The Noticee no. 1 provided unregistered investment advisory services to 290 investors from March 2020 to...

The Noticee no. 1 provided unregistered investment advisory services to 290 investors from March 2020 to August 2023, earning over INR 12 crore. Noticees 4 and 5 are liable for the acts of Noticee 1. Show Cause Notice issued for potential directions: disgorgement of gains with interest, securities market prohibition, penalties for unregistered advisory and PFUTP violations, and non-compliance penalty. Noticees have 21 days to respond. The Order is immediately enforceable, without prejudice to further actions. .....

X X   X X   Extracts   X X   X X

→ Full Text of the Document

X X   X X   Extracts   X X   X X