| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
OPEE STOCK LINK LTD.
(PAN:AAACO4774G)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.2,00,000
21-AUG-2018
|
|
| 162 |
|
|
ORIENT RESORTS (INDIA) PVT.LTD.
(CIN:U55100GJ1990PTC013604
PAN:AAACO3122G)
|
|
|
|
DARSHANBHAI ARVINDBHAI SHAH
PAN:AFYPS0954C
|
|
|
DILPESH V.SHAH
PAN:BAHPS0953G
|
|
OPERATED CIS SCHEMES WITHOUT OBTAINING CERTIFICATE OF REGISTRATION FROM SEBI
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.35,00,000
11-JAN-2021
|
SAT: SAT VIDE ITS ORDER DATED 28/03/2023 DIRECTED RESPONDENT TO FILE REPLY WITHIN TWO WEEKS FROM DATE OF THIS ORDER AS THERE WAS A DELAY IN FILING OF APPEAL
SAT: SAT VIDE ITS ORDER DATED 20/04/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 11/05/2023 CONDONED THE DELAY OF 695 DAYS IN FILING OF APPEAL AND DISMISSED THE APPEAL
SEBI VIDE ITS ORDER DATED 19/06/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 16/02/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.48,31,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 163 |
|
|
OSEASPRE CONSULTANTS LTD.
(CIN:L74140MH1982PLC027652)
|
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.1,00,000
27-SEP-2018
|
|
| 164 |
|
|
PAKSH DEVELOPERS PVT.LTD.
(PAN:AAECS0872M)
|
|
|
|
ANURAG DINESHCHANDRA AGARWAL
PAN:ACDPA4964G
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE ITS ORDER DATED 05/07/2016 READ WITH ORDER DATED 26/09/2016
|
IMPOSED PENALTY RS.25,00,000 ALONG WITH OTHER ENTITIES/PERSONS
31-MAY-2018
|
|
| 165 |
|
|
PARAMOUNT BIO-TECH INDUSTRIES LTD.
(CIN:U24231DL1996PLC082959
PAN:AACCP1163C)
|
|
|
|
BHAWANI SRIVASTAVA
DIN:02833999
PAN:BMHPS8135C
|
|
|
GIRISH CHANDRA GUPTA
DIN:00273787
PAN:AIMPG6205H
|
|
|
PUSHPA GUPTA
DIN:02698562
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
IMPOSED PENALTY RS.50,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-NOV-2022
|
SEBI VIDE ITS NOTICE DATED 11/04/2023 DIRECTED TO PAY RS.53,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 01/06/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 16/01/2025 DIRECTED
ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.63,51,000.00 TO THE EXTENT LYING IN
THE ACCOUNT OF NOTICEES TO SEBI BY WAY OF EFT/NEFT/RTG
SAT: SAT VIDE ITS ORDER DATED 03/04/2025 CONDONED THE DELAY OF 56 DAYS IN FILING OF APPEAL.SET ASIDE IMPUGNED ORDER DATED 16/11/2022 AND DEFREEZE ACCOUNTS
SEBI VIDE ITS NOTICE DATED 16/04/2025 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 01/06/2023
SAT: SAT VIDE ITS ORDER DATED 10/06/2025 SET ASIDE IMPUGNED ORDER DATED 16/11/2022 AND MATTER REMANDED TO AO FOR FRESH CONSIDERATION
SEBI VIDE ITS NOTICE DATED 11/06/2025 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 03/04/2025
|
| 166 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
|
|
|
|
UVES MOHAMMED YUNUS SARESHWALA
DIN:00123493
PAN:AOFPS5856M
|
|
|
ZAFAR YUNUS SARESHWALA
DIN:00123536
PAN:ANYPS8494D
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
DIRECTED TO COMPLETE THE PROCESS OF PUBLIC OFFER BY PAYING CONSIDERATION AMOUNT OF RS.22.82 PER EQUITY SHARE ALONG WITH SIMPLE INTEREST @12% P.A.FROM 27/07/2010 TILL THE DATE OF ACTUAL PAYMENT
RESTRAINED FROM SELLING ASSETS, PROPERTIES AND HOLDING OF MUTUAL FUNDS/SHARES/SECURITIES HELD IN DEMAT AND PHYSICAL FORM FROM 27-SEP-2024 TO 26-SEP-2027
ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 27-SEP-2024 TO 26-SEP-2027
IMPOSED PENALTY RS.50,00,000
27-SEP-2024
|
|
| 167 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
|
|
|
|
MAHESHKUMAR AMRITLAL PATEL
PAN:AVHPP7565K
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2024 TO 26-SEP-2026
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2024 TO 26-SEP-2026
IMPOSED PENALTY RS.10,00,000
27-SEP-2024
|
|
| 168 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
|
|
|
|
HABIB ZAFAR SARESHWALA
PAN:BGKPS5329B
|
|
|
MOHAMMED ALIBHAI KOTHAWALA
PAN:ADUPK0440R
|
|
|
UMAR UVES SARESHWALA
PAN:BFQPS9169J
|
|
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 27-SEP-2024 TO 26-SEP-2025
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 27-SEP-2024 TO 26-SEP-2025
IMPOSED PENALTY RS.3,00,000
27-SEP-2024
|
|
| 169 |
|
|
PARSOLI CORP.LTD.
