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DEPOSITORY VIOLATION
401(k) to gold IRA rollover 2026: Why investors are shifting retirement savings into physical gold protection?Retirement investors are rapidly searching for 401(k) to gold IRA rollover strategies as economic uncertainty grows across the United State...- Sebi seeks public comments on draft circular to regulate association with prohibited entitiesIn a consultation paper floated by Sebi, the regulator outlined provisions prohibiting intermediaries and MIIs, including stock exchanges, ...
- NSDL settles depository violation rule case with Sebi; pays Rs 3.12 crThe National Securities Depository Ltd (NSDL) on Thursday settled a case pertaining to alleged violation of depository rules with markets r...
- This type of illiquid shares cannot be transferred out of demat account or sold anywhereA share which was once actively traded on stock exchanges could turn illiquid one day due to multiple reasons like trading suspension/block...
- SAT reduces Sebi's penalty on Jindal Cotex to Rs 25 lakh in GDR issuance case"The company is a running concern. Penalising the firm with such a heavy penalty is in fact penalising the shareholders, which is not justi...
- Sebi cancels registration of 4 stock brokers, 11 depository participantsSebi said the registration of four stock brokers -- KSBL Securities, Conard Securities, Anee Securities and Credential Stock Brokers -- hav...
- NSDL clarifies: Freeze only on GDR a/cs of FPIs investing in Adani cosIn an announcement to the stock exchanges on June 14, Adani had said the accounts of the three foreign investors holding shares of its grou...
- Sebi imposes Rs 10 lakh fine on Karvy Financial Services for not making open offer timelyKarvy Financial made public announcement for open offer with a delay of 81 days, in violation of Substantial Acquisition of Shares and Take...
- Sebi imposes Rs 90 lakh fine on Anugrah Stock and BrokingAccording to Sebi, there were 16 instances of incorrect reporting amounting to Rs 71.86 crore.
- Sebi slaps Rs 27 lakh fine on entity for misusing clients' fundA joint inspection was conducted by Sebi, BSE, NSE and Central Depository Services India Ltd (CSDL) into the broking and depository partici...
- Sebi fines Reliance CapitalAs per the regulations, depository participants are restricted from delegating their function to any other person, without the prior approv...
- Sebi slaps Rs 5 lakh fine on HSBC-DDPHSBC-DDP failed to inform Sebi immediately, and there was a more than six-month delay in intimating the change of domicile of Pathway Finan...
- Sebi asks SEs to draw up framework on finesThe regulator said the framework should impose higher fines on repeat offenders.
- Sebi fines IFCI Financial Services for not complying with power of attorney normsIFCI Financial Services is a depository participant of National Securities Depositories Ltd and Central Depositories Securities Ltd.
- RTG Share Broking settles case with Sebi, pays Rs 2.55 lakhThe regulator had initiated adjudication proceedings against RTG for violating regulations.
- Investment advisers, analysts to face huge fine for violationsFinance Bill 2018 has proposed amendments to Sebi Act, Securities Contracts (Regulation) Act & Depositories Act.
- 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.
- ADR/GDR holders have no voting rightsIndian banks will be ring-fenced from international investors who have bought overseas shares issued by local banks.
- What is disgorgement?Disgorgement is a common term in developed markets across the world, though most market participants in India would have heard of it for th...
- Use depositories as MF collection centres: SebiA task force appointed by the Securities and Exchange Board of India has suggested that securities depositories could be used as collection...
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