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INVESTMENT ADVISERS INSPECTIONS
ET Prime Special Series: Multibagger or IBC - Part 59: Japan taught it. Tata bought it. Now EVs will test this auto ancillaryThis is a story about a company that is simultaneously an asset and an anomaly. An asset because it builds a tangible, necessary product, g...- More macro headwinds on the cards? Tackle them with core principles: 6 pharma stocks with upside potential of up to 28%There was a time when the Indian pharma story in the US was almost entirely about inspection risk. The US FDA would inspect a plant, a warn...
- Long-term Investing: Ecosystem with an edge called India; 12 large- mid- and small-cap stocks with upside potential of up to 34%Tactical investing should not be confused with long-term investing. In a world where geopolitical risk, commodity shocks, and uncertainty a...
- 97% Sebi enforcement orders since 2013 targeted trading-call providers: ReportAn ARIA analysis shows that trading-call providers—both registered and unregistered—accounted for nearly 97% of Sebi’s enforcement orders u...
- Indiabulls AMC, others settle AIF rules violations case with Sebi, pay Rs 1.43 crErstwhile Indiabulls Asset Management Company (now known as Groww AMC), its schemes and former officials on Wednesday settled a case with S...
- 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 penalises 8 entities for non-genuine tradesCapital markets regulator Sebi on Wednesday imposed penalties totalling Rs 40 lakh on eight entities for indulging in non-genuine trades in...
- Invesco AMC, its CEO, others settle case with SebiThe case relates to an inspection of mutual funds and portfolio management services (PMS) activities of Invesco Asset Management for the pe...
- 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 bans 9 entities from securities mkt for 2-yrs for flouting investment advisory rulesThe nine entities that have been prohibited are -- Yogesh Kukadia, Rajesh R Kallidumbil, Nithin Raj, Signal2Noise Capital Partners, Investo...
- Sebi penalises Crude Oil Tipswala, three individuals for unregistered advisory servicesThe order came after Sebi issued a show cause notice in June to COT, Jitendra Kumar Ganeshlal Bata, Goutam Sarvar and Mukeshbhai Ramanbhai ...
- Unauthorised investment services: Sebi bans The Profit Sharing, proprietor from marketThey were involved in such investment advisory services without obtaining regulatory approval from it, which is in violation of Investment ...
- Titan case: Sebi fines eight individuals for breach of insider trading normsThe order came after Sebi received a letter from Titan Company Ltd (TCL) wherein the company intimated the market watchdog about contravent...
- Sebi issues Rs 15.61 lakh recovery notice in Maxgrowth Capital caseThe regulator had directed Maxgrowth to pay the fine of Rs 15.61 lakh, which includes interest, all costs, charges and expenses, within 15 ...
- Sebi confirms capital market ban on Capital Stroke, 3 othersSebi had asked Capital Stroke and three persons -- Upendra Singh Rajput, Prashant Singh Baghel and Kamlesh Dhole -- not to access the secur...
- Sebi to spend big on AI, ML to boost surveillance, investigation capability“In the forthcoming years, Sebi will be implementing major information technology (IT) projects, which are critical to its day-to-day opera...
- Sebi issues framework for supervisory body for investment advisorsUnder the investment adviser rules, Sebi may recognise any body or body corporate for the purpose of regulating investment advisers (IA) an...
- Sebi bans Equicom Financial, 2 individuals from capital marketsThe regulator, in January last year, had passed an interim order against the company and individuals directing them to cease and desist fro...
- Ex-IFIN directors okayed loans to Siva companies despite RBI reservationsFormer directors of IFIN bent rules to lend to Siva Group companies despite an RBI caution.
- Auditors begin Religare review after RBI red flagThe report comes at a time when Religare founders, Malvinder and Shivinder Singh, are under pressure from investors and regulators over the...
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