Regulatory-Violation (32)
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SEBI imposes penalty on Prithvi Finmart Private Limited (Stock Broker) for violations related to monitoring of trading terminals used by … | |||||||||||||||
SEBI imposes penalty on Prithvi Finmart Private Limited (Stock Broker) for violations related to monitoring of trading terminals used by Authorized Persons during inspection period January-June 2024.
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SEBI settlement order against BNP Paribas for violations of FPI Regulations related to granting Category II licenses to ineligible FPIs and … | |||||||||||||||
SEBI settlement order against BNP Paribas for violations of FPI Regulations related to granting Category II licenses to ineligible FPIs and failure to identify regulatory status during conversion.
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SEBI order against Lifeinspire Knowledge Solutions Private Limited and its directors for conducting unregistered investment advisory … | |||||||||||||||
SEBI order against Lifeinspire Knowledge Solutions Private Limited and its directors for conducting unregistered investment advisory activities through website bankniftyoption.in in violation of SEBI Act and IA Regulations 2013.
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SEBI order under Section 12(3) of SEBI Act, 1992 against registered Investment Adviser Podium Market Research for violations including … | |||||||||||||||
SEBI order under Section 12(3) of SEBI Act, 1992 against registered Investment Adviser Podium Market Research for violations including breach of confidentiality and unauthorized GST collection.
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SEBI has restrained First Overseas Capital Limited from accessing the securities market and prohibited from dealing in securities for 2 … | |||||||||||||||
SEBI has restrained First Overseas Capital Limited from accessing the securities market and prohibited from dealing in securities for 2 years effective October 23, 2025, due to multiple regulatory violations including net worth requirements and underwriting obligations.
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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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