Registration-Suspension (5)
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SEBI suspends the certificate of registration of Seema Jain (INH100006667), a registered Research Analyst, for one month following enquiry … | |||||||||||||
SEBI suspends the certificate of registration of Seema Jain (INH100006667), a registered Research Analyst, for one month following enquiry proceedings that found multiple regulatory violations during April 2021 to October 2022.
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SEBI adjudication order imposing penalties on Research Guru (Registration No. INA000005507) and its associates for multiple violations of … | |||||||||||||
SEBI adjudication order imposing penalties on Research Guru (Registration No. INA000005507) and its associates for multiple violations of Investment Advisers Regulations including fraudulent practices and unauthorized operations.
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SEBI suspends registration of Investment Adviser Winway Research (INA000007492) for multiple violations including operating without proper … | |||||||||||||
SEBI suspends registration of Investment Adviser Winway Research (INA000007492) for multiple violations including operating without proper registration, accepting payments through third-party accounts, and charging duplicate fees.
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SEBI order suspending registration of Investment Adviser Winway Research (INA000007492) for violations including unauthorized fee … | |||||||||||||
SEBI order suspending registration of Investment Adviser Winway Research (INA000007492) for violations including unauthorized fee collection, improper payment practices, and non-compliance with registration requirements.
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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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