Penalty (25)
| Date | Circular | Tags | |||||||||||
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SEBI issues demand notice against Mr. Rahul Goswami for providing unregistered investment advisory services, requiring payment of penalties … | |||||||||||||
SEBI issues demand notice against Mr. Rahul Goswami for providing unregistered investment advisory services, requiring payment of penalties and compliance with regulations.
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SEBI recovery certificate issued to Mrinal Verma for dealing in illiquid stock options at BSE. | |||||||||||||
SEBI recovery certificate issued to Mrinal Verma for dealing in illiquid stock options at BSE.
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SEBI issues recovery certificate demanding Rs. 5,36,000 from Mrinal Verma for penalty imposed in connection with dealing in illiquid stock … | |||||||||||||
SEBI issues recovery certificate demanding Rs. 5,36,000 from Mrinal Verma for penalty imposed in connection with dealing in illiquid stock options at BSE.
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SEBI imposes penalty on research analyst for violations of record maintenance, annual audit, and code of conduct requirements. | |||||||||||||
SEBI imposes penalty on research analyst for violations of record maintenance, annual audit, and code of conduct requirements.
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SEBI imposed penalties on research analyst Amit Guruh Sachdeva (Registration No. INH100005190) for violations including improper record … | |||||||||||||
SEBI imposed penalties on research analyst Amit Guruh Sachdeva (Registration No. INH100005190) for violations including improper record maintenance and non-compliance with research analyst regulations.
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SEBI settles case against Brookprop Management Services for using borrowed funds to facilitate REIT distribution, with INR 20.47 lakh … | |||||||||||||
SEBI settles case against Brookprop Management Services for using borrowed funds to facilitate REIT distribution, with INR 20.47 lakh penalty.
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SEBI recovery order issued against Krishnamurthy G. (PAN: BSFPK6683P) for operating as unregistered investment advisor. | |||||||||||||
SEBI recovery order issued against Krishnamurthy G. (PAN: BSFPK6683P) for operating as unregistered investment advisor.
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SEBI issues demand notice against Thousand Keys and its proprietor Tapas Das for operating unregistered investment advisory services. | |||||||||||||
SEBI issues demand notice against Thousand Keys and its proprietor Tapas Das for operating unregistered investment advisory services.
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SEBI enforcement action against Jadav Vamshi (PAN: BJFPJ9368B) operating as 'Baap of Chart' for conducting unregistered investment advisory … | |||||||||||||
SEBI enforcement action against Jadav Vamshi (PAN: BJFPJ9368B) operating as 'Baap of Chart' for conducting unregistered investment advisory activities.
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SEBI remittance order against individuals and entity for providing unregistered investment advisory services through 'Baap of Chart' … | |||||||||||||
SEBI remittance order against individuals and entity for providing unregistered investment advisory services through 'Baap of Chart' platform.
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