IA

373 posts

WTM/AN/WRO/WRO/29863/2023-24 | Unregistered Investment Advisory

Order – Mustkim & Sarfaj Ali

QJA/SVMDR/WRO/WRO/29848/2023-24 | Unregistered Investment Advisory

Order – W Gain Research & Development.com

Extension of timeline for implementation of provisions of circular SEBI/HO/OIAE/IGRD/CIR/P/2023/156 dated September 20, 2023 on Redressal of investor grievances through the SEBI Complaint Redressal (SCORES) Platform and linking it to Online Dispute Resolution platform.

SEBI/HO/OIAE/IGRD/CIR/P/2023/183

AIF IA MFD PMS RA

Extension of timeline for implementation of provisions of circular SEBI/HO/OIAE/IGRD/CIR/P/2023/156 …

QJA/GR/WRO/WRO/29835/2023-24

Order – Trade India Research

Order/SM/AS/2023-24/29817 | INA000005358

To: Compliance Officers of all APMI Members + Non-Members + Portfolio Managers Not Registered with APMI Subject: Escalation Matrix for issues regarding the SI Portal Date: 28th November 2023 Dear All, Please find appended herewith the escalation matrix which […]

AIF IA PMS RA