without registration and other regulatory violations.
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SEBI imposes penalties on Motisons Shares Private Limited for violations of stock broker regulations, client fund handling, and compliance … | |||||||||||||
SEBI imposes penalties on Motisons Shares Private Limited for violations of stock broker regulations, client fund handling, and compliance requirements during inspections from 2021-2024.
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SEBI imposes penalties on Trade Nexa Research Investment Advisor for charging fees without agreements and providing assurances of returns to … | |||||||||||||
SEBI imposes penalties on Trade Nexa Research Investment Advisor for charging fees without agreements and providing assurances of returns to clients.
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