Settlement-Order (22)
| Date | Circular | Tags | |||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
SEBI settlement order against National Securities Depository Limited (NSDL) for alleged violations of various regulatory provisions … | |||||||||||||||
SEBI settlement order against National Securities Depository Limited (NSDL) for alleged violations of various regulatory provisions identified during FY 2023-24 inspection.
| |||||||||||||||
SEBI settlement order against Mr. M. Manohar (Compliance Officer) and Mr. M. Vijaya Bhasker Reddy (Independent Director) for violations … | |||||||||||||||
SEBI settlement order against Mr. M. Manohar (Compliance Officer) and Mr. M. Vijaya Bhasker Reddy (Independent Director) for violations related to disclosure failures and financial statement irregularities at Brightcom Group Limited.
| |||||||||||||||
SEBI settlement order against Mr. Hemant Ghai for communicating material non-public information regarding stock recommendations to be … | |||||||||||||||
SEBI settlement order against Mr. Hemant Ghai for communicating material non-public information regarding stock recommendations to be provided on TV shows, leading to unlawful gains through advance trading.
| |||||||||||||||
SEBI settles case against Tata Capital Limited for violations related to unlisted CRPS issuances deemed as public issues due to down-selling … | |||||||||||||||
SEBI settles case against Tata Capital Limited for violations related to unlisted CRPS issuances deemed as public issues due to down-selling to over 200 investors within six months.
| |||||||||||||||
SEBI settlement order against Navi AMC Limited and Navi Trustee Limited for exceeding permissible scheme expense limits of 2 basis points of … | |||||||||||||||
SEBI settlement order against Navi AMC Limited and Navi Trustee Limited for exceeding permissible scheme expense limits of 2 basis points of AUM, settled for ₹10.20 lakhs.
| |||||||||||||||
SEBI settles case against sales trader who front-ran Big Client (Societe Generale) trades through family members, resulting in wrongful … | |||||||||||||||
SEBI settles case against sales trader who front-ran Big Client (Societe Generale) trades through family members, resulting in wrongful gains of ₹1.23 crore during January 2022 to December 2023.
| |||||||||||||||
SEBI settlement order against Embassy Office Parks Management Services for failure to timely disclose NFRA order against CEO Aravind Maiya … | |||||||||||||||
SEBI settlement order against Embassy Office Parks Management Services for failure to timely disclose NFRA order against CEO Aravind Maiya and subsequent fit and proper person assessment to unitholders and stock exchanges.
| |||||||||||||||
SEBI settlement order against Dish TV India Limited for violation of LODR Regulation 7(1C) regarding failure to obtain shareholder approval … | |||||||||||||||
SEBI settlement order against Dish TV India Limited for violation of LODR Regulation 7(1C) regarding failure to obtain shareholder approval for continuation of director after rejection of reappointment proposal.
| |||||||||||||||
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.
| |||||||||||||||
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.
| |||||||||||||||