Regulatory-Violation (27)

DateCircularTags
SEBI imposes penalties on M/s Alliance Research (Proprietor: Mudassir Hasan) for violations of Investment Advisers Regulations, PFUTP …
SEBI final order under Section 12(3) of SEBI Act, 1992 against Research Analyst Punit Kumar for violations of RA Regulations and PFUTP …
SEBI final order directing Mr. Rajiv R. Kotia and family members to make a public open offer for acquiring shares of Sungold Capital Limited …
SEBI issues final order against Gogia Capital Services Limited for violations including net worth shortfall, improper maintenance of books, …
SEBI final order against DGS Capital Management for non-compliance with minimum net worth requirements, reporting obligations, and NISM …
SEBI imposed penalties on research analyst Amit Guruh Sachdeva (Registration No. INH100005190) for violations including improper record …
SEBI imposes penalties on research analyst Amit Guruh Sachdeva (Registration No. INH100005190) for violations of record maintenance, audit, …
SEBI issues enquiry order against Research Analyst Nikhil Dayanand Baljekar (INH000009001) for failing to cooperate during inspection and …
SEBI enquiry order against Research Analyst Nikhil Dayanand Baljekar for failing to cooperate during inspection and allowing third parties …
SEBI enquiry order against Research Analyst Nikhil Dayanand Baljekar for non-cooperation during inspection and allowing third parties to use …