Regulatory-Violation (27)
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SEBI imposes penalties on M/s Alliance Research (Proprietor: Mudassir Hasan) for violations of Investment Advisers Regulations, PFUTP … | |||||||||||||||
SEBI imposes penalties on M/s Alliance Research (Proprietor: Mudassir Hasan) for violations of Investment Advisers Regulations, PFUTP Regulations, and non-redressal of investor grievances during inspection period April 2018 to February 2020.
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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 under Section 12(3) of SEBI Act, 1992 against Research Analyst Punit Kumar for violations of RA Regulations and PFUTP Regulations including guaranteed returns and misleading clients.
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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 final order directing Mr. Rajiv R. Kotia and family members to make a public open offer for acquiring shares of Sungold Capital Limited for violations of SAST Regulations 1997 relating to share acquisitions in 2007.
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SEBI issues final order against Gogia Capital Services Limited for violations including net worth shortfall, improper maintenance of books, … | |||||||||||||||
SEBI issues final order against Gogia Capital Services Limited for violations including net worth shortfall, improper maintenance of books, engaging in non-securities business, and non-settlement of client funds and securities.
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SEBI final order against DGS Capital Management for non-compliance with minimum net worth requirements, reporting obligations, and NISM … | |||||||||||||||
SEBI final order against DGS Capital Management for non-compliance with minimum net worth requirements, reporting obligations, and NISM certification requirements under Portfolio Managers Regulations.
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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 imposes penalties on research analyst Amit Guruh Sachdeva (Registration No. INH100005190) for violations of record maintenance, audit, … | |||||||||||||||
SEBI imposes penalties on research analyst Amit Guruh Sachdeva (Registration No. INH100005190) for violations of record maintenance, audit, and code of conduct requirements.
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SEBI issues enquiry order against Research Analyst Nikhil Dayanand Baljekar (INH000009001) for failing to cooperate during inspection and … | |||||||||||||||
SEBI issues enquiry order against Research Analyst Nikhil Dayanand Baljekar (INH000009001) for failing to cooperate during inspection and allowing third parties to misuse his license.
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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 failing to cooperate during inspection and allowing third parties to use his registration.
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SEBI enquiry order against Research Analyst Nikhil Dayanand Baljekar for non-cooperation during inspection and allowing third parties to use … | |||||||||||||||
SEBI enquiry order against Research Analyst Nikhil Dayanand Baljekar for non-cooperation during inspection and allowing third parties to use his license.
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