(PAN:AABCP9030F)
|
|
|
|
ZAFAR YUNUS SARESHWALA
DIN:00123536
PAN:ANYPS8494D
|
|
DID NOT REMOVE PINNACLE SHARES REGISTRY PVT. LTD. AS REGISTRAR & TRANSFER AGENT (RTA) AND APPOINT ANOTHER RTA WITHIN SIX MONTHS AS PER SEBI’S ORDER DATED 20/02/2009
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-JUL-2010 TO 21-JAN-2011
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-JUL-2010 TO 21-JAN-2011
22-JUL-2010
|
SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS
SAT: APPEAL DISMISSED
|
| 170 |
|
|
PAYTM MONEY LTD.
(PAN:AAJCP4398N)
|
|
|
ALLEGED FAILURE IN SETTING PERMISSIBLE LIMIT OF 70% FOR GENERATION OF TIMELY ALERTS FOR ALL CRITICAL ASSETS
ALLEGED FAILURE IN SUBMITTING DOCUMENTARY EVIDENCE W.R.T. PEAK LOAD OBSERVED FOR INSPECTION PERIOD
ALLEGED FAILURE IN CONNECTING ALL ITS CRITICAL SYSTEMS WITH LOG ANALYTICS AND MONITORING APPLICATION
ALLEGED FAILURE IN CONDUCTING LIVE DR DRILL FOR HALF YEAR APRIL, 2023 TO SEPTEMBER, 2023
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.45,50,000 VIDE CONSENT ORDER)
13-FEB-2025
|
|
| 171 |
|
|
PHILLIPCAPITAL (INDIA) PVT.LTD.
(PAN:AABCR6382C)
|
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF VARIOUS NSE CIRCULARS
ALLEGED NON COMPLIANCE WITH STATUTORY REQUIREMENTS VIOLATING REGULATIONS 9, 26(XVI) AND 26(XX) READ WITH CLAUSE A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.51,00,000 VIDE CONSENT ORDER)
09-MAY-2019
|
|
| 172 |
|
|
PIPELINE INFRASTRUCTURE INDIA PVT.LTD.
(PAN:AABCD2719F)
|
|
|
TOOK SEPARATE POSITION LIMITS OF OPEN INTEREST ON ITS BEHALF BY EXECUTING SEPARATE AGREEMENTS WITH EACH OF THEM AND CORNERED 93.63% OF NOVEMBER FUTURES OF RELIANCE PETROLEUM LTD. VIOLATING SECTION 12A OF SEBI ACT, 1992 READ WITH REGULATIONS 3, 4(1) AND 4(2)(E) OF SEBI (PFUTP) REGULATIONS, 2003
VIOLATED SEBI CIRCULAR NO. SMDRP/DC/CIR-10/01 DATED 02/11/2001 AND NSE CIRCULAR NO. NSE/CMPT/2982 DATED 07/11/2001 IN MATTER OF RELIANCE PETROLEUM LTD.
|
PROHIBITED FROM DEALING IN EQUITY DERIVATIVES IN F&O SEGMENT OF STOCK EXCHANGES, DIRECTLY OR INDIRECTLY FROM 24-MAR-2017 TO 23-MAR-2018
DIRECTED TO SQUARE OFF OR CLOSE OUT THEIR EXISTING OPEN POSITIONS IN F&O SEGMENT
24-MAR-2017
|
SAT: SAT VIDE ITS ORDER DATED 05/11/2020 DISMISSED THE APPEAL WITH NO ORDER AS TO COSTS
|
| 173 |
|
|
PLATINUM CORP.LTD.
(CIN:L72200GJ1992PLC018005)
|
|
|
DID NOT SUBMIT AUDIT REPORT IN RESPECT OF RECORDS & SYSTEMS OF SHAREPRO AND DID NOT SHIFT OPERATION RELATED TO RTA FROM SHAREPRO
|
IMPOSED PENALTY RS.3,00,000
21-DEC-2018
|
SEBI VIDE ITS NOTICE DATED 12/07/2022 DIRECTED TO PAY RS.4,29,121.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 04/08/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 24/01/2024 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA TO REMIT RS.4,87,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF NOTICEE TO SEBI BY WAY OF EFT/NEFT/RTG
|
| 174 |
|
|
PNB FINANCE & INDUSTRIES LTD.
(PAN:AAACP0256C)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,67,500 VIDE CONSENT ORDER)
07-SEP-2022
|
|
| 175 |
|
|
PNB FINANCE & INDUSTRIES LTD.
