Stock-Broker (8)
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SEBI final order against Raghunandan Capital Private Limited for violations of Stock Brokers Regulations following thematic inspection | |||||||||||||||
SEBI final order against Raghunandan Capital Private Limited for violations of Stock Brokers Regulations following thematic inspection
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SEBI imposed penalties on SMC Global Securities Limited for failing to maintain NSE CTCL terminals at reported locations during inspection … | |||||||||||||||
SEBI imposed penalties on SMC Global Securities Limited for failing to maintain NSE CTCL terminals at reported locations during inspection period April 2023 to April 2024.
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SEBI adjudication order imposing penalty on stock broker Integrated Master Securities for providing false information and failing to … | |||||||||||||||
SEBI adjudication order imposing penalty on stock broker Integrated Master Securities for providing false information and failing to maintain call recordings during insider trading investigation in Mastek Ltd. scrip.
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SEBI imposes penalty on Motilal Oswal Financial Services Limited for non-compliance with stock broker regulations during inspection period … | |||||||||||||||
SEBI imposes penalty on Motilal Oswal Financial Services Limited for non-compliance with stock broker regulations during inspection period April 2022 to October 2023.
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SEBI imposes penalties on Motisons Shares Private Limited for violations of stock broker regulations, client fund handling, and compliance … | |||||||||||||||
SEBI imposes penalties on Motisons Shares Private Limited for violations of stock broker regulations, client fund handling, and compliance requirements during inspections from 2021-2024.
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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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RTI appeal regarding SEBI approval of Citigroup Global Markets India Private Limited equity trading plan dismissed due to queries seeking … | |||||||||||||||
RTI appeal regarding SEBI approval of Citigroup Global Markets India Private Limited equity trading plan dismissed due to queries seeking clarification rather than information.
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