Market regulator Securities and Exchange Board of India (SEBI) has imposed a penalty of Rs3 lakh on 5Paisa Capital Ltd, along with the stockbroker’s director and chief financial officer (CFO) Gourav ...
Sebi found that the firm failed to comply with several provisions under the Sebi (Stock Brokers) Regulations, 1992, and the Sebi (Issue and Listing of Non-Convertible Securities) Regulations, 2021.
They added that the recommendation was currently under review with the NFRA, a regulator that oversees auditing, which will submit its views to a panel of top regulators ...
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