Regulatory-Violations (11)
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SEBI imposes penalty on Kreo Capital Private Limited (Merchant Banker Registration No. INM000012689) for violations of Merchant Bankers … | |||||||||||||
SEBI imposes penalty on Kreo Capital Private Limited (Merchant Banker Registration No. INM000012689) for violations of Merchant Bankers Regulations during the inspection period April 2022 to April 2024.
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SEBI adjudication order against Fourdegreewater Services Private Limited and its directors for violations during inspection as Online Bond … | |||||||||||||
SEBI adjudication order against Fourdegreewater Services Private Limited and its directors for violations during inspection as Online Bond Platform Provider (OBPP) for the period July 25, 2023 to June 30, 2024.
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SEBI order under Section 12(3) of SEBI Act, 1992 addressing multiple violations by Investment Adviser Capital Vraddhi Financial Services … | |||||||||||||
SEBI order under Section 12(3) of SEBI Act, 1992 addressing multiple violations by Investment Adviser Capital Vraddhi Financial Services during inspection period April 2020 to March 2022.
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SEBI settlement order against Infomerics Valuation and Rating Private Limited for violations of Credit Rating Agency regulations including … | |||||||||||||
SEBI settlement order against Infomerics Valuation and Rating Private Limited for violations of Credit Rating Agency regulations including improper rating models, manipulation of weights, and poor internal controls during inspection period January-December 2021.
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SEBI imposes penalties on 5Paisa Capital Limited and its officials for multiple violations related to Online Bond Platform Provider (OBPP) … | |||||||||||||
SEBI imposes penalties on 5Paisa Capital Limited and its officials for multiple violations related to Online Bond Platform Provider (OBPP) operations during inspection period June 2023 to March 2024.
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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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