Unregistered-Services (14)

DateCircularTags
Remittance Order against Mr. Manish Bhardwaj for Unregistered Investment Advisory Services
SEBI remittance order dated 09.09.2025 under RC No. 8823/2025 against Mr. Manish Bhardwaj (PAN: CEUPB0805G) for providing unregistered …
SEBI Compliance demand-notice enforcement +1
Remittance Order dated 09.09.2025 issued under RC No. 8826/2025 drawn against Mr. Manish Bhardwaj (PAN: CEUPB0805G) in the matter of Unregistered Investment Advisory Services
SEBI remittance order for recovery certificate proceedings against Mr. Manish Bhardwaj for unregistered investment advisory services.
SEBI Compliance demand-notice enforcement +1
Notice of Demand dated 05.09.2025 issued under RC No. 8890/2025 drawn against Mr. Rahul Goswami (PAN: AXUPG5665L) in the matter of Unregistered Investment Advisory Services
SEBI issues demand notice against Mr. Rahul Goswami for providing unregistered investment advisory services, requiring payment of penalties …
SEBI Compliance compliance demand-notice +2
Notice of Demand dated 29.08.2025 issued under RC No. 8881 of 2025 against Thousand Keys, Proprietor – Tapas Das [PAN: ANKPD3883D] in the matter of Unregistered Investment Advisory Services
SEBI issues demand notice against Thousand Keys and its proprietor Tapas Das for operating unregistered investment advisory services.
SEBI Compliance demand-notice enforcement +1
SEBI Cancellation Order for Recovery Certificate No. 8418 of 2024 against Heet Manish Bapna
SEBI cancels Recovery Certificate No. 8418 of 2024 issued against Heet Manish Bapna for unregistered investment advisory services.
SEBI Compliance cancellation-order compliance +1
SEBI Notice of Demand against Mr. Jitendra Bharbhuja for Unregistered Investment Advisory and Portfolio Management Services
SEBI issues Recovery Certificate No. 8883 of 2025 against Mr. Jitendra Bharbhuja (Proprietor of Maxx Innovation) for providing unregistered …
SEBI Compliance demand-notice enforcement +3
SEBI Order for Compliance - Release Order for Recovery Certificate No. 8418 of 2024 against Heet Manish Bapna alias Heet Manish Bafna (Standard Chartist Proprietor) in the matter of Unregistered Investment Advisory Services
SEBI compliance release order for Recovery Certificate No. 8418 of 2024 against Heet Manish Bapna alias Heet Manish Bafna regarding …
SEBI Compliance compliance enforcement +2
Notice of Demand dated 26.08.2025 issued in Recovery Certificate No. 8878 of 2025 against Vipin Sharma for Unregistered Investment Advisor and Portfolio Manager Services
SEBI issues recovery notice against Vipin Sharma (PAN: GWBPS1865J) for operating unregistered investment advisor and portfolio manager …
SEBI Compliance demand-notice enforcement +2
Notice of Attachment dated August 22, 2025 in RC no 8802 of 2025 against P. Krishnakumar (PAN: ASDPK8613Q) in the matter of Unregistered investment advisory services/activities of YM Forecast managed by P Krishnakumar and Jagdeesan S
SEBI notice of attachment against P. Krishnakumar for unregistered investment advisory services through YM Forecast.
SEBI Compliance attachment enforcement +2
Remittance Advice - Mr. Mrityunjay Kumar (Director, Future Intraday Positional Long Term Capital OPC Pvt Ltd) - Recovery Certificate No. 8770/2025
SEBI remittance advice for recovery proceedings against Mr. Mrityunjay Kumar regarding unregistered investment advisory services violation.
SEBI Compliance director-liability enforcement +2