Stock-Broker (23)
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SEBI enquiry order against Prabhudas Lilladher Private Limited for multiple violations including misuse of client funds, non-settlement of … | |||||||||||||||
SEBI enquiry order against Prabhudas Lilladher Private Limited for multiple violations including misuse of client funds, non-settlement of accounts, incorrect margin reporting, and other regulatory breaches during inspection period April 2021 to October 2022.
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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 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 imposes penalties on Angel One Limited for violations related to unauthorized users operating trading terminals mapped to authorized … | |||||||||||||||
SEBI imposes penalties on Angel One Limited for violations related to unauthorized users operating trading terminals mapped to authorized persons and failure to maintain proper records.
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RTI appeal seeking information about investor protection fund claims against Raghukul Shares India Pvt. Ltd dismissed as stock exchanges are … | |||||||||||||||
RTI appeal seeking information about investor protection fund claims against Raghukul Shares India Pvt. Ltd dismissed as stock exchanges are not public authorities under RTI Act.
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SEBI imposes adjudication proceedings against Choice Equity Broking Private Limited for violations related to Cyber Security & Cyber … | |||||||||||||||
SEBI imposes adjudication proceedings against Choice Equity Broking Private Limited for violations related to Cyber Security & Cyber Resilience framework during inspection for period April 2023 to August 2024.
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SEBI settlement order against AK Capital Group entities for fraudulent practices in DHFL's NCD public issue involving providing guaranteed … | |||||||||||||||
SEBI settlement order against AK Capital Group entities for fraudulent practices in DHFL's NCD public issue involving providing guaranteed exit at profit to applicants.
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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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RTI appeal regarding disclosure of transaction details by NSDL depository and financial statements from stock broker Unlock Wealth … | |||||||||||||||
RTI appeal regarding disclosure of transaction details by NSDL depository and financial statements from stock broker Unlock Wealth Securities Limited for period 1999-2007.
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SEBI order under Section 12(3) of SEBI Act, 1992 following inspection of Stockholding Services Limited (formerly SHCIL Services Limited) for … | |||||||||||||||
SEBI order under Section 12(3) of SEBI Act, 1992 following inspection of Stockholding Services Limited (formerly SHCIL Services Limited) for violations during April 2021 to October 2022.
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