Penalties (23)
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NSE Clearing Limited introduces escalating penalties for repeated instances of networth shortfall reporting by clearing members, with … | |||||||||||||||
NSE Clearing Limited introduces escalating penalties for repeated instances of networth shortfall reporting by clearing members, with penalties ranging from Rs. 50,000 to referral to Member Committee.
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SEBI imposes penalties on 5Paisa Capital Limited and its officials for multiple violations related to Online Bond Platform Provider (OBPP) … | |||||||||||||||
SEBI imposes penalties on 5Paisa Capital Limited and its officials for multiple violations related to Online Bond Platform Provider (OBPP) operations during inspection period June 2023 to March 2024.
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BSE imposes charges of Rs 100 per day per terminal for trading members who failed to upload IML/BOLT TWS/BOLT PLUS location information for … | |||||||||||||||
BSE imposes charges of Rs 100 per day per terminal for trading members who failed to upload IML/BOLT TWS/BOLT PLUS location information for September 2025.
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BSE announces rationalized and standardized penalty framework for violations and non-compliances observed during Trading Member inspections, … | |||||||||||||||
BSE announces rationalized and standardized penalty framework for violations and non-compliances observed during Trading Member inspections, including financial implications and compliance requirements.
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BSE introduces standardized framework for penalties on trading members covering violations with financial implications, net worth … | |||||||||||||||
BSE introduces standardized framework for penalties on trading members covering violations with financial implications, net worth shortfalls, client fund misuse, and inspection non-compliance with differentiated actions for first-time and repeat offenses.
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BSE introduces standardized penalty framework for trading member violations across inspection-related non-compliances, covering financial … | |||||||||||||||
BSE introduces standardized penalty framework for trading member violations across inspection-related non-compliances, covering financial violations, client fund misuse, net worth shortfalls, and data submission requirements.
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SEBI introduces revised penalty framework for stock brokers to remove inconsistencies, avoid multiple penalties, and replace 'penalty' … | |||||||||||||||
SEBI introduces revised penalty framework for stock brokers to remove inconsistencies, avoid multiple penalties, and replace 'penalty' terminology with 'financial disincentive' for procedural lapses.
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NSE introduces standardized penalty framework for trading member violations including client fund misuse, net worth shortfalls, securities … | |||||||||||||||
NSE introduces standardized penalty framework for trading member violations including client fund misuse, net worth shortfalls, securities misuse, and inspection non-compliance with differentiated actions for first-time and repeat offenders.
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SEBI final order against Rajiv R. Kotia and family members for violations of SAST Regulations 1997 relating to acquisition of shares in … | |||||||||||||||
SEBI final order against Rajiv R. Kotia and family members for violations of SAST Regulations 1997 relating to acquisition of shares in Sungold Capital Limited without making mandatory open offer in 2007.
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BSE requires clearing members to submit audited networth certificates, computation statements, auditor's reports and annual accounts for the … | |||||||||||||||
BSE requires clearing members to submit audited networth certificates, computation statements, auditor's reports and annual accounts for the financial year ended March 31, 2025 by October 31, 2025.
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