SEBI Orders

SEBI order against stock tips through bulk SMS

In an interim order issued against Gautam S. Khandelwal (noticee) on February 23, 2017, SEBI has prohibited the noticee from dealing in securities and from disseminating news or messages in the securities market, for acting in contravention of  the SEBI (Research Analyst) Regulations, 2014 and SEBI (Prohibition of Fraudulent and Unfair Trade Practices) Regulations, 2003….

SEBI Order in CapitalVia Global Research Limited

SEBI passed an order on January 20, against CapitalVia Global Research Limited (CapitalVia), a registered investment adviser (IA) and its directors, for non-compliance with several provisions of the SEBI (Investment Advisers) Regulations, 2013. SEBI had issued an interim order-cum-show cause notice in November 2016 against the noticees prohibiting them from undertaking new advisory business till…

© Finsec Law Advisors | 2017
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