Searched for
SEBI INSPECTIONS
NSE flags regulatory, tech, AI, derivatives concentration risks in IPO papersThe National Stock Exchange raises a red flag regarding substantial financial and operational threats. Emerging regulatory frameworks, tech...- Angel One settles SEBI case with ₹4.28 crore paymentAngel One has settled a securities law violation case with Sebi. The company paid ₹4.28 crore to resolve allegations of supervisory lapses....
- Angel One settles Sebi proceedings over lapses in monitoring authorised persons, pays Rs 4.28 croreAngel One has settled Sebi's adjudication and enquiry proceedings by paying Rs 4.28 crore. The regulator had alleged supervisory and monito...
- Rajesh Exports likely to lose PLI beneficiary status, face MCA probeRajesh Exports faces potential removal from a government battery production incentive scheme. The corporate affairs ministry is considering...
- NSE EGR: Is your digital investment backed by physical gold? 5 major questions answeredThe National Stock Exchange of India has introduced Electronic Gold Receipts, offering investors a new way to own gold digitally. Each EGR ...
- Sebi imposes Rs 10 lakh fine on Anand Rathi for violation of stock brokers' normsIndia’s market regulator Sebi fined Anand Rathi Share and Stock Brokers ₹10 lakh after inspections found multiple regulatory violations, in...
- Sebi doubles broker inspections, sharp rise in oversight of investment advisers, research analysts in FY25Markets regulator Sebi has significantly ramped up its surveillance and enforcement efforts in FY25, carrying out 312 inspections of stock ...
- Sebi introduces joint inspection framework for brokers, DPsMarkets regulator Sebi on Thursday mandated a unified annual inspection for stock brokers and depository participants to be conducted joint...
- Sebi imposes penalties on Motilal Oswal, and Anand Rathi in separate casesSebi imposes penalties on Motilal Oswal Financial Services and Anand Rathi Share & Stock Broking for violations of stock broking norms. MOF...
- 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...
- 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...
- 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...
- Sebi slaps Rs 6 lakh fine on Maheswari Datamatics for violating market rulesIn its order passed on December 29, Sebi found Radhey Shyam Jhanwar was an associate person of MDPL during the inspection period and hence ...
- Sebi cancels licence of Brickwork ratings for 'multiple lapses'Sebi's inspection also found that Brickwork Ratings failed to comply with timelines prescribed in its internal operational manual in more t...
- Sebi now making surprise visits to private equity and hedge fundsThe capital markets regulator has made surprise inspections at offices of at least 20 AIFs including domestic private equity and hedge fund...
- Sebi imposes Rs 25 lakh fine on Motilal Oswal Financial ServicesThe order comes after Securities and Exchange Board of India (Sebi) conducted a comprehensive inspection of Motilal Oswal Financial Service...
- 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...
- Sebi slaps Rs 10 lakh fine on Axis Trustee ServicesBy not fulfilling its duties, Axis Trustee has failed to comply with debenture trustee regulation, it said.
- Sebi issues inspection guidelines for brokersThe exchanges and clearing corporations have been asked to continuously assess the risks posed by their members.
- 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...
Load More