(PAN:AAACP0256C)
|
|
|
|
MEERA JAIN
PAN:AEZPJ3882J
|
|
|
SAMIR JAIN
PAN:AEHPJ3016Q
|
|
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
DIRECTED TO MAKE PROPER AND COMPLETE DISCLOSURE
DIRECTED CALCUTTA STOCK EXCHANGE TO TAKE ACTION AGAINST NOTICEES IN TERMS OF INSTRUCTIONS AS PER SEBI CIRCULAR
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-MAR-2023 TILL COMPLYING WITH THE MPS REQUIREMENT
IMPOSED PENALTY RS.20,00,000
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 26/04/2023 ALLOWED THE APPLICATIONS AND DIRECTED RESPONDENT TO FILE REPLY WITHIN FOUR WEEKS. REJOINDER TO BE FILED WITHIN FOUR WEEKS THEREAFTER. DIRECTED THAT THE EFFECT AND OPERATION OF IMPUGNED ORDERS TO REMAIN STAYED DURING PENDENCY OF APPEAL AND APPELLANTS TO DEPOSITS 25% OF PENALTY AMOUNT BY WAY OF CASH OR BANK GUARANTEE WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND BALANCE AMOUNT NOT TO BE RECOVERED DURING PENDENCY OF THE APPEAL
SAT: SAT VIDE ITS ORDER DATED 07/11/2024 DIRECTED APPELLANTS TO SUBMIT LETTER TO CGM, CORPORATE FINANCE DEPARTMENT, SEBI WITHIN TEN DAYS FROM DATE OF THIS ORDER AND SEBI TO REPLY/RESPOND WITHIN THIRTY DAYS FROM DATE OF SUBMISSION OF THEIR REQUEST BY THE APPELLANTS
|
| 176 |
|
|
PREM SOMANI SHARE BROKERS PVT.LTD.
(PAN:AABCP4104E)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME AND PRICE MANIPULATION THROUGH STRUCTURED AND SYNCHRONISED TRADES IN SCRIP OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT MAINTAIN INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATION ACTIVITIES VIOLATING REGULATION 7 READ WITH CLAUSE A OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS) REGULATIONS, 1992 IN MATTER OF BHARATIYA GLOBAL INFOMEDIA LTD.
DID NOT ADHERE TO VARIOUS SEBI CIRCULARS
|
IMPOSED PENALTY RS.1,00,00,000
25-MAR-2014
|
SAT: SAT VIDE ITS ORDER DATED 06/04/2016 SET ASIDED THE IMPUGNED ORDER DATED 25/03/2014 AND RESTORED ALL THE MATTERS TO FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 177 |
|
|
PRINCIPAL PNB ASSET MANAGEMENT CO.PVT.LTD.
(PAN:AAACI9361B)
|
|
|
PROVIDED BLANK TIME STAMPED REDEMPTION FORMS IN ORDER TO COMPENSATE FOR LOSSES MADE BY INVESTOR AND DID NOT REPORT TO SEBI VIOLATING DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED VIDE SEBI CIRCULAR NO.SEBI/IMD/CIR NO.6/98057/07 DATED 05/07/2007
|
IMPOSED PENALTY RS.10,00,000
26-SEP-2013
|
|
| 178 |
|
|
PRINCIPAL TRUSTEE CO.PVT.LTD.
(PAN:AADCP2274K)
|
|
|
PROVIDED BLANK TIME STAMPED REDEMPTION FORMS IN ORDER TO COMPENSATE FOR LOSSES MADE BY INVESTOR AND DID NOT REPORT TO SEBI VIOLATING DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED VIDE SEBI CIRCULAR NO.SEBI/IMD/CIR NO.6/98057/07 DATED 05/07/2007
|
IMPOSED PENALTY RS.10,00,000
26-SEP-2013
|
|
| 179 |
|
|
PROFIT GURU
(PAN:BLWPS1911G)
|
|
|
|
SATISH SHUKLA
PAN:BLWPS1911G
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE ADVISORY SERVICES TO CLIENTS BY FREQUENTLY UPDATING/CHANGING RISK PROFILE
CHARGED UNREASONABLE, ARBITRARILY AND INCONSISTENT FEE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
SOLD PRODUCTS TO CLIENTS WHICH WERE NOT SUITABLE TO RISK PROFILE OF THE CLIENTS
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
21-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 27/07/2023 DIRECTED TO PAY RS.10,51,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 180 |
|
|
PROFIT GURU
(PAN:BLWPS1911G)
|
|
|
|
SATISH SHUKLA
PAN:BLWPS1911G
|
|
DID NOT CO-OPERATE WITH SEBI IN INSPECTION
DID NOT ADHERE TO THE DIRECTIVES/INSTRUCTIONS/GUIDELINES ISSUED BY SEBI VIDE IT’S EARLIER ORDER
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
SOLD MULTIPLE ADVISORY SERVICES TO CLIENTS BY FREQUENTLY UPDATING/CHANGING RISK PROFILE
SOLD ADVISORY SERVICES/PRODUCTS TO CLIENTS WITHOUT ENSURING SUITABILITY OF ADVICE ACCORDING TO THEIR RISK PROFILE
SOLD MULTIPLE PRODUCTS AND CHARGED UNREASONABLE FEES AND/OR SERVICE CHARGE
|
SUSPENDED REGISTRATION AS INVESTMENT ADVISER FROM 12-OCT-2023 TO 11-OCT-2025
12-OCT-2023
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 14
|
