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NSE SEBI INSPECTION
Sebi imposes Rs 3 lakh fine on Motilal Oswal Financial Services for violations of stock brokers' normsMarkets regulator Sebi on Monday imposed a penalty of Rs 3 lakh on Motilal Oswal Financial Services Ltd for violating stock brokers' norms.09 Jun, 2025, 07.27 PM IST- ICICI Securities pays Rs 80.4 lakh to settle stock broker rule violation case with SebiICICI Securities has settled a case with Sebi involving alleged violations of stock broker rules and other market norms by paying a settlem...14 Feb, 2025, 10.01 PM IST
- Sebi penalises Reliance Securities for breach of normsCapital markets regulator Sebi on Friday slapped a monetary penalty of Rs 9 lakh on Reliance Securities for flouting market norms as well a...29 Nov, 2024, 08.47 PM IST
- Sebi levies Rs 15 lakh fine on 3 entities for indulging in non-genuine tradesSebi has fined multiple entities a total of Rs 27 lakh for non-genuine trades in the BSE's illiquid stock options segment and regulatory vi...24 Oct, 2024, 09.42 PM IST
- Sebi levies Rs 10 lakh fine on Anand Rathi for violating stock brokers rulesBased on the findings of the inspection, the regulator found certain alleged non-compliances of Stock Brokers regulations and circulars iss...30 Sep, 2024, 08.01 PM IST
- Sebi slaps Rs 12 lakh fine on NSE Data And AnalyticsIn its order, Sebi noted irregularities with respect to the backup of records and details of the Business Continuity Plan/Disaster Recovery...30 Sep, 2024, 07.58 PM IST
- IIFL Securities to appeal to SAT against SEBI order on onboarding new clients“It may be noted that the order does not affect the company’s existing business with the existing clients,” IIFL Securities said in an exch...19 Jun, 2023, 10.46 PM IST
- Sebi moves court over RTI order to disclose information on NSEAt the crux of the issue is a Right to Information (RTI) application filed by New Delhi-based Subhash Chandra Agarwal with Sebi seeking acc...23 Feb, 2023, 06.51 AM IST
- Sebi refuses to disclose NSE inspection reports under RTIDenying the information, SEBI responded to RTI activist Subhash Agrawal that the information sought by him pertains to its internal functio...24 Mar, 2022, 12.07 PM IST
- Sebi slaps Rs 1.02 cr fine on Aditya Birla Money for mkt norms violationProceedings were initiated against Aditya Birla Money based on a joint inspection conducted by Sebi, BSE, NSE and the depositories in March...05 Oct, 2021, 12.26 AM IST
- NSE disables Arcadia's trading terminalsThe exchange said Arcadia has failed to submit the information for off-market transfers to its clients and invocation of pledged securities...11 Feb, 2021, 10.50 PM IST
- Sebi restrains Vrise Securities from registering new clients for 6 monthsThe firm was formerly known as Vishesh Capital.09 Jan, 2020, 09.22 PM IST
- Sebi bans F6 Finserve, F6 Commodities, 8 others from marketsAmong the eight directors are Pankaj Goel, Parveen Sharma, Meenu Goel, Sanjay Anand, Kavita Anand, Asha Sharma, Deepak Goel and Ruchika Goe...29 May, 2018, 09.19 PM IST
- Sebi steps up surveillance on money laundering activitiesThe capital markets watchdog has also enhanced its cooperation with other regulators and agencies in India as well as abroad for investigat...15 Aug, 2017, 02.32 PM IST
- 380 market members violated anti-money laundering rules in FY15The regulator also noted that intermediaries were permitted to depend on third parties for carrying out due diligence of their clients.20 Dec, 2015, 11.52 AM IST
- Brokers may face joint-inspection by stock exchangesBesides, offsite joint inspection could be conducted as per analysis of this data, while it has also been proposed that internal audit shou...26 Oct, 2014, 12.32 PM IST
- Kotak Securities fined Rs 10 lakhSEBI has imposed a fine of Rs 10 lakh on Mumbai-based brokerage Kotak Securities alleging repeated failure to maintain proper margin requir...22 Dec, 2006, 03.04 AM IST
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