Regulatory-Violations (6)
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SEBI imposes penalties on Capital Stroke Investment Services Pvt. Ltd. and its three directors for non-compliance with investment adviser … | |||||||||||||
SEBI imposes penalties on Capital Stroke Investment Services Pvt. Ltd. and its three directors for non-compliance with investment adviser regulations during 2019-2020.
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SEBI adjudication order imposing penalties on research analyst Amit Guruh Sachdeva for violations of record maintenance and regulatory … | |||||||||||||
SEBI adjudication order imposing penalties on research analyst Amit Guruh Sachdeva for violations of record maintenance and regulatory compliance requirements.
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SEBI issues disciplinary order against Research Analyst Parag Salot (Registration No. INH000000115) for mis-selling services, fraudulent … | |||||||||||||
SEBI issues disciplinary order against Research Analyst Parag Salot (Registration No. INH000000115) for mis-selling services, fraudulent fund collection, and multiple compliance violations.
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SEBI issues order under Section 12(3) against Research Analyst Parag Salot (Registration No. INH000000115) for mis-selling services, … | |||||||||||||
SEBI issues order under Section 12(3) against Research Analyst Parag Salot (Registration No. INH000000115) for mis-selling services, fraudulent fund collection, and multiple regulatory compliance failures.
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SEBI adjudication order against GoldenPi Securities and its directors for violations of Stock Brokers Regulations and PFUTP Regulations … | |||||||||||||
SEBI adjudication order against GoldenPi Securities and its directors for violations of Stock Brokers Regulations and PFUTP Regulations during inspection period November 2022 to June 2024.
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SEBI imposes penalties on Sunflower Broking Private Limited for violations related to stock broker regulations and authorized person … | |||||||||||||
SEBI imposes penalties on Sunflower Broking Private Limited for violations related to stock broker regulations and authorized person oversight during March-August 2023.
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